1 

** FINAL REGULATION ORDER ** 

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

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

____________________________________________________________________ 

Amend article 8, Off-Road Airborne Toxic Control Measures, and section 2477, within 

division 3, chapter 9, title 13, California Code of Regulations, to read as follows: (Note: 

Proposed amendments are shown in underline to indicate additions and strikeout to 

indicate deletions.) 

Article 8. Off-Road Airborne Toxic Control Measures 

Section 2477. Airborne Toxic Control Measure for In-Use Diesel-Fueled 

Transport Refrigeration Units (TRU) and TRU Generator Sets, and Facilities 

Where TRUs Operate. 

(a) Purpose. Diesel particulate matter (PM) was identified in 1998 as a toxic air 

contaminant. This regulation implements provisions of the Diesel Risk Reduction 

Plan, adopted by the Air Resources Board in October, 2000, as mandated by the 

Health and Safety Code Sections 39650-39675, to reduce emissions of substances 

that have been determined to be toxic air contaminants. Specifically, this 

regulation will use a phased approach to reduce the diesel PM emissions from inuse transport refrigeration units (TRUs) and TRU generator (gen) set equipment 

used to power electrically driven refrigerated shipping containers and trailers that 

are operated in California. 

(b) Applicability. 

(1) Except as provided in subsection (c), this regulation applies to owners and 

operators of diesel-fueled TRUs and TRU gen sets (see definition of operator 

and owner in subsection (d) that operate in the state of California. This 

specifically includes: 

(A) Operators and owners of California-based TRUs and TRU gen sets that are 

installed on trucks, or trailers, shipping containers, or railcars; and 

(B) Operators and owners of non-California-based TRUs and TRU gen sets that 

are installed on trucks, trailers, shipping containers, or trailers. 

(2) This regulation applies to facilities located in California with 20 or more loading 

dock doors serving refrigerated areas where perishable goods are loaded or 

unloaded for distribution on trucks, trailers, shipping containers, or rail cars that 

are equipped with TRUs and TRU gen sets and that are owned, leased, or 
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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 apply to any person engaged in this State 

in the business of selling to an ultimate purchaser, or renting or leasing new or 

used TRUs or TRU gen sets, including, but not limited to, manufacturers, 

distributors, and dealers. 

(4) TRU and TRU gen set original equipment manufacturers that directly or indirectly 

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

(4)(5) Severability. If any subsection, paragraph, subparagraph, sentence, 

clause, phrase, or portion of this regulations is, for any reason, held invalid, 

unconstitutional, or unenforceable by any court of competent jurisdiction, such 

portion shall be deemed as a separate, distinct, and independent provision, and 

such holding shall not affect the validity of the remaining portions of the regulation. 

(c) Exemptions. This regulation does not apply to military tactical support equipment. 

(d) Definitions. For purposes of this regulation, the following definitions apply: 

(1) “Affiliate or Affiliation” refers to a relationship of direct or indirect control or 

shared interests between the subject business and another business. 

(2) “Alternative Fuel” means natural gas, propane, ethanol, methanol, or 

advanced technologies that do not rely on diesel fuel, except as a pilot 

ignition source at an average ratio of less than 1 part diesel fuel to 10 parts 

total fuel on an energy equivalent basis. Alternative fuels also means any 

of these fuels used in combination with each other or in combination with 

other non-diesel fuels. Alternative-fueled engines shall not have the 

capability of idling or operating solely on diesel fuel at any time. 

(3) “Alternative-Fueled Engine” means an engine that is fueled with a fuel 

meeting the definition of alternative fuel. 

(4) “Alternative Diesel Fuel” means any fuel used in diesel engines that is not 

commonly or commercially known, sold or represented as diesel fuel No. 1-

D or No. 2-D, pursuant to the specification for Diesel Fuel Oils D975-81, 

and does not require engine or fuel system modifications for the engine to 

operate, although minor modifications (e.g. recalibration of the engine fuel 

control) may enhance performance. Examples of alternative diesel fuels 

include, but are not limited to, biodiesel, Fischer Tropsch fuels, and 

emulsions of water in diesel fuel. Natural gas is not an alternative diesel 

fuel. An emission control strategy using a fuel additive will be treated as an 

alternative diesel fuel based strategy unless: 
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(A) The additive is supplied to the vehicle or engine fuel by an on-board dosing 

mechanism, or 

(B) The additive is directly mixed into the base fuel inside the fuel tank of the 

vehicle or engine, or 

(C) The additive and base fuel are not mixed until vehicle or engine fueling 

commences, and no more additive plus base fuel combination is mixed than 

required for a single fueling of a single engine or vehicle. 

(5) “ARB” means the California Air Resources Board. 

(6) “B100 Biodiesel Fuel” means 100% biodiesel fuel derived from vegetable 

oil or animal fat and complying with ASTM D 6751-02 and commonly or 

commercially known, sold, or represented as “neat” biodiesel or B100. 

B100 biodiesel fuel is an alternative diesel fuel. 

(7) “B100 Biodiesel-Fueled” (compression-ignition engine) means a 

compression-ignition engine that is fueled by B100 biodiesel fuel. 

(8) “Business” means an entity organized for profit including, but not limited to, 

an individual, sole proprietorship, partnership, limited liability partnership, 

corporation, limited liability company, joint venture, association or 

cooperative; or solely for purposes of the Prompt Payment Act 

(Government Code 927 et seq.), a duly authorized nonprofit corporation. 

(9) “California-Based TRUs and TRU Gen Sets” means TRUs and TRU gen 

sets equipped on trucks, trailers, shipping containers, or railcars that a 

reasonable person would find to be regularly assigned to terminals within 

California. 

(10) “CARB Diesel Fuel” means any diesel fuel that is commonly or 

commercially known, sold or represented as diesel fuel No. 1-D or No. 2-D, 

pursuant to the specification for Diesel Fuel Oils D975-81 and meets the 

specifications defined in 13 CCR 2281, 13 CCR 2282, and 13 CCR 2284. 

(11) “Carbon Monoxide (CO)” means a colorless, odorless gas resulting from 

the incomplete combustion of hydrocarbon fuels. 

(12) "Carrier” means any person, party, or entity who undertakes the transport 

of goods from one point to another. 

(13) "Certification" means the obtaining of an Executive Order for a new offroad 

compression-ignition engine family that complies with the off-road 

compression-ignition emission standards and requirements specified in the 

California Code of Regulations, Title 13, Section 2423. A "certified engine" 
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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, carbon monoxide, and particulate 

matter includes, as a minimum, torque, engine speed, weighting factor, 

power, mass emission rate (grams per hour), and certification test fuel. 

(15) “Compression Ignition (CI) Engine” means an internal combustion engine 

with operating characteristics significantly similar to the theoretical diesel 

combustion cycle. The regulation of power by controlling fuel supply in lieu 

of a throttle is indicative of a compression ignition engine. 

(16) “Consignee” (see receiver). 

(17) "Consignor” (see shipper). 

(18) "Cryogenic Temperature Control System" means a heating and cooling 

system that uses a cryogen, such as liquid carbon dioxide or liquid nitrogen 

that is routed through an evaporator coil that cools air blown over the coil. 

The cryogenic system uses a vapor motor to drive a fan and alternator, and 

a propane-fired heater superheats the carbon dioxide for heating and 

defrosting. Electrically driven fans may be used instead of a vapor motor 

and heating and defrost needs may be met by using electric heaters and/or 

vehicle engine coolant. 

(19) "Deterioration Factor (DF)" means a factor that is applied to the certification 

emission test data to represent emissions at the end of the useful life of the 

engine. Separate DFs apply to each measured pollutant, except that a 

combined NMHC+NOx DF applies to engines that do not use 

aftertreatment devices. Decreasing emissions over time would not be 

allowed to offset increasing emissions of the other pollutant in this 

combined DF. 

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

sold, or represented as diesel fuel, including any mixture of primarily liquid 

hydrocarbons – organic compounds consisting exclusively of the elements 

carbon and hydrogen – that is sold or represented as suitable for use in an 

internal combustion, compression-ignition engine. 

(21) “Diesel-Fueled” means fueled by diesel fuel or CARB diesel fuel in whole or 

in part, except as allowed for a pilot ignition source under the definition for 

“alternative fuel”. 
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(22) "Diesel Oxidation Catalyst (DOC)” means the use of a catalyst to promote 

the oxidation processes in diesel exhaust. Usually refers to an emission 

control device that includes a flow-through substrate where the surfaces 

that contact the exhaust flow have been catalyzed to reduce emissions of 

the organic fraction of diesel particulates, gas-phase hydrocarbons, and 

carbon monoxide. 

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

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

Periodically the collected particles are either physically removed or oxidized 

(burned off) in a process called regeneration. 

(24) “Diesel Particulate Matter” means the particles found in the exhaust of 

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

species to form structures of complex physical and chemical properties. 

(25) “Dual-Fuel Engine” means an engine designed to operate on a combination 

of alternative fuel, such as compressed natural gas (CNG) or liquefied 

petroleum gas (LPG), and conventional fuel, such as diesel or gasoline. 

These engines have two separate fuel systems, which either inject both 

fuels simultaneously into the engine combustion chamber or fumigate the 

gaseous fuel with the intake air and inject the liquid fuel into the combustion 

chamber. 

(26) “Effective model year” or “effective engine model year” is an alternative 

model-year designation (see definition of “model year”) for a new 

replacement engine, rebuilt replacement engine, or flexibility engine when 

the engine does not meet, at the time of manufacture, the most stringent 

emission tier standard for a new engine in effect for the horsepower rating 

of the engine. When an engine is manufactured to meet a less stringent 

prior-tier emissions standard than is currently in effect, the effective model 

year is the last year that the prior-tier emission standard was in effect. 

Table 1 lists the tier standards that apply to TRUs and TRU gen sets and 

the corresponding effective model years. 

 Table 1 

 Effective Model Year 

Prior-Tier Engine 

Emissions Standard 

Tier Standard 

Effective Years 

Effective Model 

Year 

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

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

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

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

Tier 4i, 25-50 hp (trailer) 2008-2012 20121

 

1

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

engines. 
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(26)(27) “Emergency” means any of the following times: 

(A) A failure or loss of normal power service that is not part of an “interruptible 

service contract” (see definition in subsection (d)); 

(B) A failure of a facility’s internal power distribution system, provided the failure 

is beyond the reasonable control of the operator; 

(C) When an affected facility is placed under an involuntary “rotating outage” 

(see definition in subsection (d)). 

(27)(28) “Emission Control Strategy” means any device, system, or strategy 

employed with a diesel-fueled CI engine that is intended to reduce emissions. 

Examples of emission control strategies include, but are not limited to, particulate 

filters, diesel oxidation catalysts, selective catalytic reduction systems, alternative 

fuels, fuel additives used in combination with particulate filters, alternative diesel 

fuels, and combinations of the above. 

(28)(29) “Emissions Rate” means the weight of a pollutant emitted per unit of time 

(e.g., grams per second). 

(29)(30) “Executive Officer” means the Executive Officer of the California Air 

Resources Board or his or her delegate. 

(30)(31) “Facility” means any facility where TRU-equipped trucks, trailers, shipping 

containers or railcars are loaded or unloaded with perishable goods. This 

includes, but is not limited to, grocery distribution centers, food service 

distribution centers, cold storage warehouses, and intermodal facilities. Each 

business entity at a commercial development is a separate facility for the 

purposes of this regulation, provided the businesses are “independently owned 

and operated” (see definition in subsection (d)). 

(31)(32) “Facility Control (of TRUs or TRU Gen Sets)” means the TRUs or TRU gen 

sets located at the facility are owned or leased by the facility, its parent company, 

affiliate, or a subsidiary, or under contract for the purpose of providing carrier 

service to the facility, and the TRUs' or TRU gen sets' arrival, departure, loading, 

unloading, shipping and/or receiving of cargo is determined by the facility, parent 

company, affiliate, or subsidiary (e.g scheduled receiving, dispatched 

shipments). 

(32)(33) “Fischer-Tropsch Diesel Fuel” See “ultra-low-aromatic synthetic diesel fuel”. 

(34) “Flexibility engine” means an engine installed in new equipment by an original 

equipment manufacturer under the Transitional Program for Equipment 

Manufacturers in accordance with title 40 Code of Federal Regulations (40 CFR) 

sections 89.102 and 1039.625, and title 13 CCR section 2423(d). Such engines 
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shall use the “effective model year” designation for purposes of compliance with 

this subarticle, except as allowed under subsection (e)(1)(B)5.a. 

(33)(35)"Fuel Additive” means any substance designed to be added to fuel or fuel 

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

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

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

emission control strategies in decreasing emissions, or improving fuel economy or 

increasing performance of the engine. 

(34)(36)"Generator Set (gen set)” means a CI engine coupled to a generator used as 

a source of electricity. 

(35)(37)"Hybrid Cryogenic Temperature Control System” means a temperature 

control system that uses a cryogenic temperature control system in conjunction 

with a conventional TRU. 

(36)(38) “Independently Owned and Operated” means a business concern that 

independently manages and controls the day-to-day operations of its own 

business through its ownership and management, without undue influence by an 

outside entity or person that may have an ownership and/or financial interest in 

the management responsibilities of the applicant business or small business. 

(37)(39)"Intermodal Facility” means a facility involved in the movement of goods in 

one and the same loading unit or vehicle which uses successively several modes 

of transport without handling of the goods themselves in changing modes. Such 

a facility is typically involved in loading and unloading refrigerated shipping 

containers and trailers to and from railcars, trucks, and ocean-going ships. 

(38)(40)"Interruptible Service Contract” means any arrangement in which a 

nonresidential electrical customer agrees to reduce or consider reducing its 

electrical consumption during periods of peak demand or at the request of the 

System Operator in exchange for compensation, or assurances not to be blacked 

out or other similar non-monetary assurances. 

(39)(41)"In Use TRU, TRU gen set, or engine” means a TRU, TRU gen set, or 

engine that is not a “new” TRU, TRU gen set, or engine. 

(40)(42) “Low Emission TRU (LETRU or L)” means a TRU or TRU gen set that 

meets the performance standards described under paragraph (e)(1)(A)1. or 

(e)(1)(A)2. 

(41)(43) “Manufacturer” means a business as defined in Government Code § 

14837(c). 
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(42)(44) “Military tactical support equipment (TSE)” means equipment that meets 

military specifications, owned by the U.S. Department of Defense and/or the U.S. 

military services, and used in combat, combat support, combat service support, 

tactical or relief operations, or training for such operations. 

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

(A) The designation used for engines manufactured to meet the emissions tier 

standard in effect for new engines at time of manufacture (see alternative 

designation, “effective model year, defined above); and 

(B) The diesel-fueled engine manufacturer’s annual production period, which 

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

annual production period, the calendar year. 

(44)(46) “New TRU, TRU Gen Set, or Engine" means any TRU, TRU gen set, or 

engine that has never been subject to a retail sale or lease to an “ultimate 

purchaser” (see definition in subsection (d)). 

(45)(47) “Nitrogen Oxide (NOx)” means compounds of nitric oxide (NO), nitrogen 

dioxide (NO2), and other oxides of nitrogen. Nitrogen oxides are typically created 

during combustion processes and are major contributors to smog formation and

acid deposition. 

(46)(48)”Non-California-Based TRUs and TRU Gen Sets” means TRUs and TRU 

gen sets that are equipped on or used in trucks, trailers, shipping containers, or 

railcars that a reasonable person would find to be regularly assigned to terminals 

outside of California and operate in California from time to time for the purpose of 

transporting perishable goods into or out of the state. 

(47)(49) “Non-methane Hydrocarbons (NMHC)” means the sum of all hydrocarbon 

air pollutants except methane. NMHCs are precursors to ozone formation. 

(48)(50) “Operate” means to start, cause to function, program the temperature 

controller, select an operating program or otherwise control, fuel, monitor to 

assure proper operation, or keep in operation. 

(49)(51) “Operator” means any person, party or entity that operates a TRU or TRU 

gen set for the purposes of transporting perishable goods, excluding an 

employee driver and third party maintenance and repair service, and including 

but not limited to: 

(A) Manufacturer, producer, supplier, carrier, shipper, consignor, consignee, 

receiver, distribution center, or warehouse of perishable goods; 
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(B) An individual, trust, firm, joint stock company, business concern, partnership, 

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

to, a government corporation; 

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

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

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

law. 

(50)(52) “Owner” means any person that legally holds the title (or its equivalent) 

showing ownership of a TRU or TRU gen set, excluding a bank or other financial 

lending institution, and including but not limited to: 

(A) Manufacturer, producer, supplier, carrier, shipper, consignor, consignee, 

receiver, distribution center, warehouse; 

(B) An individual, trust, firm, joint stock company, business concern, partnership, 

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

to, a government corporation; 

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

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

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

law. 

(51)(53) “Owner/Operator” means a requirement applies to the owner and/or 

operator of a TRU or TRU gen set, as determined by agreement or contract 

between the parties if the two are separate business entities. 

(52)(54) “Parent Company” means a company that has a controlling interest in 

another company, usually through ownership of more than one-half the voting 

stock. 

(53)(55) “Particulate Matter (PM)” means the particles found in the exhaust of CI 

engines, which may agglomerate and adsorb other species to form structures of 

complex physical and chemical properties. 

(54)(56) “Rated Brake Horsepower” means the power delivered, according to the 

statement of the engine manufacturer, at the rated speed. 

(55)(57) “Real Emission Reductions” means that an action is taken that results in 

reductions in the PM emission rate of an in-use engine (e.g. a VDECS is installed 

that reduced the PM emissions rate by more than 50%). 

(56)(58) “Receiver” means the person, party, or entity that receives shipped goods, 

cargo, or commodities. 
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(57)(59) “Refrigerated Trailer” means a trailer van, railcar, or shipping container 

equipped with a TRU or TRU gen set. Pursuant to Health and Safety Code 

section 39618, refrigerated trailers are mobile sources and shall be regulated by 

the ARB on a statewide basis. 

(58)(60) “Rotating Outage” means a controlled involuntary curtailment of electrical 

power service to consumers as ordered by the system operator - see definition in 

subsection (d). 

(59)(61) “Shipper” means the person, party, or entity who usually owns or supplies 

the commodities shipped by a carrier. 

(60)(62) “System Operator” means one of the several organizations that control 

energy in California. System operators include, but are not limited to, the 

California Independent System Operator, the Los Angeles Department of Water 

and Power, the Imperial Irrigation District, the Sacramento Municipal Utility 

District. 

(61)(63) “Terminal” means any place where a TRU or TRU gen set equipped truck, 

trailer, shipping container, railcar or TRU gen set is regularly garaged, 

maintained, operated, or dispatched from, including a dispatch office, cross-dock 

facility, maintenance shop, business, or private residence. 

(62)(64)"Tier 4 Nonroad/Offroad Emission Standards" means the emission 

standards and associated procedures promulgated by U.S. Environmental 

Protection Agency in "Control of Emissions of Air Pollution from Nonroad Diesel 

Engines and Fuel; Final Rule" (Vol. 69, No. 124 Fed.Reg. pp. 38957-39273 (June 

29, 2004). 

(63)(65) “Transport Refrigeration Unit (TRU)” means refrigeration systems powered 

by integral internal combustion engines designed to control the environment of 

temperature sensitive products that are transported in trucks and refrigerated 

trailers. TRUs may be capable of both cooling and heating. 

(64)(66) “TRU Generator Set (TRU gen set)” means a generator set that is designed 

and used to provide electric power to electrically driven refrigeration units of any 

kind. This includes, but is not limited to gen sets that provide electricity to 

electrically powered refrigeration systems for semi-trailer vans and shipping 

containers. 

(65)(67) “Ultimate Purchaser” means with respect to a new TRU, TRU gen set, or 

engine, the first person who in good faith purchases a new TRU, TRU gen set, or 

engine for purposes other than resale. 
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(66)(68) “Ultra-Low-Aromatic Synthetic Diesel Fuel” means fuel produced from 

natural gas, coal, or biomass by the Fischer-Tropsch gas-to-liquid chemical 

conversion process, or similar process that meets the following properties: 

Table 12 

Property ASTM Value 

 Sulfur Content (ppmw) D5453-93 <1 

 Total Aromatic Content (wt %) D5186-96 <1.5% 

 Polynuclear Aromatic Content (wt %) D5186-96 <0.5% 

 Natural Cetane Number D613-84 >74 

(67)(69) “Ultra-Low Emission TRU (ULETRU or U)” means a TRU or TRU gen set 

that meets the performance standards described under subparagraph (e)(1)(A)1. 

and (e)(1)(A)2. or that uses an “alternative technology” in accordance with 

subparagraph (e)(1)(A)3. 

(68)(70) “Verification Classification Level” means the classification assigned to a 

Diesel Emission Control Strategy by the Executive Officer as defined in the 

Verification Procedure, Warranty and In-Use Compliance Requirements for InUse Strategies to Control Emission from Diesel Engines (13 CCR Sections 2700 

– 2710). PM reductions correspond as follows: Level 1: > 25%; Level 2: >50%; 

Level 3: >85% or 0.01 g/hp-hr. 

(69)(71) “Verified Diesel Emission Control Strategy” (VDECS) means an emission 

control strategy designed primarily for the reduction of diesel particulate matter 

emissions that has been verified per the Verification Procedure, Warranty and InUse Compliance Requirements for In-Use Strategies to Control Emissions from 

Diesel Engines (13 CCR Sections 2700 – 2710). Examples of diesel retrofit 

systems that may be verified include, but are not limited to, diesel particulate 

filters, diesel oxidation catalysts, fuel additives (e.g. fuel-borne catalysts), 

alternative fuels (e.g. dual fuel), alternative diesel fuels, and combinations of the 

above. 

(e) Requirements. 

(1) In-Use Operation: 

(A) In-Use Performance Standards: In accordance with the schedule set forth 

below in paragraph (e)(1)(B), no owner/operator shall operate a TRU or 

TRU gen set in California unless it meets the in-use emission category 

performance standards set forth below. 

1. In-Use performance standard categories for TRU and TRU gen set 

engines with rated brake horsepower less than 25 horsepower (<25 hp) 

are shown in Table 23, along with the engine certification standards or 
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the level of Verified Diesel Emission Control Strategy (VDECS) (see 

definition) that is necessary to qualify for each category. 

 Table 23 

 <25 HP TRU and TRU Gen Set In-Use PM Performance Standards

In-Use Emission Category 

Engine 

Certification 

(g/hp-hr) 

Level of VDECS 

Equipped with 

 Low Emission TRU (LETRU or L) 0.301 2 Level 2 

Ultra-Low Emission TRU 

(ULETRU or U) 

NA2 3 Level 3 

a. Compliance can be achieved by: 

I. Using a certified engine meeting the applicable nonroad/offroad 

emissions standards for all regulated pollutants and the in-use PM 

performance standard. Only engines for which certification data 

and deterioration factors have been provided to ARB shall be 

considered when determining compliance. The Executive Officer 

will consider such submittals, publish, and make available a list of 

qualifying engines. 

II. Equipping the engine with the required Level of VDECS. 

2. In-Use performance standard categories for TRU and TRU gen set 

engines with rated brake horsepower greater than or equal to 25 

horsepower (>25 hp) are shown in Table 34, along with the engine 

certification standards or the level of VDECS that is necessary to qualify 

for each category. 

 Table 34 

 >25 HP TRU and TRU Gen Set In-Use PM Performance Standards

In-Use Emission Category Engine 

Certification 

(g/hp-hr) 

Level of VDECS 

Equipped with 

 Low Emission TRU (LETRU or L) 0.22 3 4 Level 2

 Ultra-Low Emission TRU 

(ULETRU or U) 

0.02 4 5 Level 3 

 

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

Nonroad/Offroad Emission Standards that are to go into effect in 2008. 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 identified in the Tier 4 Nonroad/Offroad Emission Standards) engines is adopted by U.S. 

EPA for this horsepower category, the Board will consider adopting an engine certification in-use performance 

standard for ULETRU for <25 hp TRUs and TRU gen sets. 

3

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

Nonroad/Offroad Emission Standards that are to go into effect in 2008.
13 

a. Compliance can be achieved by: 

I. Using a certified engine meeting the applicable nonroad/offroad 

emissions standards for all regulated pollutants and the in-use PM 

performance standard. Only engines for which certification data 

and deterioration factors have been provided to ARB shall be 

considered when determining compliance. The Executive Officer 

will consider such submittals, publish, and make available a list of 

qualifying engines. 

II. Equipping the engine with the required Level of VDECS. 

3. As an alternative to meeting the ULETRU in-use performance standards 

in subsections (e)(1)(A)1. and 2., an owner/operator may operate a TRU 

or TRU gen set in California meeting one of the Alternative Technology 

options listed below. Alternative Technologies qualify to meet the 

ULETRU in-use performance standard only if the TRU or TRU gen set is 

operated under the conditions included in the description listed below. 

a. Electric standby, provided that the TRU is not operated under diesel 

engine power while at a facility, except during an emergency. 

b. Cryogenic temperature control systems or hybrid cryogenic 

temperature control systems, provided that the TRU does not operate 

under diesel engine power while at a facility, except during an 

emergency. 

c. Alternative-fueled engines (see definition in subsection (d)). If the 

engine is a CI engine, a VDECS is required. 

Note: If the engine is not a compression ignition diesel fueled 

engine, this regulation would not apply, but the engine may have to 

meet other emission standards (e.g. large spark-ignited engine 

standards if >25 hp). 

d. Fuel exclusively with an alternative diesel fuel (see definition in 

subsection (d)) that has been verified as a VDECS, provided it is 

used in accordance with the requirements of subsection (e)(2)(A) and 

the alternative diesel fuel contains no conventional diesel or CARB 

diesel fuel. 

e. Power by fuel cells. If a reformer is used with diesel fuel as the 

source of hydrocarbons, then emissions must be evaluated and 

verified through the Verification Procedure Warranty and In-Use 

 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 shall operate a 2002 MY TRU or TRU gen set engine 

in California unless it meets the in-use performance criteria set forth in 

paragraph (e)(1)(A) for 

a. LETRU on or before December 31, 2009, and 

b. ULETRU on or before December 31, 2016, as shown in Tables 45 

and 56. 

3. No owner/operator shall operate a 2003 MY TRU or TRU gen set engine 

in California unless it meets the in-use performance criteria set forth in 

subsection (e)(1)(A) for 

a. LETRU on or before December 31, 2010, and 

b. ULETRU on or before December 31, 2017, as shown in Tables 5 

and 6. 

3. 4. No owner/operator shall operate a 20032004 MY and subsequent MY 

TRU or TRU gen set engine in California unless it meets the in-use 

performance criteria set forth in paragraph (e)(1)(A) for ULETRU on or 

before December 31st of the seventh year past the unit’s engine’s model 

year, as shown in Tables 456 and 566, with the following exception:. 

 

6 Model years 2013 and subsequent (not shown in Table 5 and 6), shall meet ULETRU by December 31st of the 

seventh year after the engine model year or effective model year, except as allowed under subparagraph 

(e)(1)(B)5.
15 

a. Less than 25 hp model year 2004 engines shall meet the in-use 

performance criteria set forth in paragraph (e)(1)(A), shown in Table 5, 

for: 

I. LETRU on or before December 31, 2011, and 

II. ULETRU by December 31, 2018. 

Table 45: <25 HP TRU and TRU Gen Set Engines

 In-Use Compliance Dates 

 

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 

‘036 UL UL UL UL UL UL UL U U U U 

 ‘04 UL UL UL UL UL UL UL U U U 

 ‘058 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 31st of the compliance year shown. “MY” means model year. Black shaded areas 

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

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

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

‘038 UL UL UL UL UL UL UL U U U U 

 ‘0410 U U U U U U U U U U 

 ‘05 U U U U U U U U U 

 ‘06 U U U U U U U U 

 ‘07 U U U U U U U 

 ‘08 U U U U U U 

 ‘09 U U U U U 

 ‘10’ U U U U 

 ‘11 U U U 

 ‘12 U U 

 ‘13 U 

5. Requirements for TRUs or TRU gen sets that are equipped with flexibility 

engines and operated in California. 

a. Flexibility engines installed in TRUs and TRU gen sets 

manufactured prior to March 7, 2011, and operated in California 

shall meet the in-use performance standards of subsection 

(e)(1)(A) by December 31st of the seventh year after the TRU or 

TRU gen set engine’s manufacture year instead of the effective 

model year provided the TRU or TRU gen set owner registers the 

flexibility engine equipped TRU or TRU gen set in ARBER in 

accordance with subsection (e)(1)(E) by May 6, 2011. 

b. To allow TRU and TRU gen set owners to meet the registration 

requirements of subparagraph (a) above, 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 31st of the compliance year shown. “MY” means model year. Black shaded areas 

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

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

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

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 2013, 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 equipped with a flexibility or TPEM 

engine; and 

ii. The owner must register the TRU or TRU gen set that is 

equipped with a flexibility engine in ARBER by 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 specific instructions and assistance 

that ensures that information entered in ARBER is consistent 

with what appears on the unit label and engine emissions label, 

including the model year. 

c. The following requirements shall apply to flexibility engines installed 

in TRUs and TRU gen sets manufactured after 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 31st of the seventh 

year after the engine’s effective model year. 

II. The original equipment manufacturer shall provide the following, 

written disclosures to the interested ultimate purchaser of a 

TRU or TRU gen set that is equipped with a flexibility engine 

prior to its sale: 

i. The TRU or TRU gen set has a flexibility engine that meets a 

less stringent emissions standard than was in effect at the 

time the flexibility engine was manufactured; 

ii. The effective model year of the flexibility engine; 

iii. If the owner registers the unit in ARBER, the owner must 

report the effective model year of the engine, not the model 

year of engine manufacture, and failure to do so may result 

in the owner being cited; 

iv. If the TRU or TRU gen set is operated in California, the 

owner will be responsible at a future date for the engine 

meeting the ULETRU in-use standard based on the effective 
18 

model year of the engine, in accordance with subsection 

(e)(1)(B) .

(C) Replacements Due to Failures. 

1. If a VDECS fails within its warranty period, the owner/operator of the 

TRU or TRU gen set must replace it with the same VDECS or a higher 

verification classification level, if available. 

2. If a VDECS fails outside its warranty period and a higher verification 

classification level VDECS is available, then the owner/operator of the 

TRU or TRU gen set shall upgrade to the highest level VDECS required 

under paragraphs (e)(1)(A)1. and (e)(1)(A)2. that is determined to be 

cost-effective by the Executive Officer. 

(D) In-Use Recordkeeping and Reporting. In-use recordkeeping and reporting 

shall be completed by the operator in accordance with the requirements of 

subsection (f)(1). 

(E) ARB Identification Numbering Requirements. Identification numbers will 

be issued to help expedite the inspection procedure and prevent shipping 

delays. 

1. California-based TRUs and TRU gen sets: 

a. On or before January 31, 2009, owner/operators of all Californiabased TRUs and TRU gen sets subject to this regulation shall apply 

for an ARB identification number for all California-based TRUs or 

TRU gen sets operated by the operator by submitting an application 

that includes the information listed below. 

I. Operator name, address, and contact information for the 

responsible official (e.g. phone number, email address, fax 

number). 

II. Owner name, address, and contact information (if other than 

operator). 

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

number. 

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

V. Terminal or terminals that the TRU-equipped truck or trailer is 

assigned to, with address and contact information. 
19 

VI. Other associated identification numbers, which may include (as 

applicable): 

i. Vehicle Identification Number (VIN) of the TRU-equipped truck 

or trailer. 

ii. Vehicle license number of the TRU-equipped truck or trailer. 

iii. Railcar recording mark and car number. 

iv. Shipping container number (for TRU-equipped shipping 

containers only). 

v. Company equipment number (if any). 

VII. Compliance status with paragraph (e)(1)(A) requirements. If 

compliance not as-yet required, mark N/A. 

i. Date when compliance was achieved. 

ii. What performance standard was met (e.g. LETRU or 

ULETRU). 

iii. How compliance was achieved (e.g. new compliant TRU, TRU 

engine replacement, or description of VDECS that was used). 

iv. Identify who did the installation work (if applicable). 

b. Applications shall be submitted by one of the following methods: 

I. Mail or deliver a physical report to ARB at the address listed 

immediately below: 

California Air Resources Board 

Stationary Source Division (TRU) 

P.O. Box 2815 

Sacramento, CA 95812 

II. Electronically submit through ARB's web site. The web address 

will be identified in an advisory. 

c. TRUs and TRU gen sets added to an operator’s TRU operations after 

January 31, 2009 shall be brought into compliance with subsection 

(e)(1)(E). An application 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 false information is a violation of state 

law subject to civil penalty. 

e. On or before February 1, 2009, the Executive Officer shall begin 

issuing identification numbers to TRU and TRU gen set operators for 

each unit based in California for which a complete application has 

been filed. The number will include a 2-digit prefix for model year 

(e.g. 2001 model year would have a prefix 01); a 6-digit serial 

number; a check-digit, and a letter indicating compliance status with 

in-use performance standards (either “L” or “U”). In the event that an 

operator applies for an early compliance certificate in accordance 

with subsection (e)(1)(F), ARB will also issue a certificate which 

acknowledges early compliance per (e)(1)(F)3. 

f. Within 30 days of receipt of the ARB-issued identification number, 

owner/operators shall permanently affix or paint the identification 

number on the TRU or TRU gen set chassis housing in clear view 

according to the following specification: 

I. The ARB identification number shall be preceded by the letters 

“ARB”. 

II. Letters and numbers shall contrast sharply in color with the color 

of the background surface on which the letters are placed. 

III. The location of the I.D. number shall be as follows: 

i. Truck and trailer TRUs - both sides of TRU chassis housing. 

ii. Rail car and shipping container TRUs– both sides of the TRU. 

iii. TRU gen sets – both sides of gen set housing. 

IV. Letters and numbers shall be readily legible during daylight hours, 

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

V. Marking shall be kept maintained in a manner that retains the 

legibility required by the subparagraph immediately above. 
21 

2. Non-California-based TRUs and TRU Gen Sets: 

a. Operators of non-California-based TRUs and TRU gen sets may 

voluntarily apply for ARB identification numbers for TRUs that are 

based outside of California but operate within California during the 

normal course of business. Non-California-based operators may 

voluntarily submit the same application information listed above in 

subparagraph (e)(1)(E)1.a., above, using the same methods of 

submittal listed in subparagraph (e)(1)(e)1.b., above. Upon 

application approval, ARB would issue identification numbers to the 

operator in accordance with subparagraph (e)(1)(E)1.e., above. The 

non-California-based operator would then permanently affix or paint 

the identification number on the TRU or TRU gen set chassis in clear 

view, in accordance with (e)(1)(E)1.f., above. 

(F) Early Compliance with LETRU In-Use Performance Standards. 

1. For 2002 and older MY TRU and TRU gen set engines, operators or 

owners that meet the LETRU in-use performance standard earlier than 

required in paragraph (e)(1)(B) may apply to the Executive Officer for a 

delay in the ULETRU in-use performance standard. Except as provided 

below, early compliance would be achieved through any of the options 

available in paragraph (e)(1)(A). 

a. This delay would not be available to the operator or owner if the 

engine manufacturer of the replacement engine is using the early 

compliance with engine emissions standards in U.S. EPA’s 

Averaging, Banking, and Trading Program (or California’s equivalent 

program). 

b. Early compliance is conditioned upon real emission reductions (refer 

to definition in sub section (d)) occurring earlier than the applicable 

compliance deadline. 

c. This delay may not be available to the operator or owner if public 

funds were used for early compliance. The applicant shall disclose 

whether public funds were used for any portion of early compliance 

and what program the funding came from. 

2. Early LETRU compliance with real emission reductions would allow 

specific units to delay compliance with ULETRU in-use performance 

standards by up to three years, according to the rounding conventions 

and examples listed below. 

a. 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 qualifies for one full year delay in 

meeting ULETRU compliance. 

II. Two full years early compliance qualifies for two full years delay in 

meeting ULETRU compliance. 

III. Three full years early compliance qualifies for three full years 

delay in meeting ULETRU compliance. 

b. A partial year of early LETRU compliance would be rounded to the 

nearest full year for the delayed ULETRU requirements. 

I. Early LETRU compliance of 183 days or more in a calendar year 

would count toward a one year ULETRU delay. 

II. Early LETRU compliance of 182 days or less in a calendar year 

would not count toward a ULETRU delay. 

3. Upon receipt of an application to delay ULETRU compliance, the 

Executive Officer shall determine if the application demonstrates early 

compliance with LETRU in-use performance standards in accordance 

with subsection (e)(1)(F)1., and if the application is approved, shall delay 

the in-use ULETRU compliance date for specific TRUs and TRU gen 

sets operating in California in accordance with subparagraph (e)(1)(F)2. 

4. Upon approval of the application, ARB shall issue a certificate and ARB 

identification number in accordance with subsection (e)(1)(E)1.e. which 

acknowledges early compliance with LETRU requirements and discloses 

the number of years delay granted, and resulting ULETRU compliance 

date. 

5. The operator shall maintain a legible copy of the certificate in a watertight sleeve mounted inside the TRU or TRU gen set chassis housing. 

The operator shall paint the identification number in clear view in 

accordance with subsection (e)(1)(E)1.f. on the specific TRU or TRU gen 

set that was granted the compliance extension. 

(2) Fuel Requirements.

(A) Operators Choosing to Use Alternative Diesel Fuels. Operators 

choosing to use alternative diesel fuels in compression ignition TRU and 

TRU gen set engines to meet the requirements of subsection (e)(1) shall: 

1. Maintain records in accordance with subsection (f)(1)(B) of this 

regulation. 
23 

2. Use only fuel that is a VDECS alternative diesel fuel that contains no 

conventional diesel or CARB diesel fuel in TRUs or TRU gen sets 

operated in California. 

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

the proper fuel that is required to be in compliance. 

4. In the event that the operator decides to revert to using conventional 

diesel or CARB diesel fuel, the operator shall comply with the 

requirements of subsection (e)(1) within 10 days of discontinuation of 

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

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

use and shall include an update to any ARB I.D. number application or 

annual report submitted to comply with subsections (e)(1)(E), (e)(1)(F), 

or (f)(1). 

(B) Operators that Retrofit TRUs or TRU Gen Sets with a VDECS. 

Operators that retrofit TRUs or TRU gen sets with a VDECS that requires 

certain fuel properties to be met in order to achieve the required PM 

reduction or PM emissions shall only fuel the subject TRU or TRU gen set 

with fuel that meets these specifications when operating in the state of 

California. In addition, operators that choose a VDECS that requires certain 

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

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

nature of the emitted PM shall only fuel the subject TRU or TRU gen set with 

fuel that meets these specifications. 

(f) Monitoring, Recordkeeping, and Reporting Requirements. 

(1) TRU and TRU Gen Set Operator Recordkeeping and Reporting. 

(A) Operator Reporting. 

1. All operators subject to this regulation shall submit an Operator Report to 

ARB by January 31, 2009 that shall include the following information: 

a. Operator name, address, and contact information for the responsible 

official (phone number, email address, fax number). 

b. List of all terminals owned or leased by the operator located within 

California, with address, phone number, and terminal contact name. 

c. TRU and TRU gen set inventory information for each TRU and TRU 

gen set based in California that is owned or leased by the operator: 

I. TRU or gen set make, model, model year, and serial number. 
24 

II. TRU owner, and if other than operator, owner name, address, and 

contact. 

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

IV. Terminal(s) that the TRU is assigned to. 

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

If the ARB identification number has not been issued or there has 

been a change in the other identification numbers listed below 

since the prior annual report, then provide the following 

identification numbers (as applicable): 

i. Vehicle Identification Number. 

ii. Vehicle license number. 

iii. Railcar recording mark and car number. 

iv. Shipping container number (for TRU-equipped shipping 

containers only). 

v. Company equipment number. 

VI. Compliance status with paragraph (e)(1)(A) requirements. 

2. The Operator Report shall be updated within 30 days when changes to 

any of the above operator information occur. 

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

I. Mail or deliver a physical report to ARB at the address listed 

immediately below: 

California Air Resources Board 

Stationary Source Division (TRU) 

P.O. Box 2815 

Sacramento, CA 95812 

II. Electronically submit through ARB's web site. The web address 

will be identified in an advisory. 

3. Failure to report or submittal of false information is a violation of state law 

subject to civil penalty. 

(B) Alternative Diesel Fuel Use and Fuel Additive Recordkeeping and 

Reporting. 
25 

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

alternative diesel fuel in accordance with subparagraph (e)(1)(A)3.d. 

(e.g. B100 biodiesel fuel or ultra-low-aromatic synthetic diesel fuel) 

and/or a VDECS that includes the use of a fuel additive (e.g. fuel-borne 

catalyst) shall maintain records that document exclusive use of the 

chosen fuel or additive for each affected CI engine and hours of 

operation. Appropriate records would be copies of receipts or invoices of 

appropriate fuel and/or fuel additive and daily operating hour logs. 

2. Records shall be kept available for a minimum of three (3) years and 

shall be compiled and made available to the ARB upon request. 

3. Failure to keep records or submittal of false information is a violation of 

state law subject to civil penalty. 

(2) Facility Monitoring, Recordkeeping, and Reporting. 

(A) Facility Reporting. All facilities subject to this subsection shall submit a 

Facility Report to ARB by January 31, 2006, containing the following 

information, as of December 31, 2005: 

1. Contact information for the facility’s responsible official. 

2. Provide all North American Industrial Classification System codes 

(NAICS) applicable to the facility. 

3. The number of loading dock doors serving refrigerated storage space. 

4. The number of square feet of refrigerated storage space. 

5. The number of TRUs or TRU gen sets under facility control by model year 

and horsepower category. 

6. The number of refrigerated trucks, trailers, shipping containers, or railcars 

leased or rented. 

7. The total annual TRU engine operating hours for all TRUs or TRU gen 

sets under facility control during 2005 (e.g. total TRU engine operating 

time for both on-road and off-road operations). 

8. The average weekly number of inbound refrigerated trucks, trailers, 

shipping containers, and railcars delivering goods to the facility during 

2005, calculated by dividing the annual total inbound refrigerated loads 

by 52. 

9. The average weekly number of outbound refrigerated trucks, trailers, 

shipping containers and railcars delivering goods from the facility during 
26 

2005, calculated by dividing the annual total outbound refrigerated loads 

by 52. 

10. The average total number of hours per week that outbound TRU or TRU 

gen set engines operate while at the facility during 2005. Average TRU 

or TRU gen set engine operating time at facility for outbound refrigerated 

loads may be used if the result is representative of the outbound TRU or 

TRU gen set operations at facilities, as determined by the Executive 

Officer. Average values would be determined for outbound loads based 

on recordkeeping, conducted in accordance with subparagraph 

(f)(2)(B)2., and applied to the total annual number of refrigerated 

outbound loads, and then weekly averages calculated as follows: 

Average TRU or TRU gen set engine operating time per outbound 

refrigerated load multiplied by the total annual number of outbound 

loads, divided by 52 weeks equals the average total number of hours per 

week that outbound TRU or TRU gen set engines operate while at the 

facility. 

11. The average total number of hours per week that inbound TRU or TRU 

gen set engines operate while at the facility during 2005. Average TRU 

or TRU gen set engine operating time at facility for inbound refrigerated 

loads may be used if the result is representative of the inbound TRU or 

TRU gen set operations at facilities, as determined by the Executive 

Officer. Average values would be determined for inbound loads based 

on recordkeeping, conducted in accordance with subparagraph 

(f)(2)(B)2., and applied to the total annual number of refrigerated inbound 

loads, and then weekly averages calculated as follows: Average TRU or 

TRU gen set engine operating time per inbound refrigerated load 

multiplied by the total annual number of inbound loads, divided by 52 

weeks equals the average total number of hours per week that inbound 

TRU or TRU gen set engines operate while at the facility. 

12. The number of refrigerated trailers (as defined) that are used at the 

facility for cold storage, the total annual number of hours of TRU engine 

operation associated with these refrigerated trailers, and the total annual 

number of hours of operation using electric standby associated with 

these refrigerated trailers. 

(B) Recordkeeping.

1. Recordkeeping that substantiates the information reported in the Facility 

Report shall be maintained and shall be compiled and made available to 

State inspectors upon request for a minimum of three (3) years. 

2. The Executive Officer may approve alternative recordkeeping and 

calculation procedures for determining the average weekly hours of TRU 
27 

engine operation at a facility for inbound and outbound refrigerated loads, 

provided the Executive Officer finds that the alternative procedures meet 

the intent of subparagraph (f)(2). 

(C) Facility Report Submittals. Facility Reports shall be submitted by one of 

the following methods: 

1. Mail or deliver a physical report to ARB at the address listed immediately 

below: 

California Air Resources Board 

Stationary Source Division (TRU) 

P.O. Box 2815 

Sacramento, CA 95812 

2. Electronically submit through ARB's web site. The web address will be 

identified in an advisory. 

(D) Failure to report or submittal of false information. Failure to report or 

submittal of false information is a violation of state law subject to civil 

penalty. 

(3) Original Equipment Manufacturer Reporting 

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

June 30th of each calendar year thereafter, TRU and TRU gen set original 

equipment manufacturers shall provide to ARB the information listed below 

for all TRUs and TRU gen sets that will be manufactured and marketed for 

sale in the following markets: California, United States, Canada, and Mexico. 

The following data shall be provided for TRUs and TRU gen sets that will be 

produced during the six-month period following the report due date for each 

market area: 

1. TRU or TRU genset manufacturer and model name, as it appears on the 

unit label; and 

2. The following engine information for each TRU or TRU gen set model: 

a. Engine manufacturer; 

b. Engine model, as it appears on the engine emissions label; 

c. Engine model, as it appears on the serial number label, if different; 

d. Engine Family; 

e. Rated horsepower and rated speed; 

f. Displacement (liters); 

g. Exhaust Emissions Control System 

h. Tier standard met 
28 

i. ARB’s Executive Order that the engines are manufactured under 

3. Current Production Reports shall be submitted by one of the following 

methods: 

a. Mail or deliver a physical report in electronic format to ARB at the 

address listed immediately below: 

California Air Resources Board 

Stationary Source Division (TRU) 

1001 I Street 

Sacramento, CA 95814 

b. Electronically submit to ARB's TRU Program via email at: 

tru@arb.ca.gov 

4. Original equipment manufacturers that produce less than 100 TRUs or 

TRU gen sets per calendar year may submit Current Production Year 

Reports within ten days of installing the first engine in a production run of 

a new model. 

(B) Prior Production Reports: 

1. Prior unit and engine data. TRU and TRU gen set original equipment 

manufacturers shall: 

a. By 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 subparagraph (f)(3)(B)1.a., then within 

30 days of any request from ARB, the TRU or TRU gen set original 

equipment manufacturer shall provide a production report to ARB with 

the information listed below in subparagraph 3 for the unit and engine 

serial numbers provided in ARB’s request. 

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 with the information listed below in 

subparagraph 3 for the previous calendar month for each TRU or TRU 

gen set produced for sale in California, North America, Canada, and 

Mexico; or 
29 

b. As an alternative, the TRU or TRU gen set original equipment 

manufacturer may request reporting that is equivalent to and at least 

as effective as subparagraph (f)(3)(B)2.a., immediately above, subject 

to Executive Officer approval. 

3. Original equipment manufacturers shall provide the following information 

for each TRU and TRU gen set: 

a. TRU or TRU gen set model name, as it appears on the unit label 

b. TRU or TRU gen set serial number 

c. Engine manufacturer 

d. Engine model, as it appears on the engine emissions label 

e. Engine model, as it appears on the serial number label, if different; 

f. Engine Family 

g. Engine serial number 

h. Rated horsepower and rated speed 

i. Tier standard met 

4. Prior Production Reports and Flexibility Engine Reports shall be submitted 

on CD or DVD to: 

California Air Resources Board 

Stationary Source Division (TRU) 

1001 I Street 

Sacramento, CA 95814 

(C) Confidentiality of current and prior production reports. TRU and TRU gen set 

original equipment manufacturers may designate current and prior production 

report information as confidential or trade secret, and such information will be 

handled in accordance with title 17, CCR, section 91000. 

(g) Prohibitions.

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

purchaser, or renting or leasing new or used TRUs or TRU gen sets, including, 

but not limited to, manufacturers, distributors, and dealers, shall intentionally or 

negligently import, deliver, purchase, receive, or otherwise acquire a new or 

used TRU or TRU gen set engine that does not meet the performance 

requirements or alternatives set forth in section (e)(1) above. 

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

purchaser new or used TRU or TRU gen set engines, including, but not limited 

to, manufacturers, distributors, and dealers, shall sell, or offer to sell, to an 

ultimate purchaser who is a resident of this State or a person that could 

reasonably be expected to do business in this State a new or used TRU or TRU 
30 

gen set engine that does not meet the performance requirements or alternatives 

set forth in section (e)(1) above. 

(3) No person who is engaged in this State in the business of renting or leasing 

new or used TRU or TRU gen set engines, including, but not limited to, 

manufacturers, distributors, and dealers, shall lease, offer to lease, rent, or offer 

to rent, in this state any new or used TRU or TRU gen set engine that does not 

meet the performance requirements or alternatives set forth in section (e)(1) 

above. 

(4) Operators of affected facilities and operators of affected TRUs and TRU gen 

sets are prohibited from taking action to divert affected TRUs to alternative 

staging areas in order to circumvent the requirements of this section. 

(h) Penalties.

(1) All persons, as defined in section 19 of the Health and Safety Code, found to be 

in violation of title 13, CCR, section 2477 may be cited and subject to the 

penalty provisions set forth in Health and Safety Code sections 39674, 39675, 

42400 et seq., 42402 et seq., and 42410. 

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

39674, 39675, 42400 et seq., 42400.1, 42400.2, 42400.3.5, 42402 et seq., 42402.2, 

42410, 43013 and 43018, Health and Safety Code. 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.