Attachment 1

15-Day Modifications to the Original Proposal

MODIFICATIONS TO THE PROPOSED AMENDMENTS TO THE 

REGULATION FOR MOBILE CARGO HANDLING EQUIPMENT AT 

PORTS AND INTERMODAL RAIL YARDS.

Shown on the following pages are the proposed modifications to the originally proposed 

regulatory text set forth in Appendix A to the Staff Report: Initial Statement of Reasons, 

which was released August 3, 2011. All originally proposed regulatory language is 

shown in underline to indicate additions and strikeout to indicate deletions. The 

proposed modifications to the original proposal are shown in double underline to 

indicate the additions and double strikeout to indicate deletions. Text that is shown in 

both single underline and double strikeout is text change that staff proposed during the 

45-day public notice period but is then deleted due to additional modification as part of 

the 15-day public notice. The symbol “*****” indicates that regulatory language not 

being amended is not shown. 
THIS PAGE INTENTIONALLY LEFT BLANK
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REGULATION FOR MOBILE CARGO HANDLING EQUIPMENT AT PORTS AND 

INTERMODAL RAIL YARDS

Amend title 13, California Code of Regulations (CCR) section 2479 to read as follows.

Section 2479. Regulation for Mobile Cargo Handling Equipment at Ports and 

Intermodal Rail Yards.

(a) Purpose

The purpose of this regulation is to reduce diesel particulate matter (PM) and criteria 

pollutant emissions from compression ignition (CI) mobile cargo handling equipment 

that operate at ports and intermodal rail yards in the state of California. 

(b) Applicability

Except as provided in subsection (c), the regulation would apply to any person who 

conducts business in California who sells, offers for sale, leases, rents, purchases, 

owns or operates any CI mobile cargo handling equipment that operates at any 

California port or intermodal rail yard. Mobile cargo handling equipment propelled by 

engines certified to a cycle other than the diesel cycle, i.e. otto cycle engine, are not 

subject to this section. 

(c) Exemptions

(1) The requirements of this section do not apply to:

(A) mobile cargo handling equipment that do not operate at a port or 

intermodal rail yard;

(2B) The requirements of this section do not apply to portable CI engines;

(3) The requirements of subsections (e), (f), (g), (h), and (i) do not apply to 

mobile cargo handling equipment that are not used to handle cargo at any 

time but are used for transporting personnel or fuel delivery. Examples 

include, but are not limited to, fuel delivery trucks operating solely at the 

terminal to deliver fuel to terminal equipment and vans and buses used to 

transport personnel;

(4C) The requirements of this section do not apply to military tactical support

cargo handling equipment; 

(D) equipment used solely to support construction activities at a port or 

intermodal rail yard;

(5E) The requirements of this section do not apply to mobile cranes as 

defined in subsection (d)(339); and
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(5F) The requirements of this section to not apply to sweepers as defined in 

subsection (d)(5463); and

(G) rented, leased, or contracted equipment brought onto a port or 

intermodal rail yard to perform unexpected repairs that are not routine in 

nature or due to predictable maintenance activities.

(32) The requirements of subsections (e) through (j) do not apply to mobile cargo 

handling equipment that are used exclusively for transporting personnel or 

delivering fuel to equipment or vehicles on terminal or rail yard property. 

Examples include, but are not limited to, fuel delivery trucks operating solely 

at the terminal to deliver fuel to terminal equipment and vans and buses used 

to transport personnel.

(3) The requirements of subsection (e)(1)(B) do not apply to

(A) a replacement engine for an engine that has failed during its warranty 

period and replaced per the warranty provisions.

(B) non-yard truck cargo handling equipment that is owned, leased, or rented 

by an owner or operator of a port terminal or intermodal rail yard and has 

been moved from one port terminal or intermodal rail yard to another port 

terminal or intermodal rail yard under the control of the same owner or 

operator and has received approval for such transfer under subsection (k)

below.

(d) Definitions

For purposes of this section, the definitions of Health and Safety Code section 39010 

through 39060 shall apply except to extent that such definitions may be modified by the 

following definitions that apply specifically to this regulation:

(1) “Alternative Diesel Fuel” means any fuel used in a CI engine that is not 

commonly or commercially known, sold, or represented by the supplier as diesel 

fuel No. 1-D or No. 2-D, pursuant to the specifications in ASTM D975-81, 

“Standard Specification for Diesel Fuel Oils,” as modified in May 1982, which is 

incorporated herein by reference, or an alternative fuel, 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 that does not meet the definition of CARB diesel fuel; Fischer-Tropsch 

fuels; emulsions of water in diesel fuel; and fuels with a fuel additive, unless: 

(A) the additive is supplied to the 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 

engine, or

(C) the additive and base fuel are not mixed until engine fueling commences, 

and no more additive plus base fuel combination is mixed than required for a

single fueling of a single engine.
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(2) “Alternative Fuel” means natural gas, propane, ethanol, methanol, gasoline 

(when used in hybrid electric mobile cargo handling equipment only), hydrogen, 

electricity, fuel cells, or advanced technologies that do not rely on diesel fuel. 

"Alternative fuel" also means any of these fuels used in combination with each 

other or in combination with other non-diesel fuel.

(23) “Alternate PM Standard” means one of the Family Emissions Limits (FEL) 

standards that are currently available to engine manufacturers under title 13, 

California Code of Regulations (CCR), section 2423. Alternate standards are of 

limited duration and may be selectively applied to total or partial engine family 

production volumes.

(34) “Basic Container Handling Equipment” means mobile cargo handling equipment, 

other than yard trucks, bulk cargo handling equipment, and RTG cranes, used to 

handle cargo containers. Basic Container Handling Equipment includes but is 

not limited to top handlers, side handlers, reach stackers, straddle carriers, and 

forklifts.

(45) “Bulk Cargo Handling Equipment” means mobile cargo handling equipment, 

other than yard trucks, basic container handling equipment, and RTG cranes, 

generally used to move non-containerized cargo, including but not limited to 

dozers, excavators, loaders, tractors, mobile cranes (excluding rubber-tired 

gantry cranes), aerial lifts, and sweepers.

(56) “California Air Resources Board (CARB) Diesel Fuel” means any diesel fuel that 

meets the specifications of vehicular diesel fuel, as defined in title 13 CCR, 

sections 2281, 2282, and 2284.

(67) “Carbon Monoxide (CO)” is a colorless, odorless gas resulting from the 

incomplete combustion of hydrocarbon fuels.

(8) “Cargo” means material, goods, or commodities that have been or will be 

transported to or from a port or intermodal rail yard by ship, train, truck, or other 

mode of transportation.

(79) “Cargo Handling Equipment” means any off-road, self-propelled vehicle or 

equipment used at a port or intermodal rail yard to lift or move container, bulk, or 

liquid cargo carried by ship, train, or another vehicle, or used to perform 

maintenance and repair activities that are routinely scheduled or that are due to 

predictable process upsets. Equipment includes, but is not limited to,

rubber-tired gantry cranes, yard trucks, top handlers, side handlers, reach 

stackers, forklifts, loaders, aerial lifts, excavators, and dozers.

(810) “Certified Off-road Diesel Engine” means an engine certified to California off-road 

engine emission standards under title 13 CCR, section 2423.
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(11) “Class I Railroad” is a freight railway based on large revenues ($250 million or 

more) in comparison to the revenues of Class II (which ranges from greater than 

$20 million but less than $250 million) and Class III (less than $20 million) 

railways, as defined by the Surface Transportation Board.

(912) “Certified On-road Diesel Engine” means an engine certified to California on-road

diesel engine emission standards under title 13 CCR, section 1956.8.

(1013)“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. Any engine certified under the diesel 

cycle is included under the definition of a compression ignition engine.

(14) “Construction Activities” means any activities at a port or intermodal rail yard that 

is preparatory to or involved with the building, alteration, rehabilitation, 

demolition, or improvement of property, including, but not limited to, the following 

activities; grading excavation, loading, crushing, cutting, planning, shaping, or 

ground breaking.

(1115)“Contiguous Properties” means two or more parcels of land with a common 

boundary or separated solely by a public roadway or other public right-of-way.

(1216)“Diesel Fuel” means any fuel that is commonly or commercially known, sold, or 

represented by the supplier as diesel fuel, including any mixture of primarily liquid 

hydrocarbons (HC) - organic compounds consisting exclusively of the elements 

carbon and hydrogen - that is sold or represented by the supplier as suitable for 

use in an internal combustion, compression-ignition engine.

(1317)“Diesel-Fueled” means a CI engine fueled by diesel fuel, CARB diesel fuel, or jet 

fuel, in whole or part.

(1418)“Diesel Oxidation Catalyst (DOC)” means a catalyst promoting oxidation 

processes in diesel exhaust, and usually designed to reduce emissions of the 

organic fraction of diesel particulates, gas-phase HC, and CO.

(1519)“Diesel Particulate Filter (DPF)” means an emission control technology that 

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

periodically removes the collected particles by either physical action or by 

oxidizing (burning off) the particles in a process called regeneration.

(1620)“Diesel Particulate Matter (Diesel PM)” 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.

(1721)“Dozer” means an off-road tractor, either tracked or wheeled, equipped with a 

blade.
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(1822)“Emission Control Strategy” means any device, system, or strategy employed 

with a diesel engine that is intended to reduce emissions, including, but not 

limited to, diesel oxidation catalysts, selective catalytic reduction systems, fuel 

additives, diesel particulate filters, alternative diesel fuels, water emulsified fuels, 

and any combination of the above. 

(1923)“Excavator” means an off-road vehicle consisting of a backhoe and cab mounted 

on a pivot atop an undercarriage with tracks or wheels.

(2024)“Executive Officer” means the Executive Officer of the California Air Resources 

Board or his/her designee.

(25) “Family Emissions Limits (FEL)” means an emission level that is declared by the 

manufacturer to serve in lieu of an emissions standard for certification purposes 

and for the averaging, banking, and trading program as defined in title 13, CCR, 

section 2423.

(2126)“Fleet” means the total number of mobile cargo handling equipment vehicles 

owned, rented, or leased by an owner or operator at a specific terminal or 

intermodal yard location.

(2227)“Forklift” means an off-road industrial truck used to hoist and transport materials 

by means of steel fork(s) under the load.

(2328)“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.

(29) “Hybrid” means powered by two or more sources of energy.

(242930)“Heavy-duty Pilot Ignition Engine” means an engine designed to operate using 

an alternative fuel, except that diesel fuel is used for pilot ignition at an average 

ratio of no more than one part diesel fuel to ten parts total fuel on any energy 

equivalent basis. An engine that can operate or idle solely on diesel fuel at any 

time does not meet this definition.

(25310)“Hydrocarbon (HC)” means the sum of all hydrocarbon air pollutants.

(26321)“In-Use” means a CI engine that is not a “new” CI engine.

(27332)“Intermodal Rail Yard” means any transportation facility, owned or operated by a

Class I Railroad, which is primarily dedicated to the business of rail and/or

intermodal rail operations where cargo is transferred to or from a train and any 

other form of conveyance, such as train to ship, ship to train, train to truck, or 

truck to train.
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(28343)“Lease” means a contract by which one conveys cargo handling equipment for a 

specified term and for a specified rent.

(29354)“Level” means one of three categories of Air Resources Board-verified diesel 

emission control strategies as set forth in title 13, CCR, section 2701 et seq: 

Level 1 means the strategy reduces engine diesel particulate matter emissions 

by between 25 and 49 percent, Level 2 means the strategy reduces engine 

diesel particulate matter emissions by between 50 and 84 percent, and Level 3 

means the strategy reduces engine diesel particulate matter emissions by 

85 percent or greater, or reduces engine emissions to less than or equal to 

0.01 grams diesel PM per brake horsepower-hour.

(30365)“Loader” means any type of off-road tractor with either tracks or rubber tires that 

uses a bucket on the end of movable arms to lift and move material; can be also 

referred to as a front-end loader, front loader, skid steer loader, backhoe, rubbertired loader, or wheeled loader.

(376) “Low-throughput Port” means a port that has a two-year average annual cargo 

throughput of less than one million tons per year, not including petroleum 

products, as reported by the U.S. Army Corps of Engineers, Waterborne 

Commerce Statistics Center. 

(31387)“Military Tactical Support Cargo Handling Equipment” means cargo handling 

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.

(32398)“Minimum Use Requirement” means an agreement, as part of state or local 

incentive funding programs or written agreement between mobile cargo handling 

equipment owners or operators and the Ports of Long Beach, Los Angeles, or 

Oakland, to use an emission control device on mobile cargo handling equipment 

for a specified minimum number of years and/or hours. 

(333940)“Mobile Crane” means a mobile machine, other than a rubber-tired gantry 

crane, with a hoisting mechanism mounted on a specially constructed truck 

chassis or carrier; a mobile crane can either be a single-engine crane or a twoengine crane. 

(34410)“Model Year” means the CI 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.

(35421)“Newly Purchased, Leased, or Rented Cargo Handling Equipment” means 

mobile cargo handling equipment, or a diesel-fueled CI engine installed in mobile 

cargo handling equipment, that is newly purchased, rented, or leased, or 

otherwise brought onto a port or intermodal rail yard by an owner or operator on 
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or after January 1, 2007, and is operated at a port or intermodal rail yard in the 

state of California after January 1, 2007. 

(36432)“Nitrogen Oxides (NOx)” means compounds of nitric oxide (NO), nitrogen 

dioxide (NO2), and other oxides of nitrogen, which are typically created during 

combustion processes and are major contributors to smog formation and acid 

deposition.

(37443)“Non-Methane Hydrocarbons (NMHC)” means the sum of all HC air pollutants 

except methane.

(38454)“Non-Yard Truck Mobile Cargo Handling Equipment” means all mobile cargo 

handling equipment other than yard trucks.

(39465)“Ocean-going Vessel” means a commercial, government, or military vessel 

meeting any one of the following criteria: 

(A) a vessel with a “registry” (foreign trade) endorsement on its United States 

Coast Guard certificate of documentation, or a vessel that is registered 

under the flag of a country other than the United States; 

(B) a vessel greater than or equal to 400 feet in length overall (LOA) as defined 

in 50 CFR § 679.2, as adopted June 19, 1996; 

(C) a vessel greater than or equal to 10,000 gross tons (GT ITC) per the 

convention measurement (international system) as defined in 46 CFR 

69.51-.61, as adopted September 12, 1989; or 

(D) a vessel propelled by a marine compression ignition engine with a percylinder displacement of greater than or equal to 30 liters.

(40476)“Off-Road Engine” means an engine used in an off-road vehicle, or piece of 

equipment, including a certified on-road diesel engine.

(41487)“Off-Road Vehicle or Equipment” means any non-stationary device, including 

registered motor vehicles, powered by an internal combustion engine or motor, 

used primarily off the highways to propel, move, or transport persons or property. 

(498) “Opacity” means the fraction of a beam of light, expressed in percent, which fails 

to penetrate a plume of smoke.

(4950)“Otto cycle Engine” means a type of engine with operating characteristics 

significantly similar to the theoretical Otto combustion cycle. The primary means 

for controlling power output in an Otto cycle engine is by limiting the amount of 

air and fuel that can enter the combustion chambers of the engine. Gasolinefueled engines are Otto cycle engines.

(42510)“Owner or Operator” means any person that owns or operates a port terminal or 

intermodal rail yard subject to the requirements of this section, including but not 

limited to:
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(A) an individual, trust, firm, joint stock company, business concern, partnership, 

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

to, a government corporation; and

(B) 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.

(43521)“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. 

(44532)“Port” is a publically or privately owned property located at a harbor or along a 

waterway where marine and port terminals typically load or unload water-borne 

commerce onto and from ocean-going vessels; a port includes all property within 

the physical boundaries of the port or demarcated as the port on city or county 

land maps as well as other contiguous or adjacent properties owned or operated 

by the port. means a place, which typically consists of different terminals, where 

cargo is loaded onto and unloaded from ocean-going vessels primarily. A port

includes military terminals that operate cargo handling equipment when located 

as part of, or on contiguous properties with, non-military terminals.

(45543)“Portable CI Engine” means a compression ignition (CI) engine designed and 

capable of being carried or moved from one location to another. Indicators of 

portability include, but are not limited to, wheels, skids, carrying handles, dolly, 

trailer, or platform. Portable engines are not self-propelled.

(46554)“Purchased” means the date shown on the front of the cashed check, the date 

of the financial transaction, or the date on the engine purchasing agreement, 

whichever is earliest.

(47565)“Railcar Mover” means an off-road vehicle fitted with rail couplers and capable 

of traveling on both roads and rail tracks.

(48576)“Reach Stacker” means an off-road truck-like cargo container handler that uses 

an overhead telescopic boom that can reach across two or more stacks of cargo 

containers and lift the containers from the top.

(49587)“Registered Motor Vehicle” means a yard truck or other cargo handling vehicle 

that is registered as a motor vehicle under Vehicle Code section 4000, et seq.

(50598)“Rent” means payment for the use of mobile cargo handling equipment for a 

specified term.

(515960)“Retirement” or “Retire” means an engine or vehicle that will be taken out of 

service by an owner or operator, and will not be operated at any port or 

intermodal rail yard in the State of California by the same or different owner or 
9

operator, and will not be replaced with a new engine or vehicle. The engine may 

be sold outside of California or scrapped. 

(52610)“Rubber-tired Gantry Crane or RTG Crane” means an off-road overhead cargo 

container crane with the lifting mechanism mounted on a cross-beam supported 

on vertical legs which run on rubber tires. RTG cranes do not include gantry 

cranes that operate on steel wheels and rails.

(621) “Safe” means cargo handling equipment that can be operated with little or no

additional risk of operational accidents due to, but not limited to, installation of 

verified diesel emission control strategies that impair the operator’s operational 

vision to the front and sides or change vehicle balance. An Executive Officer 

determination regarding safe use shall be consistent with California and federal 

safety regulations and rulings. 

(53632)“Side Handler or Side Pick” means an off-road truck-like cargo container handler 

that uses an overhead telescopic boom to lift empty or loaded cargo containers 

by grabbing either two top corners on the longest side of a container, both arms 

of one side of a container, or both top and bottom sides of a container.

(54643)“Sweeper” means an off-road vehicle with attached brushes underneath that 

sweep the ground and pick up dirt and debris.

(55654)“Terminal” means a facility, including one owned or operated by the Department 

of Defense or the U.S. military services, that operates cargo handling equipment 

at a port or intermodal rail yard.

(56665)“Tier 4 Off-road Emission Standards” means the emission standards 

promulgated by the United States 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) which harmonize 

with the final amended emission standards for newly manufactured off-road 

engines approved by the Air Resources Board on December 12, 2004.

(57676)“Top Handler or Top Pick” means an off-road truck-like cargo container handler 

that uses an overhead telescopic boom to lift empty or loaded cargo containers 

by grabbing the top of the containers.

(687) “Two-year Average Annual Cargo Throughput ” means the arithmetic average of 

the annual cargo throughput, not including petroleum products, as reported by 

the U.S. Army Corps of Engineers, Waterborne Commerce Statistics Center, for 

the most recently reported calendar year and the calendar year immediately 

preceding that year. 

(698) “Urban Area” means a densely developed territory that contains 50,000 or more

people as defined by the latest U.S. Census Bureau census.
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(586970)“Verification Procedure, Warranty and In-Use Compliance Requirements for 

In-Use Strategies to Control Emissions from Diesel Engines (Verification 

Procedure)” means the Air Resources Board (ARB) regulatory procedure codified 

in title 13, CCR, sections 2700-2710, which is incorporated herein by reference, 

that engine manufacturers, sellers, owners, or operators may use to verify the 

reductions of diesel PM and/or NOx from in-use diesel engines using a particular 

emission control strategy.

(59710)“Verified Diesel Emission Control Strategy (VDECS)” means an emission 

control strategy, designed primarily for the reduction of diesel PM emissions, 

which has been verified pursuant to the “Verification Procedure for In-Use 

Strategies to Control Emissions from Diesel Engines” in title 13, California Code 

of Regulations, commencing with section 2700.

(721) “Warranty Period” means the period of time and/or mileage that the vehicle, 

engine, or part is covered by the engine manufacturer’s new engine warranty 

provisions.

(732) “Water-borne Commerce” means the movement of materials, goods or 

commodities using vessels or other craft plying upon navigable waters of the 

United States.

(60743)“Yard truck” means an off-road mobile utility vehicle used to carry cargo 

containers with or without chassis; also known as utility tractor rig (UTR), yard 

tractor, yard goat, yard hostler, yard hustler, or prime mover.

(e) Requirements

(1) Newly Purchased, Leased, or Rented Equipment Performance Standards: 

(A) Yard Trucks:

1. Except as provided in subsection (c), on or after January 1, 2007, no 

owner or operator shall operate any newly purchased, leased, or rented 

yard trucks unless they are equipped with the following types of engines:

a. Yard trucks that are registered as motor vehicles shall be equipped 

with engines that meet the on-road emission standards as specified 

in title 13, California Code of Regulations, section 1956.8, for the 

model year in which the yard trucks and engines were newly 

purchased, leased, or rented. 

b. Yard trucks that are not registered as motor vehicles shall be 

equipped with engines:

i.(i) that are certified to the on-road emission standards set forth in

title 13, CCR, section 1956.8; for the model year in which the 
11

yard trucks and engines were newly purchased, leased, or 

rented; or

ii.(ii) that have been certified to meet the final Tier 4 off-road 

emission standards for the rated horsepower; or.

(iii) that have been equipped with alternative power systems that 

can be demonstrated to the Executive Officer, through use of

reliable and repeatable emissions data from one of the 

following tests to meet either the on-road NOx and PM 

emission standards as specified in title 13, CCR section 

1956.8 or the Tier 4 final off-road NOx and PM emissions 

standards as specified in title 13, CCR section 2423(b)(1)(B), 

that are in effect for the rated horsepower and the model year 

in which the yard truck and/or engine or power system is 

newly purchased, leased, or rented:

A. Testing conducted using the test methods set forth in 

subsection (n) or an alternative test method approved by 

the Executive Officer:,

B. Testing conducted by the engine manufacturer for that 

engine;

C. Testing conducted by the engine manufacturer from 

another in-use engine that is configured and used in a 

substantially similar way to the engine;

D. Testing conducted to meet the regulatory requirements 

of ARB’s Verification Procedure; or

E. Testing conducted to meet the requirements for U.S. 

EPA certification of systems providing remanufacture to 

a cleaner standard.

(B) Non-Yard Truck Cargo Handling Equipment:

1. Except as provided in subsection (c), oOn or after January 1, 2007, no 

owner or operator shall operate any newly purchased, leased, or rented

non-yard truck vehicles or equipment unless they meet the following: 

a. Non-yard truck mobile cargo handling equipment that are registered 

as motor vehicles for on-road use unless they are shall be equipped with 

engines that meet the on-road emission standards as specified in title 

13, California Code of Regulations CCR, section 1956.8, for the model 

year in which the non-yard truck mobile cargo handling equipment and 

engines were newly purchased, leased, or rented.

b 2. On or after January 1, 2007, no owner or operator shall operate any 

newly purchased, leased, or rented Nnon-yard truck mobile cargo 

handling equipment that are not registered as motor vehicles for on-road 

use unless shall be equipped with engines:

i. a. They are equipped with engines that have been certified to meet the 

on-road emission standards as specified in title 13, California Code 
12

of Regulations CCR, section 1956.8 for the model year in which the 

non-yard truck mobile cargo handling equipment and engines were 

newly purchased, leased, or rented; or ii. that have been certified to 

meet the Tier 4 off-road emission standards as specified in title 13, 

CCR section 2423(b)(1)(B) for the model year and rated horsepower 

of the newly purchased, leased, or rented non-yard truck mobile 

cargo handling equipment engines; or

c.3. i If an owner or operator cannot comply with one of the compliance 

options of a. (b) above because it is not available for the specific 

application and equipment type, the non-yard truck mobile cargo 

handling equipment shall be are equipped with engines that have been

certified to meet the highest available level off-road diesel engine 

emission standards as specified in title 13, California Code of 

Regulations CCR, section 2423 for the rated horsepower and model 

year in which the equipment were newly purchased, leased, or rented, 

provided the owner or operator must install the highest level VDECS 

available within one year after the purchase, lease, or rental of the 

equipment, or within 6 months of when a VDECS becomes available, if 

that occurs after one year after the purchase, lease, or rental.

4. Alternatively, the owner or operator may elect to equip the non-yard 

truck mobile cargo handling equipment with engines or power systems

that can be demonstrated to the Executive Officer, by using emissions 

reliable and repeatable test data from one of the following tests, to meet 

the Tier 4 off-road NOx and PM emissions standards as specified in title 

13, CCR section 2423(b)(1)(B) that are in effect for the rated horsepower 

and model year in which the engine or power system is newly 

purchased, leased, or rentedmanufactured by one of the methods below:

i.a. The results fromTesting conducted using the test methods set forth

in subsection (n) or an alternative test method approved by the 

Executive Officer:

ii.b.The certification test data or other emissions test data ofTesting 

conducted by the engine manufacturer for that engine;

iii.c.Emissions test data derivedTesting conducted by the engine 

manufacturer from another in-use engine that is configured and used 

in a substantially similar way to the engine;

iv.d.Emissions test data usedTesting conducted to meet the regulatory 

requirements of ARB’s Verification Procedure; or

v.e.Emissions test data usedTesting conducted to meet the 

requirements for U.S. EPA certification of systems providing 

remanufacture to a cleaner standard.

5. If non-yard truck cargo handling equipment not registered for on-road use 

have been purchased with engines complying with one of the options of 

subsection (e)(1)(B)2. above but there is a manufacturer’s delay in 

delivery, and if no comparable compliant cargo handling equipment are
13

is available for lease, then the owner or operator may lease comparable 

non-yard truck mobile cargo handling equipment that are equipped with

engines that have been certified to meet the highest available level offroad diesel engine emission standards as specified in title 13, California 

Code of Regulations, section 2423 for the rated horsepower and model 

year in which the equipment are leased, provided the owner or operator

provides the following to the Executive Officer: 

a. Identification of the equipment type and application, including 

required engine horsepower:

b. Purchase order, letter, or other form of documentation that 

demonstrates that the owner/operator has entered into a contract 

to purchase equipment with engines certified to subsection 

(e)(1)(B)2. and includes the anticipated delivery date, and

c. Documentation from representatives of equipment and/or engine 

manufacturers supporting claim of non-availability, including 

anticipated date of availability.

d. Equipment may be leased or rented for up to a six month period or 

until purchased equipment are available, whichever is longer. 

(2) In-Use Performance Standards for In-Use Yard Trucks

(A) In accordance with the schedule set forth below in paragraph (e)(2)(B), no 

owner or operator shall operate an in-use yard truck covered by this 

regulation at a port or intermodal rail yard unless the engine meets the 

performance requirements set forth below: 

1. Is certified to 2007 or later on-road emission standards for the model 

year of the year purchased as specified in title 13, California Code of 

Regulations, section 1956.8; or

2. Is certified to final Tier 4 off-road emission standards for the rated 

horsepower; or

3. Is equipped with a VDECS or OEM aftertreatment controls that results in 

emissions less than or equal to the diesel PM and NOx emission 

standards for a certified final Tier 4 off-road diesel engine of the same 

horsepower rating.; or

4. Is an engine or power system that can be demonstrated to the Executive 

Officer, through use of reliable and repeatable emissions data from one 

of the following tests to meet either the on-road NOx and PM emission 

standards as specified in title 13, CCR section 1956.8, or Tier 4 final offroad NOx and PM emissions standards as specified in title 13, CCR 

section 2423(b)(1)(B), that are in effect for the rated horsepower and the 

model year in which the yard truck and/or engine or power system is 

newly purchased, leased, or rented:

a. Testing conducted using the test methods in subsection (n) or an 

alternative test method approved by the Executive Officer:
14

b. Testing conducted by the engine manufacturer for that engine;

c. Testing conducted by the engine manufacturer from another in-use 

engine that is configured and used in a substantially similar way to 

the engine;

d. Testing conducted to meet the regulatory requirements of ARB’s 

Verification Procedure; or

e. Testing conducted to meet the requirements for U.S. EPA 

certification of systems providing remanufacture to a cleaner 

standard.

5. Annually per the following procedure, does not exceed the maximum 

opacity levels as provided in subsections (e)(2)(A)45.a. through g. 

below. For equipment retrofitted with a VDECS the opacity of engine-out 

exhaust must be measured with VDECS removed, such as when 

VDECS is removed for cleaning. Equipment with OEM aftertreatment 

controls should not remove the aftertreatment control when testing 

engine opacity levels.

a. The opacity shall be measured during the preconditioning and test 

phases with a smoke meter consistent with Society of Automotive 

Engineers “Surface Vehicle Recommended Practice, Snap 

Acceleration Smoke Test Procedure for Heavy-Duty Powered 

Vehicles” (SAE J1667).(February 1996), which is incorporated by 

reference herein, and as specified in subsection (e)(2)(A)45.g. The 

results shall be recorded continuously on the chart recorder during 

each snap-idle cycle. 

b. Opacity is to be measured according to the following procedure:

i.(i.) Preparation Phase. The yard truck shall be placed at rest, 

with the transmission in neutral, and the yard truck properly 

restrained to prevent any rolling motion.

ii.(ii) Preconditioning Phase. The yard truck shall be put through 

a snap-idle cycle two or more times until two successive 

measured smoke levels are within five (5) opacity percent of 

each other. The smoke meter shall be rechecked prior to 

the preconditioning sequence to determine that its zero and 

full scale reading are adjusted according to specifications in

section 5.4.2 of SAE J1667.

iii.(iii) Test Procedure Phase. The yard truck shall be put through 

the snap-idle cycle three times.

iv.(iv) The maximum instantaneous value recorded by the chart 

recorder shall be recorded as the maximum opacity reading.

v.(v) The test opacity to determine the compliance with 

subsection (e)(2)(A)45.e. shall be the average of the two 

meter readings with the least difference in opacity values. If 

all three readings have successive equivalent differences 
15

between them, the test opacity shall be the average of the 

three readings.

c. If the opacity exceeds the following limits, the equipment is to be 

taken out of service and repaired. The information is to be recorded 

as specified subsection (i)(1)(D)9. A post-repair opacity test is to be 

performed to determine if the measured opacity is within the

requirements in subsection (e)(2)(A)45.e. Equipment must be 

repaired such that it meets these opacity requirements before putting 

it back into service.

d. If the post-repair opacity measure is 5 opacity percent higher than the 

opacity requirement in subsection (e)(2)(A)45.e., it shall be taken out 

of service. It may be returned to service if it can be repaired so that 

the post-repair opacity is no more than 5 opacity percent greater than 

the requirement in subsection (e)(2)(A)45.e.

e. Opacity requirements:

No yard truck shall exceed the smoke opacity levels provided below 

when tested in accordance with this section.

i.(i) Yard trucks powered by a non-certified diesel-fueled engine or 

an engine certified to a U.S. EPA PM emissions limit of greater

than 0.40 grams/brake horsepower-hour (g/bhp-hr) PM shall

not exceed 55 percent smoke opacity when tested in 

accordance with this section.

ii.(ii) Yard trucks powered by a diesel-fueled engine certified to a 

U.S. EPA PM emissions limit greater than or equal to 0.31 but 

less than or equal to 0.40 g/bhp-hr PM shall not exceed 45

percent smoke opacity when tested in accordance with this 

section.

iii.(iii) Yard trucks powered by a diesel-fueled engine certified to a 

U.S. EPA PM emissions limit of greater than or equal to 0.21 

but less than or equal to 0.30 g/bhp-hr PM shall not exceed 35 

percent smoke opacity when tested in accordance with this 

section.

iv.(iv) Yard trucks powered by a diesel-fueled engine certified to a 

U.S. EPA PM emissions limit of greater than or equal to 0.11

but less than or equal to 0.20 g/bhp-hr PM shall not exceed 25

percent smoke opacity when tested in accordance with this 

section.

v.(v) Yard trucks powered by a diesel-fueled engine certified to a 

U.S. EPA PM emissions limit of greater than or equal to 0.05 

but less than or equal to 0.10 g/bhp-hr PM shall not exceed 15 

percent smoke opacity when tested in accordance with this 

section.

vi.(vi) Yard trucks powered by a diesel-fueled engine certified to a 

U.S. EPA PM emissions limit of less than 0.05 g/bhp-hr PM 
16

shall not exceed 5 percent smoke opacity when tested in 

accordance with this section. 

f. Individuals conducting opacity tests must have completed training 

conducted by the California Council on Diesel Education and 

Technology and obtained certification on the proper administration of 

the SAE J1667 test procedure. 

g. The smoke opacity measurement equipment shall consist of a light 

extinction type smoke meter that has an optical detection unit, a 

control/indicator unit, and a strip chart recorder. i. The smoke meter 

shall comply with the specifications provided in section 6 of the SAE 

J1667 procedure and shall be calibrated according to specifications in 

section 7 of the SAE J1667 procedure.

h. Initial phase-in for fleets of five or more yard trucks. Fleets of five or 

more yard trucks shall test the yard trucks in the fleet for smoke 

opacity in accordance with the requirements of (e)(2)(A)45.a. through 

g. above pursuant to the following schedule:

i.(i) at least 25 percent of the fleet’s yard trucks within 

180 calendar days of the effective date for these regulations;

ii.(ii) at least 50 percent of the fleet’s yard trucks within 

270 calendar days of the effective date for these regulations;

iii.(iii)at least 75 percent of the fleet’s yard trucks within 

365 calendar days of the effective date for these regulations;

iv.(iv)the fleet’s remaining yard trucks within 455 calendar days after 

the effective date for these regulations.

v.(v) for fleets of one to four yard trucks shall test at least one yard 

truck within 180 days of the regulation becoming effective, 

and one yard truck in each subsequent 90 day calendar day 

period, until all yard trucks in the fleet have been tested.

i. If it can be demonstrated that complying with the requirements of 

subsection (e)(2)(A)45. is not feasible due to the engine/equipment 

configuration then an alternative method of compliance may be used 

if approved by the EO. In approving a request for use of an 

alternative method, the Executive Officer will consider whether the 

owner/operator is able to demonstrate that alternative method will be 

able to detect increases in soot accumulation rates in the 

aftertreatment control device and be able to provide needed 

maintenance and repair.

j. Yard trucks powered by a 2009 or subsequent model year engine are 

exempt from subsection (e)(2)(A)5. until January of the calendar year 

that is four years after the model year of the engine. For example, a 

2009 model year engine is exempt until January 1, 2013. 
17

(B) Compliance Schedules for In-Use Yard Trucks

1. All owners or operators of three or fewer yard trucks shall comply 

with subsection (e)(2) according to the schedule in Table 1: 

Table 1: Compliance Schedule for In-Use Yard Truck Fleets of Three or Less1

Off-road without VDECS Installed by 

December 31, 2006

Off-road with VDECS Installed by 

December 31, 2006

Model Year Compliance Deadline Model Year Compliance Deadline

Pre-2003 Dec. 31, 2007 Pre-2003 Dec. 31, 2008

2003 Dec. 31, 2010 2003 Dec. 31, 2011

2004 Dec. 31, 2011 2004 Dec. 31, 2012

2005 Dec. 31, 2012 2005 Dec. 31, 2013

2006 Dec. 31, 2013 2006 Dec. 31, 2014

On-road without VDECS Installed by 

December 31, 2006

On-road with VDECS Installed by 

December 31, 2006

Model Year Compliance Deadline Model Year Compliance Deadline

Pre-2000 Dec. 31, 2007 Pre-2000 Dec. 31, 2008

2000 Dec. 31, 2008 2000 Dec. 31, 2009

2001 Dec. 31, 2009 2001 Dec. 31, 2010

2002 Dec. 31, 2010 2002 Dec. 31, 2011

2003 Dec. 31, 2011 2003 Dec. 31, 2012

2004 Dec. 31, 2012 2004 Dec. 31, 2013

2005 Dec. 31, 2013 2005 Dec. 31, 2014

2006 Dec. 31, 2014 2006 Dec. 31, 2015

1. All owners or operators of four or more yard trucks shall comply with 

subsection (e)(2) according to the schedule in Table 2:

 

1 The model year in Tables 1 and 2 refers to the newer of the engine model year or the equipment model 

year.
18

Table 2: Compliance Schedule for In-Use Yard Truck Fleets of Four or More2

 

2 The model year in Tables 1 and 2 refers to the newer of the engine model year or the equipment model 

year.

Off-road without VDECS Installed by 

December 31, 2006

Off-road with VDECS Installed by 

December 31, 2006

Model 

Year % of Model Year Compliance Deadline

Model 

Year % of Model Year Compliance Deadline

Pre-2003 Greater of 3 or 50% Dec. 31, 2007 Pre-2003 Greater of 3 or 50% Dec. 31, 2008

100% Dec. 31, 2008 100% Dec. 31, 2009

2003

Greater of 3 or 25% Dec. 31, 2010

2003

Greater of 3 or 25% Dec. 31, 2011

50% Dec. 31, 2011 50% Dec. 31, 2012

100% Dec. 31, 2012 100% Dec. 31, 2013

2004

Greater of 3 or 25% Dec. 31, 2011

2004

Greater of 3 or 25% Dec. 31, 2012

50% Dec. 31, 2012 50% Dec. 31, 2013

100% Dec. 31, 2013 100% Dec. 31, 2014

2005

Greater of 3 or 25% Dec. 31, 2012

2005

Greater of 3 or 25% Dec. 31, 2013

50% Dec. 31, 2013 50% Dec. 31, 2014

100% Dec. 31, 2014 100% Dec. 31, 2015

2006

Greater of 3 or 25% Dec. 31, 2013

2006

Greater of 3 or 25% Dec. 31, 2014

50% Dec. 31, 2014 50% Dec. 31, 2015

100% Dec. 31, 2015 100% Dec. 31, 2016

On-road without VDECS Installed by 

December 31, 2006

On-road with VDECS Installed by 

December 31, 2006

Model 

Year % of Model Year Compliance Deadline

Model 

Year % of Model Year Compliance Deadline

Pre-2000

Greater of 3 or 25% Dec. 31, 2007

Pre-2000

Greater of 3 or 25% Dec. 31, 2008

50% Dec. 31, 2008 50% Dec. 31, 2009

100% Dec. 31, 2009 100% Dec. 31, 2010

2000

Greater of 3 or 25% Dec. 31, 2008

2000

Greater of 3 or 25% Dec. 31, 2009

50% Dec. 31, 2009 50% Dec. 31, 2010

100% Dec. 31, 2010 100% Dec. 31, 2011

2001

Greater of 3 or 25% Dec. 31, 2009

2001

Greater of 3 or 25% Dec. 31, 2010

50% Dec. 31, 2010 50% Dec. 31, 2011

100% Dec. 31, 2011 100% Dec. 31, 2012

2002

Greater of 3 or 25% Dec. 31, 2010

2002

Greater of 3 or 25% Dec. 31, 2011

50% Dec. 31, 2011 50% Dec. 31, 2012

100% Dec. 31, 2012 100% Dec. 31, 2013

2003

Greater of 3 or 25% Dec. 31, 2011

2003

Greater of 3 or 25% Dec. 31, 2012

50% Dec. 31, 2012 50% Dec. 31, 2013

100% Dec. 31, 2013 100% Dec. 31, 2014

2004

Greater of 3 or 25% Dec. 31, 2012

2004

Greater of 3 or 25% Dec. 31, 2013

50% Dec. 31, 2013 50% Dec. 31, 2014

100% Dec. 31, 2014 100% Dec. 31, 2015

2005

Greater of 3 or 25% Dec. 31, 2013

2005

Greater of 3 or 25% Dec. 31, 2014

50% Dec. 31, 2014 50% Dec. 31, 2015

100% Dec. 31, 2015 100% Dec. 31, 2016

2006

Greater of 3 or 25% Dec. 31, 2014

2006

Greater of 3 or 25% Dec. 31, 2015

50% Dec. 31, 2015 50% Dec. 31, 2016

100% Dec. 31, 2016 100% Dec. 31, 2017
19

a. for each compliance deadline, the percentage of yard trucks 

(25 percent, 50 percent, or 100 percent) that must meet the 

requirements of subsection (e)(2) is determined based on the total 

population of yard trucks for a specific model year or model year 

group (i.e., pre-2000 or pre-2003, depending upon whether the 

equipment is characterized as on- or off-road) that exist in the 

owner’s or operator’s yard truck fleet as of January 1 of the first 

compliance deadline year for that model year or model year group; 

and

b. if the number of yard trucks is not a whole number, conventional 

rounding practices apply (i.e., if less 0.5, round down; if 0.5 or 

greater, round up).

(3) In-Use Performance Standards for In-Use Non-Yard Truck Mobile Cargo 

Handling Equipment

(A) In accordance with the schedule set forth in subsection (e)(3)(C), no owner 

or operator shall operate non-yard truck mobile cargo handling equipment

covered by this regulation unless theythe equipment meet all of the 

following:

1. Use one of the Compliance Options for each vehicle or equipment in the 

active fleet as specified in paragraphsubsection (e)(3)(B) per the 

compliance schedule listed in Table 3 in subsection (e)(3)(C); and

2. Adherence to any special circumstances requirements that may apply 

when a diesel emission control strategy is used as a Compliance Option 

as specified in subsection (g); and

3. Annually per the following procedure, does not exceed the maximum 

opacity levels as provided in subsections (e)(3)(A)3.a. through g. below.

For equipment retrofitted with a VDECS the opacity of engine-out 

exhaust must be measured with VDECS removed, such as when

VDECS is removed for cleaning. Equipment with OEM aftertreatment 

controls should not remove the aftertreatment control when testing 

engine opacity levels,

a. The opacity shall be measured during the preconditioning and test 

phases with a smoke meter consistent with Society of Automotive 

Engineers “Surface Vehicle Recommended Practice, Snap 

Acceleration Smoke Test Procedure for Heavy-Duty Powered 

Vehicles” (SAE J1667).(February 1996), which is incorporated by 

reference herein, and as specified in subsection (e)(3)(A)3.g. The 

results shall be recorded continuously on the chart recorder during 

each snap-idle cycle. 

b. Opacity is to be measured according to the following procedure:
20

i.(i) Preparation Phase. The vehicle shall be placed at rest, with the 

transmission in neutral, and the vehicle properly restrained to 

prevent any rolling motion.

ii.(ii) Preconditioning Phase. The vehicle shall be put through a 

snap-idle cycle two or more times until two successive 

measured smoke levels are within five(5) opacity percent of 

each other. The smoke meter shall be rechecked prior to the 

preconditioning sequence to determine that its zero and full 

scale reading are adjusted according to specifications in section 

5.4.2 of SAE J1667.

iii.(iii)Test Procedure Phase. The vehicle shall be put through the 

snap-idle cycle three times.

iv.(iv)The maximum instantaneous value recorded by the chart 

recorder shall be recorded as the maximum opacity reading.

v.(v) The test opacity to determine the compliance with subsection

(e)(3)(A)3.e. shall be the average of the two meter readings with 

the least difference in opacity values. If all three readings have 

successive equivalent differences between them, the test 

opacity shall be the average of the three readings.

c. If the opacity exceeds the requirements established in section 

(e)(3)(A)3.e, the equipment is to be taken out of service and repaired. 

The information is to be recorded as specified subsection (i)(1)(D)9. 

A post-repair opacity test is to be performed to determine if the 

measured opacity is within the requirements in subsection 

(e)(3)(A)3.e. Equipment must be repaired such that it meets these

opacity requirements before putting it back into service.

d. If the post-repair opacity measure is greater than 5 percent higher 

than the opacity requirement in subsection (e)(3)(A)3.e., it shall be 

taken out of service. It may be returned to service if it can be 

repaired so that the post-repair opacity is no more than 5 percent

greater than the requirement in subsection (e)(3)(A)3.e.

e. Opacity requirements:

i.(i) No cargo handling equipment shall exceed the smoke opacity 

levels provided below when tested in accordance with this 

section. Non-yard truck cargo handling equipment powered by 

a non-certified diesel-fueled engine or an engine certified to a 

U.S. EPA PM emissions limit of greater than 0.40 g/bhp-hr PM 

shall not exceed 55 percent smoke opacity when tested in 

accordance with this section.

ii.(ii) Non-yard truck cargo handling equipment powered by a dieselfueled engine certified to a U.S. EPA PM emissions limit of 

greater than or equal to 0.31 but less than or equal to 0.40 
21

g/bhp-hr PM shall not exceed 45 percent smoke opacity when 

tested in accordance with this section.

iii.(iii)Non-yard truck cargo handling equipment powered by a dieselfueled engine certified to a U.S. EPA PM emissions limit of

greater than or equal to 0.21 but less than or equal to 0.30 

g/bhp-hr PM shall not exceed 35 percent smoke opacity when 

tested in accordance with this section.

iv.(iv)Non-yard truck cargo handling equipment powered by a dieselfueled engine certified to a U.S. EPA PM emissions limit of

greater than or equal to 0.11 but less than or equal to 0.20 

g/bhp-hr PM shall not exceed 25 percent smoke opacity when 

tested in accordance with this section.

v.(v) Non-yard truck cargo handling equipment powered by a dieselfueled engine certified to a U.S. EPA PM emissions limit of 

greater than or equal to 0.05 but less than or equal to 0.10 

g/bhp-hr PM shall not exceed 15 percent smoke opacity when 

tested in accordance with this section.

vi.(vi)Non-yard truck cargo handling equipment powered by a dieselfueled engine certified to a U.S. EPA PM emissions limit of less 

than 0.05 g/bhp-hr PM shall not exceed 5 percent smoke 

opacity when tested in accordance with this section.

f. Individuals conducting opacity tests must have completed training 

conducted by the California Council on Diesel Education and 

Technology and obtained certification on the proper administration of 

the SAE J1667 test procedure.

g. The smoke opacity measurement equipment shall consist of a light 

extinction type smokemeter that has an optical detection unit, a 

control/indicator unit, and a strip chart recorder. i. The 

smokemeter shall comply with the specifications provided in section 6 

of the SAE J1667 procedure and shall be calibrated according to 

specifications in section 7 of the SAE J1667 procedure.

h. Initial phase-in for fleets of five or more. Fleets of five or more nonyard truck equipment shall test the non-yard truck equipment for 

smoke opacity in accordance with the requirements of (e)(3)(A)3.a. 

through g. above pursuant to the following schedule:

i.(i) at least 25 percent of the fleet’s non-yard truck equipment within 

180 calendar days of the effective date for these regulations;

ii.(ii) at least 50 percent of the fleet’s non-yard truck equipment 

within 270 calendar days of the effective date for these 

regulations;
22

iii.(iii)at least 75 percent of the fleet’s non-yard truck equipment 

within 365 calendar days of the effective date for these 

regulations;

iv.(iv)the fleet’s remaining non-yard truck equipment within 455 

calendar days after the effective date for these regulations.

v.(v) for fleets of one to four non-yard truck equipment, shall test at 

least one piece of non-yard truck equipment within initial 180 

days of the regulation becoming effective, and one piece of 

non-yard truck equipment in each subsequent 90 day calendar 

day period, until all non-yard truck equipment in the fleet have 

been tested. 

i. engines that operate at constant speed and variable load may 

comply with the requirements of subsection (e)(3)(A)3. using an 

alternative method as approved by the EO.

j. If it can be demonstrated that complying with the requirements of 

subsection (e)(3)(A)3. is not feasible due to the engine/equipment 

configuration then an alternative method of compliance may be used 

if approved by the EO. In approving a request for use of an 

alternative method, the Executive Officer will consider whether the 

owner/operator is able to demonstrate that the alternative method will 

be able to detect increases in soot accumulation rates in the 

aftertreatment control device and be able to provide needed 

maintenance and repair.

k. Cargo handling equipment powered by a 2009 or subsequent model 

year engine is exempt from subsection (e)(3)(A)3. until January of the 

calendar year that is four years after the model year of the engine. 

For example, a 2009 model year engine is exempt until 

January 1, 2013.

34 Maintenance ofMaintain all records as specified in subsection (i); and

45 Continuous Compliance. An owner or operator is required to keep all 

mobile cargo handling equipment operating in California in compliance 

with the requirements of this regulation at all times.

(B) Compliance Option. Each owner or operator shall use one of the following 

Compliance Options on each engine or vehicle in his fleet as required by the 

implementation schedule listed in Table 3 in subsection (e)(3)(C):

1. Basic Container Handling Equipment:

a. An engine or power system, including a diesel, alternative fuel, or 

heavy-duty pilot ignition engine, certified to either the 2007 or later
23

model year on-road emission standards for the year manufactured as 

specified in title 13, CCR, section 1956.8, or the Tier 4 off-road 

emission standards as specified in title 13, CCR section 

2423(b)(1)(B) for the rated horsepower and model year of the year 

manufactured; or

b. An engine or power system certified to the on-road emission 

standards for the year manufactured as specified in title 13, CCR, 

section 1956.8, or certified to the Tier 2, or Tier 3, or Tier 4 Alternate 

PM off-road diesel engine standards, as specified in title 13, CCR 

section 2423(b)(2)(B), for the rated horsepower and model year of the 

year manufactured, and used in conjunction with the highest level

VDECS that is verified for a specific engine family and model year. If 

the highest level VDECS used is Level 1, the engine or power system 

must meet the certified Tier 4 off-road emission standards as

specified in title 13, CCR section 2423(b)(1)(B), or be equipped with a 

Level 3 VDECS by December 31, 2015; or

c. An engine or power system either certified to the Tier 1 off-road 

diesel engine standard, as specified in title 13, CCR, section 2423, or

manufactured prior to implementation of the Tier 1 off-road diesel 

engine standard, both of which must be used in conjunction with the 

highest level VDECS that is verified for the specific engine family and 

model year. If the highest level VDECS used is Level 1 or Level 2, 

the engine or power system must meet the certified Tier 4 off-road 

emission standards as specified in title 13, CCR section

2423(b)(1)(B) or be equipped with a Level 3 VDECS by 

December 31, 2015.; or

d. An engine or power system that can be demonstrated to the 

Executive Officer, through use of reliable and repeatable emissions 

data from one of the following tests to meet the Tier 4 off-road NOx 

and PM emissions standards as specified in title 13, CCR section 

2423(b)(1)(B) that were in effect for the rated horsepower and the

model year in which the engine or power system is newly purchased, 

leased, or rented of the year manufactured by one of the methods 

below:

i.(i) the results fromTesting conducted using the test methods in 

subsection (n) or an alternative test method approved by the 

Executive Officer,

ii.(ii)the certification test data or other emissions test data ofTesting 

conducts by the engine manufacturer for that engine;

iii.(iii)emissions test data derivedTesting conducted by the engine 

manufacturer from another in-use engine that is configured and 

used in a substantially similar way to the engine;
24

iv.(iv)emissions test data usedTesting conducted to meet the 

regulatory requirements of ARB’s Verification Procedure; or

v.(v)emissions test data usedTesting conducted to meet the 

requirements for U.S. EPA certification of systems providing 

remanufacture to a cleaner standard. 

2. Bulk Cargo Handling Equipment:

a. An engine or power system, including a diesel, alternative fuel, or 

heavy-duty pilot ignition engine, certified to either the 2007 or later 

model year on-road emission standards for the year manufactured as 

specified in title 13, CCR, section 1956.8, or the Tier 4 off-road 

emission standards as specified in title 13, CCR section 

2423(b)(1)(B) for the rated horsepower and model year of the year 

manufactured; or

b. An engine or power system certified to the on-road emission 

standards for the year manufactured as specified in title 13, CCR, 

section 1956.8, or certified to the Tier 2, or Tier 3, or Tier 4 Alternate 

PM off-road diesel engine standards, as specified in title 13, CCR 

section 2423(b)(2)(B), for the rated horsepower and model year of the 

year manufactured, and used in conjunction with the highest level 

VDECS that is verified for a specific engine family and model year. If 

the highest level VDECS used is Level 1, the engine or power system 

must meet the certified Tier 4 off-road emission standards as

specified in title 13, CCR section 2423(b)(1)(B), or be equipped with a 

Level 3 VDECS by December 31, 2015; or

c. An engine or power system either certified to the Tier 1 off-road 

diesel engine standard, as specified in title 13, CCR, section 2423, or

manufactured prior to implementation of the Tier 1 off-road diesel 

engine standard, both of which must be used in conjunction with the 

highest level VDECS that is verified for the specific engine family and 

model year. If the highest level VDECS used is Level 1, the engine 

or power system must meet the certified Tier 4 off-road emission 

standards as specified in title 13, CCR section 2423(b)(1)(B) or be 

equipped with a Level 3 VDECS by December 31, 2015; or.

d. An engine or power system that can be demonstrated to the 

Executive Officer, - through use of reliable and repeatable emissions

data from one of the following tests - to meet the Tier 4 off-road NOx 

and PM emissions standards as specified in title 13, CCR section 

2423(b)(1)(B) that are in effect for the rated horsepower and model 

year in which the engine or power system is newly purchased, leased 

or rented of the year manufactured by one of the methods below:
25

i.(i) the results fromTesting conducted using the test methods in 

subsection (m) or an alternative test method approved by the 

Executive Officer,

ii.(ii) the certification test data or other emissions test data ofTesting 

conducted by the engine manufacturer for that engine;

iii.(iii)emissions test data derivedTesting conducted by the engine 

manufacturer from another in-use engine that is configured and 

used in a substantially similar way to the engine;

iv.(iv)emissions test data usedTesting conducted to meet the 

regulatory requirements of ARB’s Verification Procedure; or

v.(v) emissions test data usedTesting conducted to meet the 

requirements for U.S. EPA certification of systems providing 

remanufacture to a cleaner standard.

3. Rubber-Tired Gantry Cranes:

a. An engine or power system, including a diesel, alternative fuel, or 

heavy-duty pilot ignition engine, certified to either the 2007 or later 

model year on-road emission standards for the year manufactured as 

specified in title 13, CCR, section 1956.8, or the Tier 4 off-road 

emission standards as specified in title 13, CCR section 

2423(b)(1)(B) for the rated horsepower and model year of the year 

manufactured; or

b. An engine or power system certified to the on-road emission 

standards for the year manufactured as specified in title 13, CCR, 

section 1956.8, or certified to the Tier 2, or Tier 3, or Tier 4 Alternate 

PM off-road diesel engine standards, as specified in title 13, CCR 

section 2423(b)(2)(B), for the rated horsepower and model year of the 

year manufactured, and used in conjunction with the highest level 

VDECS that is verified for a specific engine family and model year; or

c. An engine or power system either certified to the Tier 1 off-road 

diesel engine standard, as specified in title 13, CCR, section 2423, or

manufactured prior to implementation of the Tier 1 off-road diesel 

engine standard, both of which must be used in conjunction with the 

highest level VDECS that is verified for the specific engine family and 

model year. If the highest level VDECS used is Level 1 or Level 2, 

the engine or power system must meet the certified Tier 4 off-road 

emission standards as specified in title 13, CCR section 

2423(b)(1)(B) or be equipped with a Level 3 VDECS by the latter of 

model year plus 12 years or December 31, 2015.; or

d. aAn engine or power system that can be demonstrated to the 

Executive Officer, through use of reliable and repeatable emissions 

data from one of the following tests to meet the Tier 4 off-road NOx 
26

and PM emissions standards as specified in title 13, CCR section 

2423(b)(1)(B) that are in effect for the rated horsepower and model 

year of the year in which the engine or power system is newly

purchased, leased, or rented of the year manufactured by one of the 

methods below:

i.(i) the results fromTesting conducted using the test methods in 

subsection (m) or an alternative test method approved by the 

Executive Officer,

ii.(ii) the certification test data or other emissions test data ofTesting 

conducted by the engine manufacturer for that engine;

iii.(iii) emissions test data derivedTesting conducted by the engine 

manufacturer from another in-use engine that is configured and 

used in a substantially similar way to the engine;

iv.(iv) missions test data usedTesting conducted to meet the 

regulatory requirements of ARB’s Verification Procedure; or

v.(v) emissions test data usedTesting conducted to meet the 

requirements for U.S. EPA certification of systems providing 

remanufacture to a cleaner standard.

(C) Compliance Schedule for Non-Yard Truck Mobile Cargo Handling 

Equipment

1. All owners or operators of non-yard truck mobile cargo handling 

equipment shall comply with subsection (e)(3) according to the schedule 

in Table 3:

Table 3: Compliance Option Compliance Schedule for Non-Yard Truck In-Use 

Mobile Cargo Handling Equipment

a. for each compliance deadline, the percentage of non-yard truck 

equipment (25 percent, 50 percent, or 100 percent) that must meet 

the requirements of subsection (e)(3) is determined based on the 

total population of non-yard truck equipment for a specific model year 

 

1 3 Compliance date refers to December 31st of the year indicated. 

Engine Model 

Years

Compliance Date13

Non-Yard Truck 

Fleets of 3 or Fewer

Non-Yard Truck Fleets of 4 or More

First 3 or 25%

(whichever is greater) 50% 75% 100%

pre-1988 2007 2007 2008 2009 2010

1988-1995 2008 2008 2009 2010 2011

1996-2002 2009 2009 2010 2011 2012

2003-2006 2010 2010 2011 2012 2013
27

group (i.e., pre-1988) that exist in the owner’s or operator’s non-yard 

truck fleet as of January 1 of the first compliance deadline year for 

that model year group; and

a. if the number of non-yard truck equipment is not a whole number, 

conventional rounding practices apply (i.e., if less 0.5, round down; if 

0.5 or greater, round up).

c. the owner or operator may modify the engine compliance schedule

set forth in Table 3 to allow older model-year engines to be brought 

into compliance prior to newer model year engines so long as the 

total number of engines brought into compliance each year is the 

same as that set forth in Table 3.

(5) Replacement Engines for In-Use Yard Truck and Non-Yard Truck Equipment

(A) Except as provided in section (e)(5)(B) below, an in-use yard truck or nonyard truck equipment that is repowered with a replacement engine is 

considered to be newly purchased, leased, or rented equipment and must 

meet the requirements of section (e)(1), taking into consideration the 

physical and performance characteristics of the vehicle or equipment.

(B) A replacement engine for an engine that has failed during its warranty 

period and replaced per the warranty provisions may meet the emission 

standards of the warrantied engine that is being replaced.

 *****

(f) Compliance Extensions

An owner or operator may be granted an extension to a compliance deadline specified 

in subsection (e) for one of the following reasons. If a compliance extension is granted 

by the Executive Officer, the owner or operator shall be deemed to be in compliance 

provided all of the conditions of as specified by the Executive Officer’s authorization are

met. Unless specifically stated, compliance extensions may not be combined or used 

consecutively, and only one compliance extension type may be granted per engine or 

vehicle.

(1) Compliance Extension for an Engine Near Retirement. If an owner or operator 

has applied a Compliance Option to its fleet pursuant to the schedule set forth in 

Table 3 of subsection (e), and the next engine subject to the Compliance Options 

is scheduled to be retired from the active fleet within one year of the applicable 

compliance deadline, the owner or operator does not need to apply a 

Compliance Option to that engine for up to one year, provided the owner or 

operator maintains appropriate records and documentation, as specified in 

subparagraph (i)(1)(F), regarding the assigned retirement date and the engine is 

retired on or before the assigned date. If upon inspection, ARB finds the 

aforementioned conditions to have not been met, the engine would be in 

noncompliance from the date that compliance would otherwise have been 

required under the schedule set forth in Table 3 of subsection (e). 
28

(2) Compliance Extension Based on No Verified Diesel Emission Control Strategy 

for Non-Yard Truck Mobile Cargo Handling Equipment. Subject to the conditions

set below, Iif the Executive Officer has not verified a diesel emission control 

strategy or one is not commercially available for a particular engine and 

equipment combination, an annual extension in compliance, up to a maximum of 

two four years, may be granted by the Executive Officer. Owners or operators 

who apply for an additional compliance extension beyond the first two annual 

extensions are required to use electric or hybrid cargo handling equipment as 

specified in subsection (f)(2)(D), if such equipment is available and operationally 

feasible for the intended use. The additional compliance extension beyond the 

first two annual extensions will be a two-year extension. The Executive Officer 

shall grant the extension upon determining that the following circumstances have 

been met:

(A) The owner or operator has applied to the Executive Officer for a compliance 

extension for an engine six months 60 days prior to each compliance 

deadline specified in subsection (e)(3)(C) and provided sufficient 

documentation to meet the conditions set forth below. The owner or 

operator may, six-months 60 days prior to the expiration of the extension, 

apply for an additional one-year extension. In such a case, the owner or 

operator shall once again be required to show to the Executive Officer’s 

satisfaction that the conditions set forth below have been met:

1. Establish that it has applied a Compliance Option specified in 

subsection (e)(3) to all applicable engines in its fleet for which a 

Compliance Option is feasible pursuant to the schedule set forth in 

Table 3 of subsection (e),

2. Identify each engine for which an extension is requested by engine 

serial number; engine manufacturer, model year, family, and series; and 

type of mobile cargo handling equipment, for which a specific diesel 

emission control strategy would jeopardize the original engine warranty 

and a statement from the engine manufacturer or authorized dealer 

stating the original engine warranty would be jeopardized; or 

3. Identify each engine and equipment or vehicle combination for which an 

extension is requested by engine serial number; engine manufacturer, 

model year, family, and series; and type of mobile cargo handling 

equipment, for which no diesel emission control strategy is commercially 

available and a list of manufacturers that have been contacted with their 

responses to a request to purchase, and

4. Describe the reason(s) for the request for a compliance extension for 

each engine or engine and equipment or vehicle combination. Reasons 

may include that the application of VDECS precludes safe operation.

(B) If, at any time during the first or second annual compliance provided 

extension, a safe and feasible VDECS becomes commercially available for 

the engine, the owner or operator must install the VDECS, or otherwise 
29

comply with subsection (e)(3), within six months of the ARB notification of 

the verification of the VDEC.

(C) An engine used in CHE equipment shall not be eligible for more than two 

annual extensions if excessive engine exhaust opacity is the only reason a 

VDECS cannot be installed on an engine or engine and equipment 

combination (e.g., a VDECS is available for an engine with lower engine 

exhaust opacity that is of the same model year, size, and equipment or 

vehicle combination).

(D) The Executive Officer shall approve a two-year compliance extension 

beyond the two initial annual compliance extensions provided that, in 

addition to fulfilling the requirements provided in subsection (f)(2)(A), the 

owner or operator agrees to either:

1. replace a yard truck or non-yard truck piece of equipment, other 

than the equipment for which the extension is granted, with a piece 

of either electric or hybrid equipment within six months of the date 

the extension begins, or 

2. replace the engine and equipment for which an extension has been 

granted with either electric or hybrid equipment at the end of the 

final extension period. If the owner or operator chooses this option 

and it can be demonstrated to and approved by the Executive 

Officer at the end of the additional extension period that electric or 

hybrid equipment is not commercially available, technically feasible 

giving consideration to cost, or operationally feasible for the 

intended use for the application for which the extension is granted, 

the owner or operator must:

a. retire or replace the equipment for which the extension is 

granted with compliant diesel equipment, or otherwise bring

the equipment into compliance with subsection (e)(3) and, in 

addition,

b. must replace an in-use yard truck or non-yard truck 

equipment, other than the equipment for which the extension 

was granted, that has not yet been brought into compliance 

with subsection (e), with either electric or hybrid equipment, 

unless it can be demonstrated to and approved by the 

Executive Officer that such equipment is not commercially 

available, technically feasible giving consideration to cost or 

operationally feasible. 

3. If during the extension period, a safe and feasible VDECS becomes 

available and the owner or operator has chosen the option provided 

in subsection (f)(2)(D)2. then, 

a. the owner or operator can be excused from its agreed to 

performance under section (f)(2)(D)2. if the owner or 

operator can demonstrate to and obtain approval by the 

Executive Officer that electric or hybrid equipment is not 
30

commercially available at that time, technically feasible 

giving consideration to cost, or operationally feasible for 

replacement of either the equipment for which the extension 

has been granted or another in-use yard truck or piece of 

non-yard truck equipment, and the owner or operator installs

the VDECS on the equipment for which the extension has 

been granted, or otherwise comply with subsection (e)(3), 

within six months of the ARB notification of the verification of 

the VDECS. 

b. A VDECS is not required to be installed if:

(i) electric or hybrid equipment is available for the 

equipment for which the extension is granted and the 

equipment will be replaced with electric or hybrid 

equipment at the end of the final extension period; or 

(ii) electric or hybrid equipment is available for another 

piece of equipment and the equipment will be 

replaced with electric or hybrid equipment at the end 

of the final extension period and the owner or 

operator complies with subsection (f)(2)(D)2.a.

4. If the owner or operator chooses to replace a piece of equipment 

other than the equipment for which the extension is granted with 

electric or hybrid equipment, the owner or operator must obtain 

Executive Officer approval. The Executive Officer may disapprove 

the action based on an evaluation that the emissions from the 

equipment to be replaced with electric or hybrid are not 

substantially the same or greater than the emissions from the 

equipment for which the extension is provided considering the 

following information:

a. annual hours of operation of the two pieces of equipment,

b. maximum rated horsepower of the two pieces of equipment, 

and

c. a comparison of engine emissions levels of the replacement 

electric or hybrid equipment and compliant diesel equipment.

5. An owner or operator who fails to meet the terms of the 

compliance extension shall be subject to penalties for not being in 

compliance with the regulation. The period of non-compliance 

shall be calculated starting from the date the equipment would 

have been required to be in compliance if the extension had not 

been granted. 

(3) Use of Experimental Diesel Particulate Matter Emission Control Strategies for 

Non-Yard Truck Mobile Cargo Handling Equipment. An annual compliance 

extension may be granted by the Executive Officer for the use of an 

experimental, or non-verified, diesel PM emission control strategy if a VDECS is

not available, or if the owner or operator can demonstrate that an existing 

VDECS is not safe or feasible for their equipment or application, or use of the 
31

non-verified control strategy is needed to generate data to support verification of 

the control strategy. The owner or operator shall keep documentation of this use 

in records as specified in paragraph (i)(1)(G). Each mobile cargo handling 

equipment engine will be considered to be in compliance for the duration of the 

experiment, until the extension expires. The owner or operator must bring the 

mobile cargo handling equipment into compliance prior to the end of the annual 

compliance extension. The Executive Officer may grant the extension upon 

determining that the owner or operator has met the conditions specified below:

(A) The engine owner or operator has applied to the Executive Officer for a 

compliance extension six months 60 days prior to each compliance 

deadline, including annually if the owner or operator wishes to continue with 

the experimental controls. The application must include emissions data 

demonstrating the experimental control achieves at least a Level 1 diesel 

PM emission reduction through:

1. off-road engine certification test data for the cargo handling equipment 

engine;

2. engine manufacturer test data;

3. emissions test data from a similar engine; 

4. emissions test data used in meeting the requirements of the Verification 

Procedure for the emission control strategy implemented; or

5. emissions testing conducted under the following conditions:

a. baseline testing may be conducted with the emission control strategy 

in place, provided the test sample is taken upstream of the emission 

control strategy;

b. control strategy testing shall be performed on the cargo handling 

equipment engine with full implementation of the emission control 

strategy;

c. the percent change from baseline shall be calculated as the baseline 

emissions minus control strategy emissions, with the difference being 

divided by the baseline emissions and the result expressed as a 

percentage; 

d. the same test method shall be used for determining both baseline 

emissions and control strategy emissions; and

e. diesel PM, NOx, CO, HC, NMHC, and CO2 testing shall be done in 

accordance with one of the following methods: 

i.(i) International Organization for Standardization (ISO) 8178 Test 

procedures: ISO 8178-1: 1996(E) (“ISO 8178 Part 1”); 

ISO 8178-2: 1996(E) (“ISO 8178 Part 2”); and ISO 8178-4: 

1996(E) (“ISO 8178 Part 4”), which are incorporated herein by 

reference; or

ii.(ii) Title 13, California Code of Regulations, section 2423, “Exhaust 

Emission Standards and Test Procedures – Off-Road 

Compression Ignition Engines,” which is incorporated herein by 

reference.
32

(B) The application for extension must include the following: explanation 

demonstrating that the highest level VDECS are not feasible or safe for the 

specific equipment or application (if applicable), identification of each engine 

(serial number, engine manufacturer, model year, family, and series), 

description of the emission control system to be demonstrated, emissions 

data required in (A) above, the contact information for the emission control 

system supplier, and a letter of intent from the supplier stating that they 

intend to apply for verification of the experimental system;

(C) The owner or operator must bring the mobile cargo handling equipment into 

compliance prior to the end of the compliance extension period;

(D) If VDECS are available, or become available during the extension period, 

and are determined to be feasible or safe for the specific engine and 

equipment type, the owner or operator must demonstrate that the 

experimental control achieves equivalent to or better than a Level 1 VDECS; 

and

(E) No experimental diesel particulate matter emission control strategy may be 

used on mobile cargo handling equipment after December 31, 2015.

*****

(6) Compliance Extension for Non-yard Truck Equipment Operated Less Than 200

Hours Annually.

(A) The Executive Officer shall grant an annual compliance extension up to a 

maximum of two years for engines operated less than 200 hours annually upon 

determining that the owner or operator has met the following conditions:

1. Complied with subsection(e)(3) for all applicable engines in its fleet for 

which compliance options are feasible pursuant to the schedule set 

forth in Table 3 of subsection (e).

1. 2. Installed a non-resettable hour meter on each engine for which the 

compliance extension is requested 

2. 3. Submitted an application that may cover one or more engines to the 

Executive Officer for a compliance extension at least 60 days prior to 

each compliance deadline specified in subsection (e)(3)(C) ;

3. 4. Identified in the application the engine manufacturer, serial number 

model year, and engine family and series of each engine for which an 

extension is requested;

4. 5. Provided documentation, either from non-resettable hour meters, fuel 

records, or some other credible method for tracking engine operation; 

that the engines covered by the application have not been operated 

more than 200 hours in the preceding year.
33

(B) The owner or operator shall maintain records of annual use for each engine 

granted a compliance extension under this subsection for the duration of the 

extension in the vehicle associated with that engine.

(C) The owner or operator shall report annually the annual hours of operation for 

each engine granted a compliance extension under this subsection for the 

duration of the extension.

(D) The Executive Officer may elect not to grant a low-use extension for more than 

two engines in a single fleet or for more than two percent of a fleet, whichever is 

greater. The Executive Officer’s election to limit the number of engines granted 

a low-use extension will consider the impact on public health based on an 

evaluation of the following information:

1. number of equipment granted a low-use extension

2. hours of operation of the equipment

3. estimated engine emissions levels

4. proximity of the equipment to off-site residences 

(E) If the engine is operated annually for more than 200 hours, the extension is 

automatically revoked and the engine must cease operation until the owner or 

operator brings the engine into compliance with subsection (e)(3).

*****

(h) Alternative Compliance Plan for Non-Yard Truck Cargo Handling 

Equipment

(1) Requirements

(A) The purpose of this subsection is to allow any person (“person” or 

“applicant”) subject to this regulation the option of complying with the 

requirements of this subsection (h k) in lieu of the requirements of 

subsections (e)(2) and (e)(3). Under this subsection (h k), alternative 

emission control strategies (AECS) can be implemented as an alternative 

compliance plan (ACP), provided they result in no greater emissions, 

expressed in pounds, of diesel PM and NOx from the yard truck and nonyard truck cargo handling equipment combined, over the applicable calendar 

year, relative to the combined emissions that would have occurred under 

subsections and (e)(2) and (e)(3).

(B) An applicant wishing to participate in an ACP may include one or more nonyard truck cargo handling equipment in the ACP, but the applicant shall only 

include equipment that the person owns or operates under their direct 

control at the same port or intermodal rail yard. 
34

(C) No cargo handling equipment shall be included in more than one ACP.

(D) AECS may include, but are not limited to:

1. equipment engine modifications,

2. exhaust treatment control,

3. engine repower,

4. equipment replacement, and

5. use of alternative fuels or fuel additives.,

6. hybrid technology, and

7. electric equipment.

(E) The ACP application demonstrating compliance with this subsection shall 

contain, at a minimum, the following information:

1. the company name, address, and contact information;

2. the equipment subject to the ACP, including equipment and engine 

make, model, and serial numbers, and other information that uniquely 

identify the equipment;

3. documentation, calculations, emissions test data, or other information 

that establishes the diesel PM and NOx reductions, expressed in 

pounds, from yard truck and non-yard truck cargo handling equipment

combined will be equivalent to or greater than the combined emission 

reductions that would have been achieved upon compliance with 

subsections (e)(2) and (e)(3);

4. the proposed recordkeeping, reporting, monitoring, and testing 

procedures that the applicant plans to use to demonstrate continued 

compliance with the ACP.

(F) Emission reduction calculations demonstrating equivalence with the 

requirements of subsections (e)(2) and (e)(3) shall only include diesel PM 

and NOx emissions from non-yard truck cargo handling equipment that 

operate at the California port or intermodal rail yard to which the ACP 

applies.

(G) Any owner or operator subject to an approved ACP shall maintain operating 

records in a manner and form as specified by the Executive Officer in the 

approved ACP. Required records may include, but are not limited to, 

information on hours of operation, fuel usage, maintenance procedures, and 

emissions test results. Such records and reports shall be retained for a 

period of not less than three (3) years and shall be submitted to the 

Executive Officer in the manner specified in the approved ACP and upon 

request by the Executive Officer.

(H) Emission reductions included in an ACP shall not include reductions that are 

otherwise required by any local, State, or federal rule, regulation, or statute, 
35

or that are achieved or estimated from equipment not located at the specific 

port or intermodal rail yard to which the ACP applies.

(I) No person may operate any non-yard truck cargo handling equipment under 

an ACP unless the applicant has first been notified in writing by the 

Executive Officer that the ACP application has been approved. Prior to such 

approval, applicants shall comply with the provisions of this section, 

including the requirements in subsection (e)(3).

*****

(i) Recordkeeping Requirements

Beginning December 31, 2006, an owner or operator of mobile cargo handling 

equipment shall maintain the following records or copies of records at port and 

intermodal rail yard facilities where applicable. The owner or operator shall provide the 

following records for inspection to an agent or employee of ARB upon request, including 

copies of these records at the department’s expense, for all mobile cargo handling 

equipment subject to compliance with the regulation:

(1) Records Kept at Terminal. The owner or operator shall keep the following 

records accessible either in hard copy format or computer records at the terminal 

where the mobile cargo handling equipment normally resides:

(A) Owner or Operator Contact Information

1. Company name

2. Contact name, phone number, address, e-mail address

3. Address of equipment

(B) Equipment and Engine Information

1. Make of equipment and engine

2. Model of equipment and engine

3. Engine family (if applicable)

4. Engine serial number

5. Year of manufacture of equipment and engine (if unable to determine, 

approximate age)

6. Rated brake horsepower

7. Control equipment (if applicable)

a. Type of diesel emission control strategy

b. Serial number of installed diesel emission control strategy

c. Manufacturer of installed diesel emission control strategy

d. Model of installed diesel emission control strategy

e. Installation date of installed diesel emission control strategy

f. Level of control (1, 2, or 3); if using a Level 1 or 2, include the reason 

for the choice
36

g. Documentation for Minimum Use Requirement Compliance Extension 

pursuant to paragraph (f)(5). 

(C) Records of maintenance for each installed diesel emission control strategy

(D) Records of opacity testing results

1. Brand name and model of the opacity meter.

2. Dates of last calibration of the opacity meter and chart recorder.

3. Name of the smoke meter operator who conducted the test.

4. Name and address of the contracted smoke test facility or vehicle repair 

facility that conducted the test (if applicable).

5. Applicability of smoke opacity standard for the tested vehicle. 

6. Vehicle identification number, vehicle’s engine model, engine make, 

engine model year, and test date.

7. Initial smoke test opacity levels (for three successive test readings).

8. Indication of whether the vehicle passed or failed the initial smoke test.

9. For vehicles that have failed the smoke test and been repaired, the 

following information:

a. name of the mechanic

b. date of the repair

c. a statement identifying the nature of the repairs made 

d. an itemized list of parts used in the repair

10. Post-repair test date.

11. Post-repair smoke test opacity levels (for three successive test 

readings). 

12. Indication of whether the vehicle passed or failed the post-repair smoke 

test.

(DE) Fuel(s) Used

1. CARB Diesel 

2. Alternative diesel fuel (specify)

3. Alternative fuel (specify)

4. Combination (dual fuel) (specify)

5. Other (specify)

(EF) Operation Information

1. Describe general use of engine

2. Typical load (percent of maximum bhp rating)

3. Typical annual hours of operation

4. If seasonal, months of year operated and typical hours per month 

operated

(FG) For each engine for which an owner or operator is claiming an exemption 

pursuant to paragraph (f)(1), the retirement date correlated to the 

information in paragraph (i)(1) above
37

(GH) For each engine for which an owner or operator is claiming an extension 

pursuant to paragraph (f)(3), the records of the test plan, including start 

and end dates of the experiment; diesel particulate matter emission 

control strategy manufacturer name and contact information 

(representative, address, and phone number); name and type of 

experimental diesel particulate matter emission control strategy; and 

targeted data to be generated by experiment, correlated to the information 

in paragraph (i)(1) above

(HI) For each engine for which an owner or operator is claiming an extension 

pursuant to paragraph (f)(4), the purchase order or signed contract 

between the owner or operator and seller of the new equipment that has 

been purchased in order to comply with subsection (e)

(IJ) A statement of compliance, prepared beginning January 1, 2007, and 

renewed each January 1 thereafter until January 1, 2016, certifying that 

the owner’s or operator’s engines are in compliance as required, including 

the following:

1. “The mobile cargo handling equipment at terminal (insert terminal name 

and name of port or intermodal rail yard) are in compliance with title 13, 

California Code of Regulations, section 2479;” and

2. The owner’s or operator’s name, business address, business telephone; 

and

3. The signature of the owner or operator or its agent and date signed.

(2) Records Kept in Mobile Cargo Handling Equipment. For each mobile cargo 

handling equipment, the owner or operator shall keep the following information 

affixed to the driver’s side door jamb, or another readily accessible location 

known by the owner or operator of each mobile cargo handling equipment, in the 

form of a legible and durable label or in an alternative form approved by the 

Executive Officer or designee that is immediately accessible at the time of 

inspection by the enforcement agency:

(A) For each installed diesel emission control strategy, label information as 

specified in title 13, CCR, section 2706(g), and the installation date; or

(B) For each mobile cargo handling equipment that has installed a certified onroad or off-road engine in order to comply with subsection (e), the engine 

make, model, and installation date; or 

(C) Engine model year and planned compliance date; or

(D) Engine model year and retirement date for an engine for which an owner or 

operator is claiming an extension pursuant to paragraph (f)(1); or

(E) Engine model year and beginning and end date for which an owner or 

operator is claiming an extension pursuant to paragraph (f)(2): or
38

(F) Engine model year and beginning and ending date of the test plan for an 

engine for which an owner or operator is claiming an extension pursuant to 

paragraph (f)(3); or

(G) Engine model year and date of purchase of replacement engine or 

equipment for which an owner or operator is claiming an extension pursuant 

to paragraph (f)(4); or

(H) Engine model year, date of installation of VDECS, and supporting 

documentation for public funding program, for the engine and equipment for 

which an owner or operator is claiming an extension pursuant to paragraph 

(f)(5).

(I) Documentation, either from non-resettable hour meters, fuel records, or 

some other credible method for tracking engine operating hours approved 

by the Executive Officer, that the engine has not been operated more than 

200 hours in the preceding year. 

(3) Each owner or operator shall maintain these records for each mobile cargo 

handling equipment until it is sold outside of the State of California or is no longer 

used at a port or intermodal rail yard in the State of California. If ownership is 

transferred, the seller shall convey the records to the buyer.

(j) Reporting Requirements

(1) Compliance Plan. By January 31, 2007, each owner or operator of in-use mobile 

cargo handling equipment subject to the requirements of subsection (e) shall 

provide the following information to the Executive Officer: 

(A) Information listed in paragraph (i)(1), and 

(B) An identification of the planned control strategy (Compliance Plan) for each 

mobile cargo handling equipment listed in paragraph (i)(1) that, when 

implemented, will result in compliance with subsection (e). If applicable, the 

information should include the Executive Order number issued by the 

Executive Officer for a VDECS that has been approved by the Executive 

Officer through the Verification Procedure. The Compliance Plan is not 

binding and can be changed by the owner or operator prior to the required

compliance date(s).

(2) Demonstration of Compliance. By no later than the earliest applicable 

compliance date specified in subsections (e)(2)(B) or (e)(3)(C), for each in-use 

cargo handling equipment subject to the requirements of subsection (e), the 

owner or operator shall provide the following information to the Executive Officer: 

(A) Information listed in (i)(1), and

(B) An identification of the control strategy implemented for each mobile cargo 

handling equipment in accordance with the requirements of subsection (e) 

for purposes of demonstrating compliance.
39

(3) Annual Reporting. Each terminal owner or operator shall submit an annual report 

to the Executive Officer by January 31, 2007, and by each January 31 annually, 

through 2016 as described below:

(A) Company name; 

(B) Contact name, phone number, address, e-mail address; 

(C) Address of equipment, including name of port or intermodal rail yard where 

equipment is operated; 

(D) The population, as of January 1 of that year, of equipment in each yard truck 

model year group and each non-yard truck model year group; and

(E) A signed affidavit stating the completeness and accuracy of the annual 

report.

(F) An owner or operator that claims an extension pursuant to paragraph (f)(6) 

shall submit the following information to ARB for each engine which an 

extension is granted annually and for any electric or hybrid equipment 

purchased in response to extension requirements:

1. Engine serial number,

2. Engine manufacturer,

3. Engine model year, 

4. Engine family and series, and.

5. Annual hours of operation as measured by the engine’s hour meter.

*****

(k) Executive Officer Approval to Transfer Non-Yard Truck Mobile Cargo 

Handling Equipment Between Two Facilities.

 

The Executive Officer shall allow an owner or operator of a port terminal or intermodal 

rail yard to transfer non-yard truck cargo handling equipment owned, leased, or rented 

by the owner or operator between two port terminals or intermodal rail yards under the 

control of the same owner or operator upon request from the owner or operator and if, 

(1) The two facilities that the equipment is being transferred from and to are under 

the same control;

(2) The equipment transfer will not be used to meet the requirements of this section 

at the facility the equipment is being transferred from;

(3) The transferred equipment must be brought into compliance with the 

requirements of subsection (e)(3) before the equipment is put into operation at 

the new location; and 

(4) The transfer plan is submitted to the Executive Officer for review 30 days prior to 

the planned transfer and the Executive Officer determines that the plan does not 

result in a significant increase in public health impacts based on an evaluation of 

the following information:

(A) number of equipment to be transferred
40

(B) hours of operation of equipment

(C) estimated engine emissions levels

(D) proximity of new location to off-site residences

(5) The transfer plan must include the following information:

(A) Owner/operator Contact Information

1. Company name

2. Contact name, phone number, address, e-mail address

3. Address of equipment

(B) Equipment and Engine Information

1. Make of equipment and engine

2. Model of equipment and engine

3. Engine family (if applicable)

4. Engine serial number

5. Year of manufacturer of equipment and engine (if unable to 

determine, approximate age)

6. Rated brake horsepower

7. Estimated annual hours of operation (at both the equipment’s 

original and new locations)

8. Control equipment (if applicable)

a. Type of diesel emission control strategy (DECS)

b. Serial number of installed DECS

c. Manufacturer of installed DECS

d. Model of installed DECS

e. Installation date of installed DECS

f. Level of control (1, 2, or 3)

(C) Facility address and phone number where equipment originally operated

(D) Facility address and phone where equipment is to be transferred

(E) Anticipated transfer date

(l) Equipment at Rural Low-Throughput Ports

The requirements of this entire section do not apply to equipment at low-throughput 

ports that are no closer than 75 miles from an urban area. If a low-throughput port 

subsequently exceeds the two-year average annual cargo throughput limit set in (d)(36),

or the population in the surrounding community increases to exceed 50,000 persons,

each owner or operator of cargo handling equipment at that port needs to submit a plan 

for compliance to the Executive Officer within six months of the port being notified of the 

exceedance. The compliance plan must include the information listed in subsections 

(j)(1)(A) and (B) and include compliance dates no later than 3 years from notification of 

the exceedance. 
41

(km) Right of Entry

An agent or employee of the Air Resources Board has the right of entry to port and 

intermodal rail yard cargo handling facilities for the purpose of inspecting on-road and 

off-road cargo handling equipment and their records to determine compliance to these 

regulations.

(n) Test Methods

The following test methods are approved by the Executive Officer when testing for 

diesel PM, NOx, CO, HC, NMHC, and CO2. The testing must be done with the 

applicable method specified in the following procedures: International Organization for 

Standardization (ISO) 8178-2: 1996(E)(“ISO 8178 Part 2”); (2) ISO 8178-4: 

1996(E)(“ISO 8178 Part 4”); and applicable methods and procedures specified in 40 

CFR Part 94 (as amended in 2007), all of which are incorporated herein by reference, or 

40 CFR Part 89, 40 CFR Part 1039, or 40 CFR Part 1065 for nonroad (off-road) 

engines, as those parts existed on September 22, 2011. Each of the procedures 

specified in this subsection is incorporated by reference herein.

(lo) Prohibitions

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

purchaser, or renting or leasing new or used mobile cargo handling equipment, 

including, but not limited to, manufacturers, distributors, and dealers, shall sell, offer for 

sell, import, deliver, purchase, receive, or otherwise acquire a new or used mobile cargo 

handling equipment for the purpose of selling, renting, or leasing in California, that does 

not meet the performance requirements of this regulation.

(p) Disclosure of Retrofit Requirements

(1) Any person who sells, offers for sale, leases or rents cargo handling equipment 

with an engine certified to Tier 4 Alternate PM off-road diesel engine standards, 

as specified in title 13, CCR, section 2423(b)(2)(B) or an independent engine 

certified to those standards that will be used in cargo handling equipment must 

provide the following disclosure in writing on the bill of sale, “When operated at a 

California port or intermodal rail yard, this engine is subject to the retrofit 

requirements of either subsection (e)(1)(B)3., (e)(3)(B)1.b., (e)(3)(B)2.b.,or 

(e)(3)(B)3.b. of the California Air Resources Board’s Regulation for Mobile Cargo 

Handling Equipment at Ports and Intermodal Rail Yards.” 

(2) For purposes of this section, it shall be presumed that an independent engine 

sold or leased by person who sells cargo handling equipment will be used to 

repower such equipment. For more information, please visit the California Air 

Resources Board’s website at http://www.arb.ca.gov/ports/cargo/cargo.htm. 
42

(mpq) Severability

If any subsection, paragraph, subparagraph, sentence, clause, phrase, or portion of this 

regulation is, for any reason, held invalid, unconstitutional, or unenforceable by any 

court of competent jurisdiction, such portion shall be deemed as a separate, distinct, 

and independent provision, and such holding shall not affect the validity of the 

remaining portions of the regulation.

(nqr) Submittal of Documents

(A) (1) All documents required under this regulation to be submitted to the 

Executive Officer shall be submitted as follows:

California Air Resources Board

Stationary Source Division, Cargo Handling Equipment

P.O. Box 2815

Sacramento, California 95812-2815

(B) (2) An alternative method, including electronic submittals, may be 

approved by the Executive Officer.

NOTE: Authority cited: sections 39600, 39601, 39618, 39658, 39659, 39667, 39674, 

39675, 42400, 42400.1, 42400.2, 42400.3, 42400.3.5, 42400.6, 42402, 42402.1, 

42402.2, 42402.3, 42402.4, 42410, 43013, 43018, Health and Safety Code. Reference: 

sections 39618, 39650, 39658, 39659, 39667, 39674, 39675, 42400, 42400.1, 42400.2, 

42400.3, 42400.3.5, 42400.6, 42402, 42402.1, 42402.2, 42402.3, 42402.4, 42410, 

43013, and 43018. Health and Safety Code.