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§ 2449.2. Surplus Off-Road Opt-In for NOx (SOON) Program.

13 CA ADC § 2449.2

BARCLAYS OFFICIAL CALIFORNIA CODE OF REGULATIONS

(a) Purpose

The purpose of this section is to achieve additional reductions of oxides of nitrogen (NOx) emissions from in-use off-road diesel-fueled 

vehicles in California. The reductions must be surplus to those that would otherwise be achieved through implementation of title 13, 

California Code of Regulations, sections 2449, and 2449.1, Regulation for In-Use Off-Road Diesel-Fueled Fleets (Off-Road 

regulation).

(b) Applicability

(1) District Applicability - Section 2449.2 applies to any air quality management district or air pollution control district (jointly 

referred to hereafter as air district) whose governing board elects to opt into the provisions of this section as set forth in section 

2449.2(f) below.

(2) Fleet Applicability - Section 2449.2 applies to a fleet that:

(A) Operates individual vehicles within the air district;

(B) As of January 1, 2008, on a statewide level, consisted of more than 40 percent Tier 0 and Tier 1 vehicles, and;

(C) Has a statewide fleet with maximum power (max hp) greater than 20,000 horsepower (hp), excluding the hp from engines in 

two-engine vehicles and the hp from single engine cranes formerly subject to the Cargo Handling Equipment Regulation.

(c) Definitions

The definitions in title 13, CCR, section 2449(c) apply, along with the following definitions:

(1) “ Contract period” means the period of time in which the vehicle participates in the program and is under contract to the air 

district to achieve additional emission reductions.

(2) “ Operated within the district” means a vehicle that currently operates within the boundaries of the air district and, during the 

three years immediately prior to the solicitation deadline, operated at least one hundred hours per year and operated more hours 

within the boundaries of the air district than in any other district.

(3) “ Project” means actions on one vehicle to reduce NOx emissions, such as retrofit, repower, or vehicle replacement, for which 

funding is requested.

(4) “ Solicitation” means a public announcement by the air district, requesting that fleets submit grant applications to the air 

district to participate in emission reduction incentive programs under this section.

(5) “ Solicitation deadline” means the last day, as provided in the solicitation, that an application may be physically received by 

the air district.

(d) Requirements

(1) If an air district, having held a public hearing and opted into the SOON program and made the program mandatory per section 

2449.2(e)(9), issues a solicitation for applications for funding under the SOON program, and if the solicitation so requires, a fleet 

that meets the applicability criteria of subsection (b) on the date of the solicitation must, before the solicitation deadline, do the 

following:

(A) Report to District and ARB - File a report, in a format approved by the Executive Officer, of all information required under 

section 2449(g) with the air district and ARB on its statewide fleet and that part of the fleet that has operated within the air district, 

as defined in section (c)(2) above. If the solicitation deadline is before April 1, 2009, the fleet must provide information regarding 

California Code of Regulations 

Barclays Official California Code of Regulations Currentness

Title 13. Motor Vehicles 

Division 3. Air Resources Board

Chapter 9. off-Road Vehicles and Engines Pollution Control Devices

Article 4.8. in-Use off-Road Diesel-Fueled Fleets (Refs & Annos)

13 CCR § 2449.2

§ 2449.2. Surplus Off-Road Opt-In for NOx (SOON) Program.

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the fleet as it existed on January 1, 2008. If the solicitation deadline is on or after April 1, 2009, the fleet must provide the 

information that was reported to ARB on the most recent March 1 reporting date.

(B) Calculate fleet average index - Determine the fleet average index for vehicles that operated within the air district for the year 

in which the solicitation deadline occurs according to the formula in section 2449.1(a).

(C) Calculate SOON fleet average target rate - Determine the SOON fleet average target rate for vehicles that operated within 

the air district for the year in which the solicitation deadline occurs according to the formula in section 2449.1(a), and using the 

SOON targets set forth in Table 5 below. If there is no SOON fleet average target rate for the year in which the solicitation 

deadline occurs, the nearest future target rate shall be used.

Table 5 - SOON Targets for Each Max Hp Group For Use in Calculating SOON Fleet Average Target Rates [g/bhp-hr]

Compliance

Date: 25-49 50-74 75-99 100-174 175-299 300-599 600-750 >750

January 1of Year hp hp hp hp hp hp hp hp

2011 5.6 6.2 6.7 6.0 5.4 5.1 5.3 6.4

2014 5.8 6.5 7.1 6.4 3.9 3.7 3.7 5.3

2017 5.0 5.4 5.5 4.9 2.2 2.2 2.2 4.3

2020 4.1 4.2 3.4 3.1 1.4 1.3 1.4 3.4

2023 3.3 3.0 1.4 1.3 0.7 0.7 0.7 2.7

(D) Apply for funding - Except as provided in section 2449.2(d)(2) and 2449.2(e)(3) below, a fleet for which the fleet average 

index, as calculated in section 2449.2(d)(1)(B), is greater than the SOON fleet average target rate, as calculated in section 

2449.2(d)(1)(C), must apply for SOON funding. The application submitted must be completed according to the guidelines and 

conditions established under the solicitation and, if the necessary NOx retrofits, repower, or vehicle replacements are available, 

must indicate how NOx retrofits, repowers, or vehicle replacements for which funding is requested will bring the fleet average 

index for vehicles that operated within the air district from where it would have been under compliance with section 2449.1 to less 

than or equal to the SOON fleet average target rate calculated in section 2449.2(d)(1)(C). The application must also indicate 

whether the fleet wants the application to be given high priority for SOON program funding by the district. The funding priority 

shall be determined under the air district guidelines developed per section 2449.2(f)(2).

(E) Achieve NOx reductions - Fleets that receive SOON program funding must complete the actions for which they were funded 

per the conditions of the solicitation. Fleets that do not receive requested SOON program funding are not required to take actions 

beyond compliance with Off-Road regulation, as specified in sections 2449 and 2449.1.

(2) Fleets not meeting the applicability provisions - A fleet that operates individual vehicles within the air district, but does not 

meet the applicability provisions of sections 2449.2(b)(2)(B) and 2449.2(b)(2)(C), are not required to file a report with the ARB or 

the air district under section 2449.2(d)(1). It is also not required to apply for funding under subsection (d)(1)(D), but may file a 

report with ARB or the air district under section 2449.2(d)(1) and apply for funding if the fleet average index calculated for its fleet 

operating within the air district exceeds the SOON fleet average target rate, and the fleet would like to qualify for funding. If the air 

district approves the fleet's application for funding, the fleet must achieve the NOx reductions as set forth in subsection (d)(1)(E). 

Participating in the SOON program in one year does not obligate the fleet to participate in subsequent years.

(3) Air districts that opt into the SOON program - Districts must prioritize requested projects based on the optimum NOx costeffectiveness and on whether the fleet requesting the SOON program funding has requested high priority for SOON program 

funding. Air districts must report to ARB, in a format approved by the Executive Officer, all projects funded under the SOON 

program, including the equipment identification number of all vehicles funded.

(e) Special Provisions -

(1) Accounting for the Off-Road regulation -

(A) Reductions achieved through the SOON program must be surplus, over the entire contract period, to those required by the 

Off-Road regulation, sections 2449-2449.1 above.

(B) During the contract period, vehicles equipped with NOx retrofits, repowered with new engines, or that have been replaced 

using SOON program funding, cannot use this lower emission rate to calculate the fleet average index and target rate, and BACT 

credit under section 2449.1. Instead, for the purposes of calculating the fleet average index and target rate, and BACT credit 

under section 2449.1, these vehicles must be reflected as if the actions taken under the SOON program did not occur. Actions 

taken using SOON program funding may be used for determining compliance under section 2449.1after the completion of the 

SOON program project contract period for that vehicle. For example, if a Tier 0 vehicle is repowered with a Tier 3 engine with 

SOON program funds, for purposes of compliance with section 2449.1, that vehicle is still treated as if it were a Tier 0 until the 

end of the contract period for the SOON program project.

(C) If a fleet pays for a VDECS that is installed concurrently with a repower or vehicle replacement funded with SOON program 

funding, the fleet may count the VDECS toward determining compliance under section 2449.1. If a fleet's vehicle is repowered 

using SOON program funding with a Tier 4 engine that comes with an original engine manufacturer diesel particulate filter, and if 

the fleet pays a portion of the repower costs such that it offsets the cost of an equivalent VDECS, the fleet may count the original 

engine manufacturer diesel particulate filter towards determining compliance under section 2449.1.

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(2) Turnover in section 2449.1 - A fleet may apply to the Executive Officer for an extension from the requirements in section 

2449.1(b) if, using the accounting provisions in section 2449.2(e)(1), section 2449.1(b) would require, prior to January 1, 2014, a 

fleet to turn over vehicles that are Tier 2 or better. The exemptions in sections 2449.1(b)(2), (b)(3), and (b)(6) for vehicles less 

than 10 years old and Tier 2 vehicles do not apply to the SOON program.

(3) Compliance plans - In addition to a SOON program application, a fleet applying for SOON program funding must prepare and 

submit to the air district a compliance plan, in the format described in the district guidelines, laying out the actions it is required to 

take under section 2449.1 and the actions for which it is applying for funding under section 2449.2. Compliance plans must 

demonstrate that in the absence of any actions taken to satisfy section 2449.2, the fleet will be able to meet the requirements of 

section 2449.1 through the remaining actions set forth in the plan.

(4) Surplus - Participation in the SOON program does not reduce the actions required for any fleet to comply with any 

requirements in the Off-Road regulation under section 2449.1.

(5) Tracking devices - An air district may require any vehicle repowered, retrofitted, or replaced with incentive money through the 

SOON program to be equipped with a vehicle location device (per the air district's guidelines and conditions for receiving funding) 

to ensure that the vehicle is used in the air district for the required percent of operating hours.

(6) Particulate Matter Retrofits -

(A) If a fleet has a vehicle that has been retrofitted within the last six years with a Level 2 or 3 VDECS, which was the highest 

level VDECS at the time of retrofit, the fleet may but is not required to apply for SOON funding for that vehicle.

(B) A fleet that receives SOON funding to repower or replace a vehicle is not required to install the highest level VDECS along 

with the repower or replacement.

(7) Funding Guidelines - Projects funded under the SOON program with Carl Moyer program money must be administered 

consistent with applicable Carl Moyer program guidelines, except as noted in section 2449.2(e)(6)(B). If a project is funded from 

other sources, the SOON program must be administered consistent with any applicable guidelines. The air district shall develop 

guidelines for administration of the SOON program, as provided in section 2449.2(f)(2).

(8) Vehicles Scheduled to Leave District - A fleet that has operated within the air district as defined in section 2449.2(c)(2) but 

that is planning to move vehicles out of the air district such that the vehicles will not operate enough hours in the air district to 

qualify for SOON funding may leave such vehicles out of the fleet average index calculation in section 2449.2(d)(1)(B), the SOON 

fleet average target rate calculation in section 2449.2(d)(1)(C), and the application for funding in section 2449.2(d)(1)(D). The 

fleet must submit a statement under penalty of perjury to the district for each such vehicle stating its intent to move each such 

vehicle out of the district.

(9) Voluntary or Mandatory Nature of SOON - An air district, having held a public hearing and opted into this regulation, may 

issue a solicitation for applications for funding under the SOON program.

(A) For fleets in the South Coast Air Quality Management District and San Joaquin Valley Air Pollution Control District, 

solicitations with a deadline before April 2, 2009, shall be voluntary. For solicitations with a deadline on or after April 2, 2009, the 

South Coast Air Quality Management District and San Joaquin Valley Air Pollution Control District may elect to make participation 

by fleets voluntary or mandatory.

(B) In any district other than the South Coast Air Quality Management District or San Joaquin Valley Air Pollution Control District, 

for solicitations with a deadline before April 2, 2010, participation by fleets is voluntary. For solicitations with a deadline on or after 

April 2, 2010, the district may choose to make participation by fleets voluntary or mandatory.

(C) The solicitation shall announce the air district's decision regarding voluntary or mandatory participation.

(f) Local Air District Opt-In

(1) To participate in the SOON program, an air district's governing board must hold a formally noticed public hearing, where 

public comment is taken, and, by majority vote, elect to opt into the program. As part of this hearing, for years when section 

2449.2(e)(9) gives the district a choice between a voluntary and mandatory SOON program, the air district's governing board 

must decide whether participation by fleets is voluntary or mandatory.

(2) District Guidelines - An air district opting into section 2449.2 must develop, through a public process including a duly noticed 

public workshop and formally noticed public hearing, additional administrative provisions necessary to implement this section, 

including, but not limited to, funding guidelines (as required under section 2449.2(e)(7)), compliance planning requirements, and 

reporting and monitoring requirements. Funding guidelines may include limitations on the cost-effectiveness of projects that may 

be funded and must include the method used for prioritizing projects based on cost-effectiveness and whether applying fleets 

requested high priority for SOON program funding, and a description of any requirements on fleets that receive SOON funding to 

pay part of the SOON project cost. Compliance planning guidelines must indicate the format and length of compliance plans. Air 

district guidelines may include a pre-application process that collects vehicle data (model year, hp, hours of use) and then 

requires full SOON project applications only for vehicles likely to receive funding.

(3) ARB Approval of District Guidelines - Before any guidelines, including administrative or funding guidelines, approved by an air 

district take effect, they must be approved by the Executive Officer. Air district staff shall submit proposed guidelines to the 

Executive Officer before they are acted on by the district's governing board. The Executive Officer will respond within 30 days 

with a description of any required changes to the proposed guidelines necessary for Executive Officer approval. In evaluating 

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proposed air district guidelines, the Executive Officer shall consider, among other factors, the adequacy of cost-effectiveness 

criteria, whether fleet requests for high priority for SOON funding are given preference, and uniformity of district guidelines 

between air districts. After guidelines are adopted by a district's governing board, air district staff shall submit the adopted 

guidelines to the Executive Officer. The Executive Officer will respond within 30 days with approval or a description of any 

required changes to the guidelines.

(4) ARB Authority - ARB has sole authority to enforce the requirements of section 2449.2. The Executive Officer retains the 

authority to review any district's administration of section 2449.2 and to address any unforeseen circumstances or events.

Note: Authority cited: Sections 39002, 39515, 39516, 39600, 39601, 39602, 43000, 43000.5, 43013, 43016 and 43018, Health and 

Safety Code. Reference: Sections 39002, 39515, 39516, 39600, 39601, 39602, 39650, 39656, 39657, 39658, 39659, 39665, 39667, 

43000, 43000.5, 43013, 43016 and 43018, Health and Safety Code.

HISTORY

1. New section filed 5-16-2008; operative 6-15-2008 (Register 2008, No. 20).

2. Amendment of section and Note filed 12-31-2009; operative 12-3-2009 pursuant to Government Code section 11343.8 and Health 

and Safety Code section 43018.2 (AB2x 8). In accordance with Health and Safety Code section 43018.2(b), this regulatory action is 

exempt from the APA and OAL review. Submitted to OAL for printing only (Register 2010, No. 1).

3. Amendment of subsections (a)(2)(A)2.a.i.-b. filed 12-31-2009; operative 1-1-2010 pursuant to Government Code section 11343.4 

(Register 2010, No. 1).

4. Amendment filed 7-16-2010; operative 8-15-2010 (Register 2010, No. 29).

5. Repealer of former section 2449.2 and renumbering and amendment of former section 2449.3 to new section 2449.2 filed 12-14-

2011; operative 12-14-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 50).

This database is current through 2/12/16 Register 2016, No. 7

13 CCR § 2449.2, 13 CA ADC § 2449.2

END OF DOCUMENT © 2016 Thomson Reuters. No claim to original U.S. Government Works.

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