BOARD MEETING DATE: March 4, 2016 AGENDA NO. 7 

PROPOSAL: Adopt Resolution Recognizing Funds and Accepting Terms and 

Conditions for FY 2015-16 Carl Moyer Program Award, Issue 

Program Announcements for Carl Moyer Program and SOON 

Provision, Execute and Amend Contracts, and Amend SOON 

Provision Implementation Guidelines 

 

SYNOPSIS: These actions are to adopt a resolution recognizing up to $26 

million in Carl Moyer Program grant awards from CARB under SB 

1107 with its terms and conditions for FY 2015-16 and to approve 

the release of Program Announcements for the FY 2015-16 “Year 

18” Carl Moyer Program and SOON Provision to provide incentive 

funding for low-emitting on- and off-road vehicles and equipment. 

Additionally, these actions are to execute and amend contracts in 

the amount of $570,799, comprised of $542,300 from the Air 

Quality Investment Fund, Rule 2202 Program (27), and $28,499 

from the Carl Moyer Program SB 1107 Fund (32). Finally, this 

action is to approve amendments to the SOON Provision 

Implementation Guidelines. 

 

COMMITTEE: Technology, February 19, 2016; Recommended for Approval 

RECOMMENDED ACTIONS: 

1. Adopt the attached resolution recognizing upon receipt up to $26 million from 

CARB into the Carl Moyer Program SB 1107 Fund (32) and accepting terms and 

conditions of the FY 2015-16 Carl Moyer grant award. 

2. Approve issuance of Program Announcement #PA2016-05 to solicit projects for the 

FY 2015-16 “Year 18” Carl Moyer Memorial Air Quality Standards Attainment 

Program. 

3. Approve issuance of Program Announcement #PA2016-06 to solicit projects for the 

SOON Provision. 

4. Authorize the Chairman to execute the following contracts in an amount not to 

exceed $542,300, from the Air Quality Investment Fund, Rule 2202 Program (27): 

a. Philip Huynh for the repower of 2 main engines of a marine vessel in an amount 

not to exceed $181,900; 
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b. James Simmerman for the repower of 2 main engines of a marine vessel in an 

amount not to exceed $145,350; and 

c. Khiet Nguyen for the repower of 2 main and 1 auxiliary engines of a marine 

vessel in an amount not to exceed $215,050. 

5. Authorize the Chairman to amend a contract with West Coast Equipment, LLC for 

the replacement of 7 old for 3 new off-road equipment with lower-emitting CARBcertified Interim Tier 4 engines with an increase in the funding amount by $28,499 

from the Carl Moyer Program SB 1107 Fund (32), for a new total amount of 

$132,509. 

6. Approve amendments to the SOON Provision Implementation Guidelines as 

provided in Attachment 4. 

Barry R. Wallerstein, D.Env. 

Executive Officer 

MMM:FM 

Background 

The Carl Moyer Memorial Air Quality Standards Attainment Program (CMP) and the 

Surplus Off-Road Opt-in for NOx (SOON) Provision provide funding on an incentive 

basis for the incremental cost of purchasing cleaner than required engines and 

equipment. Both programs are funded with the Carl Moyer Program SB 1107 and AB 

923 funds. This is the 18th year of the CMP and the 12th year of the program with 

funding from SB 1107 and AB 923. 

SOON Provision Implementation Guidelines

On July 11, 2014, the Board amended Rule 2449 - Control of Oxides of Nitrogen 

Emissions from Off-Road Diesel Vehicles, to revise the reference from Section 2449.3 

to Section 2449.2 of Title 13 of the California Code of Regulation. On August 14, 

2014, the amended Rule 2449 was submitted to CARB for approval. CARB approved 

Rule 2449 and forwarded it on to U.S. EPA as a revision to the State Implementation 

Plan. As part of reviewing the approvability of Rule 2449, U.S. EPA indicated that the 

SOON Implementation Guidelines (Guidelines) should be amended to reference the 

appropriate section of the State Regulation. In addition, there is a desire to align the 

funding levels for the SOON Provision to be the same as the funding levels provided in 

the Carl Moyer Program. 

 
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Proposal 

Carl Moyer Program 

This action is to adopt the attached resolution recognizing upon receipt up to $26 

million from CARB into the Carl Moyer Program SB 1107 Fund (32) for 

implementation of the FY 2015-16 “Year 18” CMP and accepting the terms and 

conditions of the FY 2015-16 Carl Moyer Grant award. CARB has tentatively allocated 

$25,495,135 to the SCAQMD. Of this amount, $23,901,689 is designated for projects 

funding and $1,593,446 for administrative and outreach efforts. In addition, $3,824,270 

is required from the SCAQMD as the local match, which will be provided from AB 923 

funds. 

This action is to also approve the issuance of Program Announcements #PA2016-05 and 

#PA2016-06 for the Carl Moyer Program and the SOON Provision, respectively. The 

approximate amounts of available funding are $23 million for the Carl Moyer Program 

and $5 million for the SOON Provision. Additional funds may become available by the 

time of award approval, upon which more projects will be awarded up to the total 

amount of funds available. A detailed account of available funds from the Carl Moyer 

Program Fund, including earned interest and the split between the SB 1107 and the AB 

923 funds, will be outlined at the time of award recommendations. 

The PAs are issued based on the current program guidelines and the revisions approved 

by CARB on December 18, 2015. The Carl Moyer PA solicits projects for on-road 

vehicles, off-road vehicles of small and medium size fleets, locomotives, marine and 

port applications and other vehicles and equipment. The SOON Provision PA solicits 

projects for off-road vehicles in large fleets. As in previous years, SCAQMD will only 

fund diesel-to-diesel applications when alternative fuel engines/vehicles are not 

commercially available or certified by CARB except for emergency vehicles. Approval 

of emergency vehicle applications will be on a case-by-case basis. Proposals for all 

categories will be due by 1:00 pm on Wednesday, June 1, 2016. Staff expects to 

finalize the review and evaluation of the proposals and recommend awards for Board 

approval at the October 2016 Board meeting. The Carl Moyer Program and the SOON 

Provision PAs are attached. 

Execute and Amend Contracts 

Rule 2202 Air Quality Investment Program requires the SCAQMD to achieve emissions 

reductions credits with funds submitted by employers in lieu of having rideshare 

programs. To generate the required NOx emissions credits, proposals were evaluated 

from the latest oversubscribed Carl Moyer Program solicitation that closed on June 3, 

2015. This action is to fund the repower of three marine vessel projects operating in 

disproportionately impacted areas in an amount not to exceed $542,300, from the Air 

Quality Investment Fund, Rule 2202 Program (27). Total annual NOx and PM 

emissions reductions from the recommended projects are 2.8 tons and 0.1 ton, 

respectively. 
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Furthermore, this action is to amend a contract with West Coast Equipment, LLC for the 

replacement of 7 old for 3 new off-road equipment with lower-emitting CARB-certified 

Interim Tier 4 engines with an increase in the funding amount by $28,499, and for a 

new total amount of $132,509 from the Carl Moyer Program SB 1107 Fund (32). 

Amend SOON Provision Implementation Guidelines

Per discussions with the U.S. EPA on the SIP approvability of Rule 2449, staff is 

proposing amendments to the reference of the appropriate section under state law, 

Section 2449.2, Title 13 of the California Code of Regulations. In addition, staff is 

proposing that that the maximum funding amount for eligible replacement projects be 

the same as the funding level provided in the Carl Moyer Guidelines for off-road 

equipment replacement projects. The provisions referred to in the proposed amendment 

are already in effect and represent no change to existing requirements on affected fleets. 

This action is to approve the amendments provided in Attachment 4. 

Outreach 

In accordance with SCAQMD’s Procurement Policy and Procedure, a public notice 

advertising the PAs and inviting bids will be published in the Los Angeles Times, the 

Orange County Register, the San Bernardino Sun, and Riverside County’s Press 

Enterprise newspapers to leverage the most cost-effective method of outreach to the 

South Coast Basin. 

Additionally, potential bidders may be notified utilizing SCAQMD’s own electronic 

listing of certified minority vendors. Notice of the PAs will be emailed to the Black and 

Latino Legislative Caucuses and various minority chambers of commerce and business 

associations, and placed on the Internet at SCAQMD’s website (http://www.aqmd.gov

where it can be viewed by making the selection “Grants & Bids.”

Amend SOON Provision Implementation Guidelines

No public workshops were held by SCAQMD staff since the proposed amendments are 

administrative in nature and would only reference the appropriate section in the 

California Code of Regulation per discussions with the U.S. EPA. This will provide 

greater funding flexibility to eligible projects consistent with the Carl Moyer Guidelines 

for off-road equipment replacement projects. 

Program Guideline

At its July 8, 2005 meeting, the SCAQMD Board approved a long-term Program 

Guideline for the implementation of the Carl Moyer Program in the South Coast Air 

Basin. The proposed funding distribution for different equipment categories is made in 

this Board letter according to the criteria outlined in that Guideline with emphasis on the 

following priorities in order to achieve the highest emission reductions: 

- Goods Movement (40 percent allocation) 

- Environmental Justice (50 percent allocation) 
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- Cost-Effectiveness 

- Low Emission Engine / Vehicle Preference 

- Early Commercialization of Advanced Technologies/Fuels 

- Fleet Rules 

- School Buses 

Funding Distribution 

The CMP Guideline includes the requirement that at least 50% of the program funds 

must be spent in disproportionately impacted areas. At least half the funding allocated 

under SB 1107 and collected under AB 923 will be awarded to projects located in 

disproportionately impacted areas. It has been the policy of the SCAQMD to allocate at 

least 50% of all funding available in the CMP and the SOON Provision, including rollover funding from previous years and turnback funds, to disproportionately impacted 

areas. 

Disproportionately Impacted Areas Point Ranking 

The requirements of the CMP and the SOON Provision will be implemented according 

to the following criteria. 

1) All projects must qualify by meeting the cost-effectiveness limits established in the 

Program Announcement. 

2) All projects will be evaluated according to the following criteria to qualify for 

funding as a disproportionately impacted area: 

a) Poverty Level: Detailed socioeconomic information is not included in the 2010 

Census. Such data is collected yearly from a small percentage of the population 

on a rotating basis by the American Community Survey (ACS). All projects in 

areas where at least 10 percent of the population falls below the federal poverty 

level based on the 2008-2012 ACS data are eligible to be included in this 

category, and 

b) PM2.5 Exposure: All projects in areas with the highest 15 percent of PM2.5 

concentration measured within a 2 km grid will be eligible to be ranked in this 

category. The highest 15 percent of PM2.5 concentration is 11.10 micrograms 

per cubic meter and above, on an annual average, or 

c) Air Toxics Exposure: All projects in areas with a cancer risk of 894 in a million 

and above (based on MATES IV estimates) will be eligible to be ranked in this 

category. 

The maximum score will be comprised of 40 percent for poverty level and 30 percent 

each for PM and toxic exposures. Special circumstances exist in some areas, such as 

the Ports of Long Beach and Los Angeles. Since there are no residents within the ports, 

poverty ranking could not be established. In this case, the poverty ranking from the 

adjacent on-shore areas was extended to the ports since these populated areas are 

directly impacted by port activities. 
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Benefits to SCAQMD 

The SCAQMD has supported a number of activities directed to the advancement of new 

technologies and commercialization of low-emission alternative fuel technologies. The 

successful implementation of the Carl Moyer Program and the SOON Provision are 

direct results of these technology advancement activities. The vehicles and equipment 

funded under these Program Announcements will operate many years, providing longterm emission reductions. 

Resource Impacts 

CARB has tentatively allocated $25,495,135 to the SCAQMD under SB 1107 for 

implementation of the FY 2015-16 “Year 18” CMP. Of this amount, $23,901,689 is 

designated for project funding and $1,593,446 for administrative and outreach efforts. 

These funds shall be recognized into the Carl Moyer Program SB 1107 Fund (32). In 

addition, $3,824,270 is required as the local match from the SCAQMD, which will be 

provided from AB 923 funds. 

The total funding for the new contracts under the Rule 2202 Program shall not exceed 

$542,300 from the Air Quality Investment Fund, Rule 2202 Program (27). 

The total funding increase for the contract amendment shall not exceed $28,499 from 

the Carl Moyer Program SB 1107 Fund (32). 

The proposed amendments to the SOON Provision Implementation Guidelines are 

administrative in nature and have minimal administrative resource impacts. Existing 

SCAQMD resources are sufficient for continued implementation and enforcement of the 

rule and the Guidelines. 

Attachments 

1. A Resolution of the South Coast Air Quality Management District Board 

Recognizing Funds and Accepting the Terms and Conditions of the FY 2015-16 Carl 

Moyer Grant Award 

2. Carl Moyer Program Announcement #PA2016-05 

3. SOON Provision Program Announcement #PA2016-06 

4. SOON Provision Implementation Guidelines 

 
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RESOLUTION NO. 16-___ 

A Resolution of the South Coast Air Quality Management District Board 

Recognizing Funds and Accepting the Terms and Conditions of the

FY 2015-16 Carl Moyer Grant Award 

 WHEREAS, under Health & Safety Code §40400 et seq., the South Coast 

Air Quality Management District (SCAQMD) is the local agency with the primary 

responsibility for the development, implementation, monitoring and enforcement of air 

pollution control strategies, clean fuels programs and motor vehicle use reduction 

measures; and 

 WHEREAS, the SCAQMD is authorized by Health & Safety Code 

§§40402, 40440, and 40448.5 to implement programs to reduce transportation emissions, 

including programs to encourage the use of alternative fuels and low-emission vehicles; 

to develop and implement other strategies and measures to reduce air contaminants and 

achieve the state and federal air quality standards; and 

 WHEREAS, the Board has adopted several programs to reduce emissions 

from on-road and off-road vehicles, as well as emissions from other equipment, including 

the School Bus Incentive Program and the Carl Moyer Program; and 

 WHEREAS, the SCAQMD is designated as an extreme non-attainment

area for ozone and as such is required to utilize all feasible means to meet national ambient 

air quality standards. 

 THEREFORE, BE IT RESOLVED that the Board of the SCAQMD, State 

of California, in regular session assembled on March 4, 2016, does hereby accept the 

terms and conditions of the FY 2015-16 (Year 18) Carl Moyer Program grant award and 

recognizes up to $26 million in SB 1107 funds. 

 BE IT FURTHER RESOLVED that the Executive Officer is authorized and 

directed to take all steps necessary to carry out this Resolution. 

________________________ __________________________ 

Date Clerk of the Board 
1

2016

CARL MOYER MEMORIAL

AIR QUALITY STANDARDS ATTAINMENT PROGRAM

PROGRAM ANNOUNCEMENT

“Year 18”

SCAQMD PROGRAM ANNOUNCEMENT

#PA2016-05

The South Coast Air Quality Management District (SCAQMD) is seeking project applications 

for the following purpose according to terms and conditions attached. In the preparation of this 

Program Announcement (PA) the words “Proposer,” “Applicant,” “Contractor,” and 

“Consultant” are used interchangeably.

SECTION I – OVERVIEW

PURPOSE

The SCAQMD is seeking applications for the 2016 Carl Moyer Memorial Air Quality Standards 

Attainment Program (CMP), referred to as “Year 18”.

Funding for this PA will be approximately $23 million, from the CMP Fund. 

The purpose of the CMP is to achieve near-term emission reductions of Nitrogen Oxides (NOx), 

Particulate Matter (PM10) and Reactive Organic Gases (ROG) from heavy- and medium-duty 

vehicles and equipment operating in California as early and as cost-effectively as possible. The 

CMP provides financial incentives to assist in the purchase of low-emission heavy- and mediumduty engine technologies to achieve emission reductions that are real, surplus and quantifiable. 

This Program Announcement (PA) was prepared based on the Approved Revision of the Carl 

Moyer Program (CMP) Guidelines dated December 18, 2015, which is available online at 

http://www.arb.ca.gov/msprog/moyer/guidelines/current.htm, as well as CMP mail-out #MSC 

15-25, also available online at http://www.arb.ca.gov/msprog/mailouts/msc1525/msc1525.pdf.

All applications will be evaluated based on criteria set forth in this PA, the CMP Guidelines, and 

all subsequent updates and modifications/advisories; up to date CMP information may be 

obtained at Carl Moyer Program Web page at http://www.arb.ca.gov/msprog/moyer/moyer.htm. 

INTRODUCTION

CMP funding is provided via two legislative bills, SB 1107 and AB 923. SB 1107 provides 

approximately $61 million a year in statewide funding, and AB 923 permits air districts in 

designated non-attainment areas to collect an additional two dollars in vehicle registration fees to 

expend on programs to reduce emissions from vehicular sources and off-road equipment. A 

resolution approving such fees was adopted by the SCAQMD Board on December 3, 2004. 
2

FUNDING CATEGORIES 

The specific project categories identified for funding under the SCAQMD’s 2016 CMP 

solicitation are: 

On-Road Heavy-Duty Vehicles

 On-Road Heavy-Duty Vehicle projects must generate surplus emission reductions. 

Therefore, all vehicles subject to California Air Resources Board’s (CARB’s) Fleet 

Rules, including but not limited to the Statewide Truck & Bus Regulation, Solid Waste 

Collection Vehicle Rule, Public Agencies & Utilities Fleet Rule and Drayage Truck 

Regulation, significantly reduce if not eliminate funding opportunities. The remaining 

funding opportunities apply exclusively to emergency vehicles and to fleets of three 

(3) or fewer vehicles. Eligible Emergency Vehicle projects are those in which a new or 

used replacement vehicle with an engine meeting the current model year California 

emission standard replaces an older, more polluting fire apparatus.

 A larger fleet (four or more vehicles) may be eligible for a small percentage of funding if 

the fleet is currently in compliance with the applicable CARB Fleet Regulation. The 

percentage of funding will be determined by the amount of surplus emission reductions 

that are generated a minimum of one year prior to regulatory requirements.

Off-Road Heavy-Duty Equipment/Engines

 Off-Road Heavy-Duty Equipment/Engines, including but not limited to construction 

equipment, marine engines, shore power, locomotives, agricultural tractors, zeroemission rubber-tired gantry (RTG) crane and other cargo handling equipment. 

 Large fleets subject to CARB’s In-Use Off-Road Equipment regulation1are not eligible 

for funding from the SCAQMD.

Refer to CARB’s fleet rule websites that provide detailed information on compliance with these 

regulations. These are listed below in Section VI.

GENERAL PROGRAM INFORMATION

All project awards shall not exceed the project’s incremental cost or the maximum costeffectiveness limit of $18,260 per ton of weighted emissions reduced, unless revised by CARB 

prior to SCAQMD awards. All projects must meet the criteria stated in this PA, Appendix A and 

the CMP Guidelines. Cost-effectiveness is based on NOx, ROG and PM reductions. Project costeffectiveness is calculated according to the following formula: 

Annualized Cost ($/year)

[NOx reduction + 20(combustion PM10 reduction) + ROG reduction] (Tons/year)

All projects must be operational within eighteen (18) months of contract execution or by May 20, 

2018, whichever is earlier. Some projects may have earlier in-service operation date 

requirements, if they are subject to CARB regulations.

 

1 http://www.arb.ca.gov/msprog/ordiesel/ordiesel.htm
3

It is the applicant’s responsibility to ensure that the most current information and requirements 

are reflected in a submitted application. Applicants should check the CARB website for updates 

and advisories to the guidelines (www.arb.ca.gov/msprog/moyer/moyer.htm). 

In cases of conflict between CARB guidelines and SCAQMD criteria, the more stringent criteria 

will prevail. SCAQMD will post any new information and requirements on its CMP Web page at

www.aqmd.gov/Moyer.

Projects subject to CARB regulations must submit a copy of the most recent CARB compliance 

report(s) or other documentation that provides SCAQMD with clear understanding of the 

applicant’s fleet rule compliance status.

All emission reductions resulting from funded projects will be retired by the SCAQMD. 

Public financial incentives will be deducted from the total incremental costs that can be funded 

with Carl Moyer Program funds except for tax credits, tax deductions, public rebates, public 

loans, or local air district penalty funds. Local air district mitigation fees and other state and 

local air district incentives must be part of the cost-effectiveness evaluation. 

Federal funding for programs to reduce greenhouse gas (GHG) emissions, funding provided by 

the Alternative and Renewable Fuel and Vehicle Technology Program, Air Quality Improvement 

Program, or CARB’s Low Carbon Transportation Investment funds to reduce GHG emissions 

are eligible for use provided the grantee pays at least 15 percent of the project cost from nonpublic sources.

ELIGIBILITY INFORMATION

Emission reductions obtained through Carl Moyer Program projects must not be required by any 

federal, state or local regulation, memorandum of agreement/understanding, settlement 

agreement, mitigation requirement or other legal mandate.

Engines operating under a regulatory compliance extension granted by CARB, an air district or 

the United States Environmental Protection Agency (U.S. EPA) are not eligible for funding.

A grant recipient subject to an in-use regulation may be eligible to receive CMP funding if the 

applicant has met all compliance requirements of applicable regulations. Documentation of 

regulatory compliance must be provided by applicants to air districts at the time of application.

Key program requirements for on- and off-road equipment categories are highlighted below;

however, applicants are responsible for consulting the CMP guidelines for additional program 

limitations/requirements.

ON-ROAD VEHICLES

All on-road projects must generate surplus emission reductions. Therefore, all vehicles subject to 

CARB’s Fleet Rules, including but not limited to the Statewide Truck & Bus Regulation, Solid 

Waste Collection Vehicle Rule, Public Agencies & Utilities Fleet Rule, and Drayage Truck 

Regulation, significantly reduce if not eliminate CMP funding opportunities. The remaining 

funding opportunities discussed below apply exclusively to emergency vehicles and fleets of 

three (3) or fewer heavy-duty trucks. 

The proposed engine for each on-road project must be consistent with the “Intended Service 

Class” per the CARB Executive Order [medium-heavy duty (MHD) Intended Service Class 
4

engines cannot be used for projects which have the heavy-heavy duty (HHD) vehicle 

classifications]. Executive Orders for on-road vehicles may be downloaded at: 

http://www.arb.ca.gov/msprog/onroad/cert/cert.php.

Emergency Vehicles

Eligible emergency vehicle projects are those in which a new or used replacement vehicle with 

an engine meeting the current model year California emission standard replaces an older, more 

polluting emergency vehicle. The older, replaced vehicle must be destroyed. 

A fire truck reuse option is also available on a case-by-case basis. The fire truck reuse option 

allows fire departments to give away the existing old vehicle and destroy another older vehicle in 

its place. Additional requirements should be reviewed and understood at 

http://www.arb.ca.gov/msprog/moyer/guidelines/2011gl/2011cmp_ch6_07_11_14.pdf

New Purchase 

On-road new purchase project opportunities are currently very limited and include, (1) engines 

that are at least 30% cleaner than current standards for NOx (0.14 g/bhp-hr or less) or (2) zeroemission technologies. Both opportunities would generate minimal surplus emission reductions, 

resulting in very nominal funding amounts.

Repowers 

A replacement engine for a repower project must be a CARB-certified engine meeting emissions 

levels of 0.50 g/bhp-hr NOx and 0.01 g/bhp-hr PM or lower. Repowers with replacement family 

emission limit (FEL) engines that meet these emissions levels must be based on emission factors 

for model year 2007-2009 engines. 

Due to technological constraints presented with the limited feasibility of newer engines with 

advanced emissions control equipment fitting into an older vehicle chassis, single vehicle 

repower projects are not eligible for Moyer funding. However, the economics of repower 

projects involving a large quantity of the same chassis and engine combination may allow 

compliance with the engine manufacturer quality assurance process that is equivalent to an 

Original Equipment Manufacturer (OEM) package. In these cases, a prototype vehicle is 

thoroughly reviewed and tested to ensure that the installation meets OEM requirements, and the 

successful prototype installation is then replicated in other vehicles with the same chassis and 

engine combination. While the prototype evaluation (with documented OEM approval) is not 

eligible for CMP funding, projects to replicate the identical chassis and engine combination will 

be considered on a case-by-case basis. 

Retrofit/Replacement

Please refer to the On-Road Voucher Incentive Program (VIP) to explore funding opportunities 

for replacement and retrofit funding at: www.aqmd.gov/VIP.

OFF-ROAD COMPRESSION-IGNITION EQUIPMENT

Propulsion engines greater than 25 horsepower on mobile off-road equipment are eligible for 

CMP funding, with limitations. Off-road heavy-duty equipment/engines include, but are not 

limited to, construction equipment, agricultural tractors, marine engines, shore power and 

locomotive equipment. Portable equipment is not eligible for CMP funding. 
5

Construction

Fleets must be in compliance with CARB’s In-Use Off-Road Diesel Vehicle Regulation (OffRoad Regulation) in order to be eligible for funding. Large fleets subject to CARB’s In-Use OffRoad Equipment regulation2

are no longer eligible for funding from the CMP.

Applicants must submit information regarding fleet size and compliance status. This must 

include the Diesel Off-Road On-line Reporting System (DOORS) ID of the fleet, the 

DOORS Compliance Snapshot, the DOORS equipment list, and the DOORS Equipment 

Identification Number (EIN) of the funded equipment. All documentation submitted must be 

signed and dated by the applicant and include language certifying that the fleet list provided is 

accurate and complete. Off-road projects fall into three distinct categories: 1) repower with an 

emission-certified engine, 2) retrofit with a verified-diesel emission control strategy (VDECS), 

and 3) replacement by a vehicle with an engine certified as meeting the current off-road emission 

standards.

Engine Repower

Engine repowers are commonly diesel-to-diesel repowers and significant NOx and PM benefits 

are achieved due to the higher emission levels of the engine being replaced. Funding is not 

available for projects where a spark-ignition engine (i.e., natural gas, gasoline, etc.) is replaced 

with a diesel engine. Off-road repower projects must install CARB-verified retrofit equipment 

subject to the “Retrofit Purchase” discussion below.

Retrofit Purchase

Retrofit is the installation of a CARB-verified diesel emission control device on an existing 

engine. Examples include, but are not limited to, particulate filters and diesel oxidation catalysts. 

Retrofit projects that control PM must use the highest level, technically feasible technology 

available for the equipment being retrofitted, which is defined as a device that achieves the 

highest level of PM reductions (Level 3 - 85 percent) and the highest level of NOx reductions. 

Replacement

Fleets may apply for replacement in lieu of repowering their vehicle, where new or used 

replacement equipment with an engine certified to the current emission standard or Tier is 

purchased to replace the existing equipment (which will be scrapped).

Cargo Handling Equipment (CHE) Electrification

Cargo handling equipment fleets must be fully compliant with CARB’s Regulation for Cargo 

Handling Equipment at Ports and Intermodal Rail Yards in order to be eligible for CMP funding. 

Applicants must provide a copy of their most recent CARB Compliance Plan to document 

compliance with the regulation. 

Existing diesel-powered RTG cranes or diesel-powered CHE (i.e., yard trucks, etc.) operating at 

a seaport or intermodal railyard in a trade corridor are eligible for CMP funding to offset costs to 

electrify this equipment. Projects utilizing regulatory extensions are not eligible for funding.

CHE Electrification – RTG Cranes

The CMP allows funding to converting existing diesel-powered RTG cranes with a zeroemission power system. Eligible costs may include the purchase of a new crane or installation of 

a zero-emission engine, necessary parts for an existing RTG crane including directly related 

 

2 http://www.arb.ca.gov/msprog/ordiesel/ordiesel.htm
6

vehicle modifications, and infrastructure to supply electrical power, utility construction, and 

costs associated with increasing the capacity of electrical power to the crane. Ineligible costs 

include design, engineering, consulting, environmental review, legal fees, permits, licenses and 

associated fees, taxes, metered costs, insurance, operation, maintenance and repair. Projects are 

evaluated on a case-by-case basis.

CHE Electrification – Other

The CMP allows partial funding of up to 50 percent of the eligible cost or $50,000/unit, 

whichever is less, to replace an existing CHE with a zero-emission propulsion system. Eligible 

costs may include the purchase of a zero-emission yard truck. Ineligible costs include license, 

registration, taxes (other than federal excise and sales tax), insurance, operation, maintenance 

and repair. Projects are evaluated on a case-by-case basis.

MARINE VESSEL PROJECTS

Marine vessel project types include engine repower and shore power. Each category is 

summarized below.

Marine Engine Repower

Limited CMP funding opportunities remain for vessel engines subject to the in-use compliance 

requirements of CARB’s Commercial Harbor Craft (CHC) regulation, since the repower must be 

completed at least three (3) years prior to the vessel’s regulatory in-use compliance date. Based 

on the vessel’s operation, the newer engine’s emissions must be surplus to the currently required 

U.S. EPA marine engine emission standard (i.e., Tier 3, Tier 4, etc.). Remanufacture kits, which

are comprised of engine component parts that, when installed, reduce the engine’s emissions, are 

subject to the same requirements as engine repower projects.

Shore Power Projects

Shore power projects are eligible only if applicants submit their CARB-approved Initial 

Terminal Plan with their application to document compliance with CARB’s Shore Power

regulation and that the proposed project provides emissions reductions that are surplus to 

regulatory requirements. Projects not subject to the Shore Power regulation are also eligible.

All subsequent project reports to air districts must include any new or updated Terminal Plans in 

order to evaluate compliance with the project contract. 

For shore power projects that demonstrate eligibility, up to 50 percent of the total cost of a shoreside transformer and other equipment between the vessel and shore-side transformer at the port 

or terminal is eligible for CMP funding. Any costs directly related and necessary to the 

installation of the eligible equipment may reasonably be included in the total cost, such as labor 

for installation, and costs of site preparation. Design and engineering costs associated with the 

transformer and other eligible equipment between the vessel and transformer are considered 

professional labor costs required to complete the installation and are eligible for funding. 

Up to 100 percent of necessary vessel (non-transformer) retrofit costs, specifically required to 

allow the vessel to plug into shore-side power, are eligible for CMP funding. Up to 50 percent of 

any necessary transformer costs on board the vessel are eligible for CMP funding.

Ineligible costs include modifications or enhancements made to the shore-side electrical 

infrastructure needed to bring power to the terminal. Other ineligible shore power costs consist 
7

of barge or other acquisitions and modification for a portable system, design, construction or 

metered costs, insurance, operation, maintenance and repair.

LOCOMOTIVES

In the SCAQMD, all new locomotives and replacement engines must be certified to Tier 4 

standards to be eligible for CMP funding.

Class 1 freight railroads may be eligible for Carl Moyer funding if Proposition 1B Goods 

Movement Program funding is not available. Such a project is subject to a case-by-case approval 

by CARB. Class 3 freight railroads and passenger railroads are not subject to any CARB fleet 

regulations and are therefore eligible for CMP funding. There are five types of locomotive 

projects that are eligible for Carl Moyer Program funding: 

1. Alternative technology switcher (or other cleaner-than-required new locomotive)

2. Idle limiting device (ILD)

3. U.S. EPA-certified engine remanufacture kit or repower/refurbishment

4. CARB-verified retrofit

5. Head-end power (HEP) unit (apply as an off-road engine project)

Locomotive project activity must be based upon fuel consumption. 

All locomotive projects receiving more than $50,000 per locomotive in Carl Moyer Program 

funds must include the purchase and installation of an ILD if the locomotive is not already 

equipped with such a device and installation is technically feasible. 

Refer to the CMP guidelines for additional information regarding these project types: 

http://www.arb.ca.gov/msprog/moyer/guidelines/2011gl/2011cmp_ch11_07_11_14.pdf

DEFINITIONS

Alternative Fuel

Alternative fuels include compressed natural gas (CNG), liquefied natural gas (LNG), hydrogen 

(H2), methanol, ethanol, propane (LPG) and electric technologies. Experimental technologies 

and fuels will be referred to CARB for evaluation and possible eligibility in the program.

Equipment Replacement

Equipment replacement means the replacement of an older vehicle or piece of equipment that 

still has remaining useful life with a newer, cleaner vehicle or piece of equipment. For this 

project type, applicant must have owned and operated the old equipment in California for the 

previous two years.

Repower 

Vehicle repower means the replacement of an in-use engine with another, cleaner engine (more 

than 15 percent cleaner). 

Retrofit 

An emission control system employed exclusively with an in-use engine, vehicle or piece of 

equipment. CARB guidance requires the applicant to select the highest level technology 

certified for that engine that provides the most emission reductions. For many projects, this 

includes a diesel emission control device that reduces both PM and NOx emissions. In order to 
8

be eligible for CMP funding, the retrofit device must be verified for the specific engine family 

found on the equipment and achieve the highest level emission reductions when compared to 

other verified retrofit devices. If a specific device reduces both NOx and PM but the PM 

reduction from a retrofit is required by a regulation, only the NOx reduction may be eligible for 

funding.

SCAQMD Jurisdiction

The SCAQMD is the air pollution control agency for all of Orange County and the urban 

portions of Los Angeles, Riverside and San Bernardino counties. This area of 10,743 square 

miles is home to over 16.8 million people–about half the population of the whole state of 

California. It is the second most populated urban area in the United States and one of the 

smoggiest. Visit www.aqmd.gov/home/about/jurisdiction for more information.

IMPORTANT PROGRAM INFORMATION 

 Applicants must provide vendor quotes with their application to document the cost of the 

low-emission vehicle/equipment project. Applicants may be awarded up to the designated 

percentage of total cost for the specified type of project (new purchase, repower and/or 

retrofit). Eligible costs include installation labor and sales tax; however, the total award 

may not exceed the maximum cost-effectiveness for the equipment/vehicle category. All 

quotes must have been obtained within 90 days prior to the closing date of the 

Program Announcement. 

 A number of the CARB fleet rules and air quality regulations have reduced or eliminated

CMP eligibility. Compliance with existing air quality regulations is a pre-requisite for 

CMP funding. Only emissions reductions in excess of regulatory requirements can be 

considered for CMP funding. If applicants are applying for CMP funds to reduce 

emissions before the required compliance date (i.e., early reductions), the equipment 

must demonstrate sufficient years of operation before the regulatory compliance deadline.

Applicants are responsible for ensuring that they are in full compliance with all 

applicable regulations and that vehicles/equipment requests under the CMP provide 

surplus emissions reductions. As noted earlier, applicants must provide documentation of 

their regulatory compliance status. 

 Any tax obligation associated with the award is the responsibility of the grantee.

 All projects must be operational within eighteen (18) months of contract execution or 

May 20, 2018, whichever is earlier, with the exception of large off-road fleet projects, in 

which case all equipment must be in operation no later than October 31, 2018.

 All project invoices must be submitted for payment no later than May 20, 2018. Projects 

which have not invoiced by the applicable date may forfeit their funding.

 The highest level verified diesel emissions control system (VDECS) available is required.

 Repower projects must also include a VDECS, if available for the project engine. The 

cost of the VDECS equipment and installation may be included in the CMP grant request. 

It is the responsibility of the applicant to determine the applicability of this requirement, 

and, if required, to include quotes for this equipment in their application. Projects that 
9

require the additional VDECS that do not have cost and system specification information 

may not be evaluated by SCAQMD staff.

 No third-party contracts will be executed.

 Pre- and post-inspection of all vehicles/engines/equipment approved for funding will be 

conducted, as required. Applicants must make all equipment available locally (i.e. within 

the SCAQMD boundaries) for inspections unless specified during contract preparation.

Documentation of compliance with existing regulatory requirements is required at the 

time of pre-inspection. 

 Local destruction of the engine and/or equipment being replaced is required for repower

or replacement projects.

 Emissions reduction calculations will be based on annual hours of operation for off-road

equipment projects and annual mileage for on-road vehicle projects.

 For projects that involve extended idling, including but not limited to street sweepers and 

solid waste collection vehicles, annual fuel consumption may be used as the basis for the 

emissions reduction evaluation. For projects based on fuel consumption, usage must be 

based on two years of historical fuel consumption documentation submitted with the 

application and specific to the equipment for which funding is requested. Documentation 

may include fuel logs, purchase receipts, business logs, ledger entries, etc. Annual fuel 

consumption may be used for the emissions reduction evaluation if documentation of 

previous fuel usage and mileage records demonstrates at least 30% better costeffectiveness3

, as compared to using hours (for off-road) or mileage (for on-road). 

PROGRAM ADMINISTRATION

The CMP will be administered locally by the SCAQMD through the Science and Technology 

Advancement office. 

Funding category allocations are provided below in Table 1. The SCAQMD reserves the right to 

reallocate the funds to another category or subcategory. Additionally, the SCAQMD reserves the 

right to partially fund a project.

All qualified applications submitted for each category/subcategory will be evaluated for 

disproportional impacts (discussed in Section IV) and ranked by emission reduction costeffectiveness. 

Proposals for fuel and engine technologies not yet certified by CARB, or falling outside the 

categories specifically discussed in this PA, will be referred to CARB for determination of CMP 

eligibility. Please discuss these projects with SCAQMD staff prior to application submittal.

 

3 This requirement does not apply to projects in the Emergency Vehicle category.
10

Table 1: Proposed Categories and Cost-Effectiveness Limits

Category Cost-Effectiveness $/ton

ON-ROAD

(A) Vehicles1 (including 

Emergency Vehicles)

18,260

OFF-ROAD

(A) Marine/Shore Power 18,260

(B) Construction2(small and 

medium fleets only)

18,260

(C) Locomotives 18,260

(D) Cargo Handling Equipment 

(electrification only)

18,260

1 On-road new purchase project opportunities are currently very limited and include, (1) 

engines that are at least 30% cleaner than current standards for NOx (0.14 g/bhp-hr or

less) or (2) zero-emission technologies. Both opportunities would generate minimal 

surplus emission reductions, resulting in very nominal funding amounts.

2 Large fleets subject to CARB’s In-Use Off-Road Equipment regulation are not eligible for 

funding from the SCAQMD.

SCHEDULE OF EVENTS

Issue #PA2016-05 March 4, 2016

Workshops April – May 2016

All Applications Due by 1:00 pm Wednesday, June 1, 2016

Awards Consideration by the Board September – October 2016

Contract Execution January 2017

ALL PROPOSALS MUST BE RECEIVED AT THE SCAQMD HEADQUARTERS

NO LATER THAN 1:00 P.M. ON WEDNESDAY, JUNE 1, 2016

Postmarks will not be accepted. Fax or email proposals will not be accepted. Proposers may 

hand deliver proposals to the SCAQMD by submitting the proposal to the SCAQMD

reception desk. The proposal will be date and time-stamped and the person delivering the 

proposal will be given a receipt.
11

SCHEDULE OF CMP GENERAL WORKSHOPS: 

 Wednesday April 20, 2016 - 10 a.m. to Noon

SCAQMD Headquarters, Room CC2

21865 Copley Drive

Diamond Bar, CA 91765

 Wednesday May 4, 2016 - 10 a.m. to Noon

SCAQMD Headquarters, Room CC2

21865 Copley Drive

Diamond Bar, CA 91765

MARINE VESSEL/SHORE POWER /CHE ELECTRIFICATION WORKSHOP 

 Wednesday, April 27, 2016 – 10 a.m. to Noon

Port of Los Angeles Board Room

425 South Palos Verdes Street

San Pedro, CA 90731

STATEMENT OF COMPLIANCE

Government Code Section 12990 and California Administrative Code, Title II, Division 4, 

Chapter 5, require employers to agree not to unlawfully discriminate against any employee or 

applicant because of race, religion, color, national origin, ancestry, physical handicap, medical 

condition, marital status, sex, or age. A statement of compliance with this clause is included in 

all SCAQMD contracts.

CONTACT FOR ADDITIONAL INFORMATION

Questions regarding the content or intent of this PA, procedural matters, or locations of 

workshops should be addressed to:

Lani Montojo

Science and Technology Advancement

South Coast Air Quality Management District

21865 Copley Drive, Diamond Bar, CA 91765

(909) 396-2231/3252 FAX

SECTION II - WORK STATEMENT/SCHEDULE OF DELIVERABLES

Applicants must sign the Application form indicating their understanding of the requirements for 

submittal of additional project information to finalize a contract and that all vehicles, engines or 

equipment must be in operation within eighteen (18) months of contract execution or by May 20,

2018, whichever is earlier. Unsigned applications will be deemed ineligible and may NOT be 

considered for funding.

WORK STATEMENT

The scope of work involves a series of tasks and deliverables that demonstrate compliance with 

the requirements of the CMP as administered by CARB and the SCAQMD. The project 

applicant is responsible for developing detailed project plans that address the program criteria. In 

addition, alternative fuel project applicants must discuss their plan for refueling the proposed 

vehicles/equipment, and if appropriate, should provide a letter of agreement from their fuel 

provider (see Application forms). 

At a minimum, any contract for funding the proposed project must meet the following criteria:
12

 Provide emission reductions that are real, quantifiable, enforceable and surplus in 

accordance with CARB and SCAQMD guidelines.

 Meet the cost-effectiveness limits, as described in Table 1 of this PA.

 Provide at least 30 percent NOx emission reduction for new engine/vehicle purchases 

and 15 percent for repowers and retrofits, compared to baseline NOx emissions, if NOx

emission reductions are to be considered in the cost-effectiveness calculations.

 Commit that project engines or equipment operate in-service for the full project life, a 

minimum of three years, and at least 75 percent of annual operation must occur within 

the SCAQMD. Project life is the number of years used to determine the costeffectiveness and is equal to the contract term.

 Commit that all vehicles/engines/equipment are in operation within 18 months of 

contract execution or by May 20, 2018, whichever is earlier. 

 Provide for appropriate record-keeping during the project life (i.e., annual mileage, fuel 

consumption and/or hours of operation).

 Ensure that the project complies with other local, state and federal programs, and 

resulting emission reductions from a specific project are not required as a mitigation 

measure to reduce adverse environmental impacts that are identified in an 

environmental document prepared in accordance with the California Environmental 

Quality Act or the National Environmental Policy Act.

 If requested, contractor must provide a financial statement and bank reference, or other 

evidence of financial ability to fulfill contract requirements. 

 If requested, contractor must make all equipment and records available to the 

SCAQMD or CARB for audit and inspections.

DELIVERABLES

The contract will describe how the project will be monitored and what type of information will 

be included in project progress reports. At a minimum, the SCAQMD expects to receive the 

following reports:

1. Quarterly status reports until the vehicle or equipment purchase, repower or retrofit has 

been accomplished and in operation. These reports shall include a discussion of any 

problems encountered and how they were resolved, any changes in the schedule, and 

recommendations for completion of the project. These progress reports are required 

before payment for the purchase, repower or retrofit will be made.

2. An annual report for each year during the full contract term, or project life, which 

provides the annual miles or hours of operation, where the vehicle or equipment was 

operated (75 percent required in-Basin), annual fuel consumption, and operational and 

maintenance issues encountered and how they were resolved. SCAQMD reserves the 

right to verify the information provided.

Reporting forms are available online at: www.aqmd.gov/Moyer
13

SECTION III - PROPOSAL SUBMITTAL REQUIREMENTS

Proposers must complete the appropriate application forms, which are included in Appendix A.

In addition, Conflict of Interest and Project Cost information, as described below, must also be 

submitted with the application. It is the responsibility of the applicant to ensure that all 

information submitted is accurate and complete. 

CONFLICT OF INTEREST

Applicant must address any potential conflicts of interest with other clients affected by actions 

performed by the firm on behalf of the SCAQMD. Although the proposer will not be 

automatically disqualified by reason of work performed for such firms, the SCAQMD reserves 

the right to consider the nature and extent of such work in evaluating the proposal. Conflicts of 

interest will be screened on a case-by-case basis by the SCAQMD General Counsel’s Office. 

Conflict of interest provisions of the state law, including the Political Reform Act, may apply to 

work performed pursuant to this contract. Please discuss potential conflicts of interest on the 

Application Statement Form.

PROJECT COST 

Applicants must provide cost information that specifies the amount of funding requested and the 

basis for that request by attaching vendor quotes to the application. Applicants need to inform 

vendors of the time frame of the award process so that they can estimate prices to the 

future/projected order/purchase date. 

Purchase orders must not be placed for projects until after the date of award approval by 

the SCAQMD Governing Board. Purchase orders may be placed after SCAQMD 

Governing Board approval and in advance of a fully executed contract, but these orders

are placed at the applicant’s risk4. 

The CMP funds only a percentage of the cost of the low-emission technology based on the type 

of project. The proposed low-emission technology must be CARB-certified in most cases5. No 

fueling infrastructure, administrative or operational costs will be funded.

All project costs must be clearly indicated in the application. In addition, applicants should be 

sure to include any sources of cofunding and the amount of each cofunding source in the 

application. Proposers are cautioned that the project life period used in calculating 

emissions reductions will be used to determine the length of their annual reporting

obligation. In other words, a project applicant using a ten-year life for the emissions reduction 

calculations will be required to operate, track and report activity for the project vehicle for the 

full ten years. The contract term will also be ten years.

Proposers are not required to calculate a project’s cost-effectiveness, although it is helpful to 

understand your project’s cost-effectiveness in order to anticipate the maximum possible grant 

award that might be recommended. Methodologies for calculating cost-effectiveness are 

provided in the CARB Moyer Guidelines at 

http://www.arb.ca.gov/msprog/moyer/guidelines/2011gl/2011cmp_appc_07_11_14.pdf

 

4 All orders placed in advance of a fully executed contract are at the purchaser’s own risk.

5 Note that an experimental permit from CARB may be considered, but the project will require special CARB 

approval.
14

APPLICATION SUBMISSION

All applications must be submitted according to specifications set forth herein. Failure to adhere 

to these specifications may be cause for rejection of the proposal without evaluation.

Staff Contact Information: SCAQMD staff contacts for each program category are listed in 

Table 2 below. Applicants are strongly encouraged to contact SCAQMD staff experts to discuss 

their project prior to submitting an application to ensure program eligibility.

Application Forms: Program application forms are provided in Appendix A. These must be 

completed and submitted with other required documents (i.e. Business Information Request 

forms, activity documentation, project quotes, etc.) discussed in the application and below. 

A separate Form A-1 is required for each category (i.e., marine, off-road, locomotive, etc.). For 

example, if an applicant is requesting funding for marine engine repowers and off-road 

construction equipment, then two (2) separate Form A-1’s must be submitted – one for each 

category. In addition to each Form A-1, the applicable category Form is required for each piece 

of equipment for which grant funding is requested (i.e., B-1, C-1, etc.). For example:

Example Application Package:

Applicant X plans to submit a request for CMP funding to repower three marine vessels and 

two locomotive projects. The forms required are:

 Form A-1 for the marine vessel projects, which includes:

 Application Checklist

 Application Statement

 Business Information Forms

 Form D-1 for the first marine vessel repower

 Form D-1 for the second marine vessel repower

 Form D-1 for the third marine vessel repower

 Form A-1 for the locomotive projects, which includes:

 Application Checklist

 Application Statement

 Business Information Forms

 Form D-1 for the first locomotive project

 Form D-1 for the second locomotive project

Business Information Forms: Consists of business information request forms that must be 

completed and submitted with the Application. Please note, if recommended for an award, you 

will be required to submit an updated Campaign Contribution Disclosure form at a later date.

Due Date - The proposer shall submit four (4) complete signed copies of the application, as 

well as an electronic copy of the application and its supporting documents on a CD or flash 

drive, in a sealed envelope, plainly marked in the upper left-hand corner with the name and 

address of the proposer and the words "Program Announcement #PA2016-05. All 

proposals/applications shall be submitted in an environmentally friendly format: stapled, not 

bound, black and white print; no three-ring, spiral or plastic binders, and no card stock or colored 

paper.
15

All proposals must be received, either electronically or on paper, no later than 1:00 p.m., on 

June 1, 2016. Postmarks are not accepted as proof of deadline compliance. Faxed or emailed 

proposals will not be accepted. Proposals must be directed to:

Procurement Unit

South Coast Air Quality Management District

21865 East Copley Drive

Diamond Bar, CA 91765

Any correction or resubmission done by the proposer will not extend the submittal due 

date.

Grounds for Rejection - A proposal may be immediately rejected if:

 It is not prepared in the format described

 It is not signed by an individual authorized to represent the firm

 Does not include current cost quotes, Contractor Statement Forms and other forms 

required in this PA.

Missing Information – Within thirty (30) business days of the proposal due date, SCAQMD

will send letters to applicants regarding missing information. Applicants will have seven (7) days 

to provide any missing information requested in this letter. Any additional information requests 

will also have a seven (7) day response deadline. 

Disposition of Proposals - The SCAQMD reserves the right to reject any or all proposals. All 

responses become the property of the SCAQMD. One copy of proposals not selected for funding

shall be retained for one year. Additional copies and materials will be returned only if requested 

and at the proposer's expense.

SECTION IV - PROPOSAL EVALUATION/CONTRACTOR SELECTION CRITERIA

SCAQMD staff will evaluate all submitted proposals and make recommendations to the 

Governing Board for final selection of project(s) to be funded. Proposals will be evaluated on the 

cost-effectiveness of NOx, PM10 and ROG reduced, as well as a project’s disproportional 

impact evaluation (discussed below). Be aware that there is a possibility that due to program 

priorities, cost-effectiveness and/or funding limitations, project applicants may be offered only 

partial funding, and not all proposals that meet cost-effectiveness criteria may be funded.

At least 50 percent of the SCAQMD’s CMP funds must be spent in areas that are most 

disproportionally impacted by air pollution. SCAQMD uses the following method to meet these 

requirements:

1. All projects must qualify for the Carl Moyer Program by meeting the cost-effectiveness 

limits established in the Program Announcement.

2. All projects will be evaluated according to the following criteria to qualify for funding as 

a disproportionately impacted area:

a) Poverty Level: Detailed socioeconomic information is not included in the 2010 Census. 

Such data is collected yearly from a small percentage of the population on a rotating 
16

basis by the American Community Survey (ACS). All projects in areas where at least 

10 percent of the population falls below the Federal poverty level based on the 2008-

2012 ACS data are eligible to be included in this category, and

b) PM2.5 Exposure: All projects in areas with the highest 15 percent of PM2.5 

concentration measured within a 2 km grid will be eligible to be ranked in this category. 

The highest 15 percent of PM2.5 concentration is 11.10 micrograms per cubic meter 

and above, on an annual average, or

c) Air Toxics Exposure: All projects in areas with a cancer risk of 865 in a million and 

above (based on MATES III estimates) will be eligible to be ranked in this category.

The maximum score is comprised of 40 percent for poverty level and 30 percent each for PM and 

toxic exposures. Special circumstances exist in some areas, such as the Ports of Long Beach and 

Los Angeles. Since there are no residents within the ports, poverty ranking could not be 

established. In this case, the poverty ranking from the adjacent on-shore areas was extended to the 

port since these populated areas are directly impacted by port activities. 

SECTION V - PAYMENT TERMS

For all projects, except shore power projects, full payment will be made upon installation and 

commencement of operation of the funded equipment. For shore power projects, a progress 

payment schedule will be established that allows payment upon completion of key milestones, as 

delineated in the contract. 

SECTION VI: SCAQMD STAFF CONTACTS AND ADDITIONAL RESOURCES

The SCAQMD staff contacts are listed in Table 2 by project category. Copies of the Program 

Announcement, Application Forms and a sample SCAQMD CMP contract may be accessed at:

www.aqmd.gov/Moyer.

Table 2: CMP Staff Contacts

Project Category Staff Contact Phone Number Email

On-Road Heavy-Duty Vehicles Ashkaan Nikravan (909) 396-3260 anikravan@aqmd.gov

Off-Road Equipment Richard Carlson (909) 396-3996 rcarlson@aqmd.gov 

Cargo Handling Equipment 

Electrification Greg Ushijima (909) 396-3301 gushijima@aqmd.gov

Marine Vessels Mark Coleman 

Von Loveland

(909) 396-3074

(909) 396-3063 

mcoleman@aqmd.gov

vloveland@aqmd.gov

Shore Power Greg Ushijima (909) 396-3301 gushijima@aqmd.gov

Locomotives Connie Day (909) 396-3055 cday@aqmd.gov
17

WEBSITE LINKS TO CARB RULES THAT AFFECT CMP ELIGIBILITY

On-Road Private (truck and bus) @ http://www.arb.ca.gov/msprog/onrdiesel/onrdiesel.htm

Public/Utility Fleets @ http://www.arb.ca.gov/msprog/publicfleets/publicfleets.htm

In-Use Off-Road (CI) @ http://www.arb.ca.gov/msprog/ordiesel/ordiesel.htm

Harbor Craft @ http://www.arb.ca.gov/ports/marinevess/harborcraft.htm

Cargo Handling Equipment @ http://www.arb.ca.gov/ports/cargo/cargo.htm

Shore Power @ http://www.arb.ca.gov/ports/shorepower/shorepower.htm
18

APPENDIX A

Table of Contents

Each document listed below is linked to SCAQMD’s CMP website for efficient download.

1. Application Checklist – one per applicant.

2. Form A-1: General Application (includes Checklist, Application Statement and Business 

Information Forms). Provide a complete set of Form A-1 documents for each equipment 

category (i.e., locomotive, marine, off-road, etc.).

3. Category Application Form specific to your project category (one per unit, or use excel 

templates referenced in the form for multiple unit projects)

a) Form B-1: On-Road Heavy-Duty Vehicles, New Purchase

b) Form B-2: On-Road Heavy-Duty Vehicles, Repower

c) Form B-3: Emergency Vehicles (Fire Apparatus)

d) Form C-1: Off-Road Equipment Replacement

e) Form C-2: Off-Road Equipment (Repower, Repower with Retrofit)

f) Form C-3: Off-Road Equipment Retrofit

g) Form C-4: Cargo Handling Equipment (CHE) Electrification

h) Form D-1: Marine Vessels, Repower 

i) Form D-2: Marine Vessels, Shore Power

j) Form E-1: Locomotives
19

APPLICATION CHECKLIST

Use this checklist to organize your application. Each of the following application sections is

required to be submitted:

A cover letter stating your grant request, how many pieces of equipment and/or 

engines included in the proposed project, and the funding amount being requested

(per engine and for the total project). For applications covering more than one 

category, organize this information into project category (i.e., marine, locomotive, 

on-road, etc.)

This Application Checklist (signed below).

General Application Form A-1. Provide a separate Form A-1 for each category (i.e., 

marine, locomotive, etc.) for which grant funding is requested. Form A-1 also 

includes the following documents:

Application Statement (signed and initialed as applicable)

 Completed and signed Business Information Request Forms

Category Application Form specific to your project category (i.e., locomotive, offroad, marine, etc.), along with the following attachments/enclosures:

Excel Worksheet associated with applicable application form/category (you 

may use this form for multiple unit projects, if desired)

Vendor quotes dated no earlier than 90 days prior to the closing date of the 

Program Announcement

CARB Executive Orders for each engine. Download at:

On-road: http://www.arb.ca.gov/msprog/onroad/cert/cert.php

Off-road: http://www.arb.ca.gov/diesel/cv.htm

Previous two years of historical data documenting usage

Once completed, please submit one electronic and four paper copies of the assembled package, 

in accordance with the Application Submittal Instructions.

I understand that all documents, as listed above, are required in order to have a complete 

application package in order to be considered for funding under the Carl Moyer Program.

Signature Date
Page 1 of 18

FORM A-1: GENERAL APPLICATION FORM – Submit a separate Form A-1 for each

category type (i.e., locomotive, off-road, marine, etc.).

The SCAQMD is accepting applications for projects throughout its jurisdiction. All proposals will be 

evaluated based on their cost-effectiveness and their disproportionate impact score as discussed in 

Section IV “Proposal Evaluation/Contract Selection Criteria” contained in Program Announcement

#PA2016-05. For additional information about SCAQMD’s policies and application information, 

visit: www.aqmd.gov/Moyer. In general, this program will follow CARB Carl Moyer Program 

guidelines, which are available at: http://www.arb.ca.gov/msprog/moyer/moyer.htm.

The submittal of an application does not guarantee approval for funding, but will be used to determine 

the potential emission reductions and eligible grant funding amount for the proposed project. Any 

equipment purchased prior to project approval by the SCAQMD Governing Board will not be eligible 

for funding. Applicant may, at their own risk, issue a purchase order for approved equipment prior to 

contract execution. Other than a purchase order, no other work shall proceed until a fully executed 

contract, i.e. signed by the applicant and SCAQMD Board Chairman and a pre-inspection, is 

completed.

APPLICANT INFORMATION

Total Number of Vehicles/Equipment 

included in this application:

Legal Name of Equipment Owner:

Mailing Address:

Street Address/P.O. Box:

State:

County:

City and zip code:

Email Phone Number Fax Number

Primary Contact Name:

Person Authorized to Sign Application and 

Execute Grant Agreement:

Name of Person who Completed Application:

What is your position?

How much are you being paid to complete 

this application for the owner or to assist in 

the proposed project?

What is the source of funds being used to pay 

you?

Signature:

Date:
Page 2 of 18

Application Statement – Please Read and Sign/Initial as Applicable

All information provided in this application will be used by SCAQMD staff to evaluate the eligibility of this 

application to receive program funds. SCAQMD staff reserves the right to request additional information and can 

deny the application if such requested information is not provided by the requested deadline. Incomplete or illegible 

applications will be returned to applicant or vendor, without evaluation. An incomplete application is an application 

that is missing information critical to the evaluation of the project. 

Initial to indicate acceptance or note “NA” if not applicable (NA) to your project.

I certify to the best of my knowledge that the information contained in this application is true and accurate.

I understand that all vehicles/equipment, both existing and new, must be made available within the SCAQMD 

boundaries for inspection, unless otherwise approved by SCAQMD’s Project Officer.

The vehicle/engine will be used within the SCAQMD boundaries (with the emission reduction system 

operating) for at least the projected usage shown in this application, and no less than 75 percent of the time.

I understand that it is my responsibility to ensure that all technologies are either verified or certified by the 

California Air Resources Board (CARB) to reduce NOx and/or PM pollutants. CARB Verification Letters 

and/or Executive Orders are attached, as applicable.

I understand that for repower projects, I am required to install the highest level available verified diesel 

emission control device (VDECS), and that the costs of this device and associated installation are a CMP 

eligible expense. These costs may be included in the project grant request up to the maximum costeffectiveness limit.

I understand that there may be conditions placed upon receiving a grant and agree to refund the grant (or prorated portion thereof) if it is found that at any time I do not meet those conditions and if directed by the 

SCAQMD in accordance with the contract agreement.

I understand that, for this equipment, I will be prohibited from applying for any other form of emission 

reduction credits for Moyer-funded vehicles/engines, including: Emission Reduction Credit (ERC); Mobile 

Source Emission Reduction Credit (MSERC) and/or Certificate of Advanced Placement (CAP), for all time, 

from the SCAQMD, CARB or any other Air Quality Management or Air Pollution Control District.

The proposed project has not been funded and is not being considered for Carl Moyer Program funds by 

another air district, CARB, or any other public agency. 

In the event that the vehicle(s)/equipment do not complete the minimum term of any agreement eventually 

reached from this application, I agree to ensure the equivalent project emissions reductions, or to return grant 

funds to the SCAQMD as required by the contract. 

I have the legal authority to apply for grant funding for the entity described in this application.

I understand that all on-road engines in my fleet that are eligible for a low-NOx software upgrade (reflash) 

must be reflashed within 60 days of receipt of contract execution. I may self-certify that the reflash has been 

performed by submitting a receipt of the completed reflash or a picture of the “Low NOx Reflash Label” from 

the reflashed engine to SCAQMD.

Disclosure of the value of any current financial incentive that directly reduces the project price, including tax 

credits or deductions, grants, or other public financial assistance for the same engine is required. To avoid 

double counting of incentives, all tax credits or deductions, grants, or other public financial assistance must be 

deducted from the CMP request. 

I understand that third party contracts are not permitted. A third party may, however complete an application 

on an owner’s behalf. Third parties are required to list how much compensation, if any, they are receiving to 

prepare the application(s), and to certify that no CMP funds are being used for this compensation.

I understand that off-road equipment applicants subject to CARB’s In-Use Off-Road Diesel Vehicle 

Regulation (Off-Road Regulation must submit information regarding fleet size and compliance status. This 

must include the Diesel Off-Road On-line Reporting System (DOORS) ID of the fleet and the DOORS 

Equipment Identification Number (EIN) of the funded equipment. All documentation submitted must be 

signed and dated by the applicant and include language certifying that the fleet list provided is accurate and 

complete.
Page 3 of 18

I understand that additional project information may be requested during project review and must be submitted 

prior to contract award. 

I understand that all vehicles, engines or equipment funded by this program must be operational within 

eighteen (18) months of contract execution, or by May 20, 2018, whichever is earlier.

All project applicants must submit documentation that supports the activity claimed in the application (i.e., 

fuel receipts, mileage logs and/or hour-meter readings covering the last two years). This documentation is 

attached. 

The grant contract language cannot be modified without the written consent of all parties. I have reviewed and 

accepted the sample contact language.

I understand that an IRS Form 1099 may be issued to me for incentive funds received under the Moyer 

Program. I understand that it is my responsibility to determine the tax liability associated with participating in 

the Moyer Program.

I understand that an SCAQMD-funded Global Positioning System (GPS) unit will be installed on 

vehicles/equipment not operating within SCAQMD boundaries full time. I will submit data as requested and 

otherwise cooperate with all data reporting requirements. I also understand that the additional cost of the GPS 

unit will be added to the project cost when calculating cost-effectiveness, though the SCAQMD will pay for 

this system directly. 

I understand that the SCAQMD has the right to conduct unannounced inspections for the full project life to 

ensure the project equipment is fully operational at the activity level committed to by the contract.

I understand that all emission reductions resulting from funded projects will be retired. To avoid double 

counting of emission reductions, project vehicles and/or equipment may not receive funding from any other 

government grant program that is designed to reduce mobile source emissions. 

I understand that a tamper proof, non-resettable digital hour meter/odometer must be installed on all 

vehicles/equipment and that the digital hour meter/odometer will record the hours/miles accumulated within 

the SCAQMD boundaries. This cost is my responsibility. 

I understand that any tax credits claimed must be deducted from the CMP request.

Please check one: 

 I do not plan to claim a tax credit or deduction for costs funded by the CMP. 

 I do plan to claim a tax credit or deduction for costs funded by the CMP.

 If so, please indicate amount here: $______________

 I plan to claim a tax credit or deduction only for the portion of incremental costs not funded by the CMP. 

If so, please indicate amount here: $______________

Conflict of Interest

I initialed below to indicate that there are no potential conflicts of interest with other clients affected by actions 

performed by the firm on behalf of the SCAQMD. If this bullet is not initialed, I have attached a description 

to this application of the potential conflict of interest, which will be screened on a case-by-case basis by the 

SCAQMD General Counsel’s Office. There is no potential conflict of interest: ____________ (Please initial if 

applicable, else attach separate sheet describing the potential conflict.)

____________________________________ _____________________

Applicant’s Signature Date

____________________________________ _____________________

Applicant’s Name (please print) Title
Page 4 of 18

South Coast

Air Quality Management District

21865 Copley Drive, Diamond Bar, CA 91765-4178

(909) 396-2000 • www.aqmd.gov

Business Information Request

Dear SCAQMD Contractor/Supplier:

South Coast Air Quality Management District (SCAQMD) is committed to ensuring that our 

contractor/supplier records are current and accurate. If your firm is selected for award of a 

purchase order or contract, it is imperative that the information requested herein be supplied in a 

timely manner to facilitate payment of invoices. In order to process your payments, we need the 

enclosed information regarding your account. Please review and complete the information 

identified on the following pages, remember to sign all documents for our files, and return 

them as soon as possible to the address below:

Attention: Accounts Payable, Accounting Department

South Coast Air Quality Management District

21865 Copley Drive

Diamond Bar, CA 91765-4178

If you do not return this information, we will not be able to establish you as a vendor. This will 

delay any payments and would still necessitate your submittal of the enclosed information to our 

Accounting department before payment could be initiated. Completion of this document and 

enclosed forms would ensure that your payments are processed timely and accurately.

If you have any questions or need assistance in completing this information, please contact 

Accounting at (909) 396-3777. We appreciate your cooperation in completing this necessary 

information.

Sincerely,

Michael B. O’Kelly

Chief Financial Officer

DH:tm

Enclosures: Business Information Request 

Disadvantaged Business Certification 

W-9

Form 590 Withholding Exemption Certificate

Federal Contract Debarment Certification

Campaign Contributions Disclosure

Direct Deposit Authorization

REV 9/15
Page 5 of 18

South Coast

Air Quality Management District

21865 Copley Drive, Diamond Bar, CA 91765-4178

(909) 396-2000 • www.aqmd.gov

BUSINESS INFORMATION REQUEST

Business Name

Division of

Subsidiary of

Website Address

Type of Business

Check One:

 Individual 

 DBA, Name _______________, County Filed in _______________

 Corporation, ID No. ________________

 LLC/LLP, ID No. _______________

 Other _______________

REMITTING ADDRESS INFORMATION

Address

City/Town

State/Province Zip

Phone ( ) - Ext Fax ( ) -

Contact Title

Email Address

Payment Name if 

Different

All invoices must reference the corresponding Purchase Order Number(s)/Contract Number(s) if 

applicable and mailed to: 

Attention: Accounts Payable, Accounting Department

South Coast Air Quality Management District

21865 Copley Drive

Diamond Bar, CA 91765-4178
Page 6 of 18

BUSINESS STATUS CERTIFICATIONS 

Federal guidance for utilization of disadvantaged business enterprises allows a vendor to be deemed a small business enterprise (SBE), 

minority business enterprise (MBE) or women business enterprise (WBE) if it meets the criteria below. 

 is certified by the Small Business Administration or

 is certified by a state or federal agency or

 is an independent MBE(s) or WBE(s) business concern which is at least 51 percent owned and controlled by minority group member(s) 

who are citizens of the United States.

Statements of certification:

As a prime contractor to SCAQMD, (name of business) will engage in good faith efforts to achieve the fair share in accordance with 

40 CFR Section 33.301, and will follow the six affirmative steps listed below for contracts or purchase orders funded in whole 

or in part by federal grants and contracts.

1. Place qualified SBEs, MBEs, and WBEs on solicitation lists.

2. Assure that SBEs, MBEs, and WBEs are solicited whenever possible.

3. When economically feasible, divide total requirements into small tasks or quantities to permit greater participation by 

SBEs, MBEs, and WBEs.

4. Establish delivery schedules, if possible, to encourage participation by SBEs, MBEs, and WBEs.

5. Use services of Small Business Administration, Minority Business Development Agency of the Department of 

Commerce, and/or any agency authorized as a clearinghouse for SBEs, MBEs, and WBEs.

6. If subcontracts are to be let, take the above affirmative steps.

Self-Certification Verification: Also for use in awarding additional points, as applicable, in accordance with 

SCAQMD Procurement Policy and Procedure:

Check all that apply:

Small Business Enterprise/Small Business Joint Venture Women-owned Business Enterprise

Local business Disabled Veteran-owned Business Enterprise/DVBE Joint Venture

Minority-owned Business Enterprise Most Favored Customer Pricing Certification

Percent of ownership: %

Name of Qualifying Owner(s):

State of California Public Works Contractor Registration No. ______________________. MUST BE 

INCLUDED IF BID PROPOSAL IS FOR PUBLIC WORKS PROJECT.

I, the undersigned, hereby declare that to the best of my knowledge the above information is accurate. Upon penalty of perjury, I certify 

information submitted is factual.

NAME TITLE

TELEPHONE NUMBER DATE
Page 7 of 18

Definitions

Disabled Veteran-Owned Business Enterprise means a business that meets all of the following criteria:

 is a sole proprietorship or partnership of which is at least 51 percent owned by one or more disabled veterans, 

or in the case of any business whose stock is publicly held, at least 51 percent of the stock is owned by one or 

more disabled veterans; a subsidiary which is wholly owned by a parent corporation but only if at least 51 

percent of the voting stock of the parent corporation is owned by one or more disabled veterans; or a joint 

venture in which at least 51 percent of the joint venture’s management and control and earnings are held by 

one or more disabled veterans.

 the management and control of the daily business operations are by one or more disabled veterans. The 

disabled veterans who exercise management and control are not required to be the same disabled veterans as 

the owners of the business.

 is a sole proprietorship, corporation, partnership, or joint venture with its primary headquarters office located 

in the United States and which is not a branch or subsidiary of a foreign corporation, firm, or other foreignbased business.

Joint Venture means that one party to the joint venture is a DVBE and owns at least 51 percent of the joint venture. In the case 

of a joint venture formed for a single project this means that DVBE will receive at least 51 percent of the project dollars.

Local Business means a business that meets all of the following criteria:

 has an ongoing business within the boundary of SCAQMD at the time of bid application.

 performs 90 percent of the work within SCAQMD’s jurisdiction.

Minority-Owned Business Enterprise means a business that meets all of the following criteria:

 is at least 51 percent owned by one or more minority persons or in the case of any business whose stock is 

publicly held, at least 51 percent of the stock is owned by one or more minority persons. 

 is a business whose management and daily business operations are controlled or owned by one or more 

minority person.

 is a business which is a sole proprietorship, corporation, partnership, joint venture, an association, or a 

cooperative with its primary headquarters office located in the United States, which is not a branch or 

subsidiary of a foreign corporation, foreign firm, or other foreign business. 

“Minority” person means a Black American, Hispanic American, Native American (including American Indian, Eskimo, Aleut, 

and Native Hawaiian), Asian-Indian American (including a person whose origins are from India, Pakistan, or Bangladesh), 

Asian-Pacific American (including a person whose origins are from Japan, China, the Philippines, Vietnam, Korea, Samoa, 

Guam, the United States Trust Territories of the Pacific, Northern Marianas, Laos, Cambodia, or Taiwan).

Small Business Enterprise means a business that meets the following criteria:

a. 1) an independently owned and operated business; 2) not dominant in its field of operation; 3) together with affiliates 

is either:

 A service, construction, or non-manufacturer with 100 or fewer employees, and average annual 

gross receipts of ten million dollars ($10,000,000) or less over the previous three years, or

 A manufacturer with 100 or fewer employees.

b. Manufacturer means a business that is both of the following:

1) Primarily engaged in the chemical or mechanical transformation of raw materials or processed substances into 

new products.

2) Classified between Codes 311000 to 339000, inclusive, of the North American Industrial Classification System 

(NAICS) Manual published by the United States Office of Management and Budget, 2007 edition.
Page 8 of 18

Small Business Joint Venture means that one party to the joint venture is a Small Business and owns at least 51 percent of the 

joint venture. In the case of a joint venture formed for a single project this means that the Small Business will receive at least 51 

percent of the project dollars.

Women-Owned Business Enterprise means a business that meets all of the following criteria:

 is at least 51 percent owned by one or more women or in the case of any business whose stock is publicly held, 

at least 51 percent of the stock is owned by one or more women. 

 is a business whose management and daily business operations are controlled or owned by one or more 

women.

 is a business which is a sole proprietorship, corporation, partnership, or a joint venture, with its primary 

headquarters office located in the United States, which is not a branch or subsidiary of a foreign corporation, 

foreign firm, or other foreign business.

Most Favored Customer as used in this policy means that the SCAQMD will receive at least as favorable pricing, warranties, 

conditions, benefits and terms as other customers or clients making similar purchases or receiving similar services.
Page 9 of 18
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Page 13 of 18

[
Page 14 of 18
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Page 16 of 18

CAMPAIGN CONTRIBUTIONS DISCLOSURE

In accordance with California law, bidders and contracting parties are required to disclose, at the time the application 

is filed, information relating to any campaign contributions made to South Coast Air Quality Management District 

(SCAQMD) Board Members or members/alternates of the MSRC, including: the name of the party making the 

contribution (which includes any parent, subsidiary or otherwise related business entity, as defined below), the amount 

of the contribution, and the date the contribution was made. 2 C.C.R. §18438.8(b).

California law prohibits a party, or an agent, from making campaign contributions to SCAQMD Governing Board 

Members or members/alternates of the Mobile Source Air Pollution Reduction Review Committee (MSRC) of more 

than $250 while their contract or permit is pending before SCAQMD; and further prohibits a campaign contribution 

from being made for three (3) months following the date of the final decision by the Governing Board or the MSRC 

on a donor’s contract or permit. Gov’t Code §84308(d). For purposes of reaching the $250 limit, the campaign 

contributions of the bidder or contractor plus contributions by its parents, affiliates, and related companies of the 

contractor or bidder are added together. 2 C.C.R. §18438.5. 

In addition, SCAQMD Board Members or members/alternates of the MSRC must abstain from voting on a contract 

or permit if they have received a campaign contribution from a party or participant to the proceeding, or agent, totaling 

more than $250 in the 12-month period prior to the consideration of the item by the Governing Board or the MSRC. 

Gov’t Code §84308(c). 

The list of current SCAQMD Governing Board Members can be found at SCAQMD website (www.aqmd.gov). The 

list of current MSRC members/alternates can be found at the MSRC website 

(http://www.cleantransportationfunding.org). 

SECTION I. 

Contractor (Legal Name): 

List any parent, subsidiaries, or otherwise affiliated business entities of Contractor:

(See definition below).

SECTION II.

Has Contractor and/or any parent, subsidiary, or affiliated company, or agent thereof, made a 

campaign contribution(s) totaling $250 or more in the aggregate to a current member of the South 

Coast Air Quality Management Governing Board or member/alternate of the MSRC in the 12 

months preceding the date of execution of this disclosure?

 Yes No If YES, complete Section II below and then sign and date the form.

If NO, sign and date below. Include this form with your submittal.

 DBA, Name , County Filed in

 Corporation, ID No.

 LLC/LLP, ID No. 
Page 17 of 18

Campaign Contributions Disclosure, continued:

Name of Contributor 

Governing Board Member or MSRC Member/Alternate Amount of Contribution Date of Contribution

Name of Contributor 

Governing Board Member or MSRC Member/Alternate Amount of Contribution Date of Contribution

Name of Contributor 

Governing Board Member or MSRC Member/Alternate Amount of Contribution Date of Contribution

Name of Contributor 

Governing Board Member or MSRC Member/Alternate Amount of Contribution Date of Contribution

I declare the foregoing disclosures to be true and correct.

By:

Title:

Date:

DEFINITIONS

Parent, Subsidiary, or Otherwise Related Business Entity (2 Cal. Code of Regs., §18703.1(d).)

(1) Parent subsidiary. A parent subsidiary relationship exists when one corporation directly or indirectly owns shares possessing 

more than 50 percent of the voting power of another corporation.

(2) Otherwise related business entity. Business entities, including corporations, partnerships, joint ventures and any other 

organizations and enterprises operated for profit, which do not have a parent subsidiary relationship are otherwise related if 

any one of the following three tests is met:

(A) One business entity has a controlling ownership interest in the other business entity.

(B) There is shared management and control between the entities. In determining whether there is shared management 

and control, consideration should be given to the following factors:

(i) The same person or substantially the same person owns and manages the two entities;

(ii) There are common or commingled funds or assets;

(iii) The business entities share the use of the same offices or employees, or otherwise share activities, resources or 

personnel on a regular basis;

(iv) There is otherwise a regular and close working relationship between the entities; or

(C) A controlling owner (50% or greater interest as a shareholder or as a general partner) in one entity also is a controlling 

owner in the other entity.
Page 18 of 18

Direct Deposit Authorization

STEP 1: Please check all the appropriate boxes

Individual (Employee, Governing Board Member) New Request

Vendor/Contractor Cancel Direct Deposit

Changed Information

STEP 2: Payee Information

Last Name First Name Middle Initial Title

Vendor/Contractor Business Name (if applicable)

Address Apartment or P.O. Box Number

City State Zip Country

Taxpayer ID Number Telephone Number Email Address

Authorization

1. I authorize South Coast Air Quality Management District (SCAQMD) to direct deposit funds to my account in the financial institution 

as indicated below. I understand that the authorization may be rejected or discontinued by SCAQMD at any time. If any of the 

above information changes, I will promptly complete a new authorization agreement. If the direct deposit is not stopped before 

closing an account, funds payable to me will be returned to SCAQMD for distribution. This will delay my payment.

2. This authorization remains in effect until SCAQMD receives written notification of changes or cancellation from you.

3. I hereby release and hold harmless SCAQMD for any claims or liability to pay for any losses or costs related to insufficient fund 

transactions that result from failure within the Automated Clearing House network to correctly and timely deposit monies into my 

account.

STEP 3:

You must verify that your bank is a member of an Automated Clearing House (ACH). Failure to do so could delay the processing of your 

payment. You must attach a voided check or have your bank complete the bank information and the account holder must sign below.

To be Completed by your Bank

Staple Voided Check Here

Name of Bank/Institution

Account Holder Name(s)

Saving Checking

Account Number Routing Number

Bank Representative Printed Name Bank Representative Signature Date

Date

ACCOUNT HOLDER SIGNATURE:

For SCAQMD Use Only Input By Date

South Coast

Air Quality Management District

21865 Copley Drive, Diamond Bar, CA 91765-4178

(909) 396-2000 • www.aqmd.gov
Valid until June 1, 2016 at 1:00 PM

South Coast Air Quality Management District 

On-Road Heavy-Duty Vehicles New Purchase Application Form B – 1

Page 1 of 3

FORM B-1: ON-ROAD HEAVY-DUTY VEHICLE - NEW PURCHASE

If you have any questions regarding this program or the application process, please contact

Ashkaan Nikravan by phone at (909) 396-3260 or by email at: anikravan@aqmd.gov.

For on-road heavy-duty vehicle new purchase projects, only vehicles with technologies that are 

certified at least 30 percent below the 0.20 NOx standard, such as electric vehicles or engines 

certified to the low-NOx emission standard (0.02 g/bhp-hr), are eligible for CMP funding.

Please complete one Form B-1 for each piece of equipment. For multiple unit requests, you may 

download the Form B-1 multiple-unit spreadsheet from www.aqmd.gov/Moyer in lieu of filling out 

multiple B-1 forms. 

Part 1: Existing Vehicle Information

Company name/ Organization name/ Individual name:

Equipment Identifier (Company ID or Unit #): 

Is the vehicle location address the same as the applicant address? Yes NO (If not, please provide 

vehicle address below)

Street Address:

City: 

Zip Code: 

Vehicle type (Solid Waste Collection Vehicle, Stop-and-Go Street Sweeper, Urban Transit Bus, School 

Bus, Other Medium-Heavy Duty Vehicle (GVWR 14,001-33,000 lbs), Other Heavy-Heavy Duty Vehicle 

(GVWR >33,000 lbs), Other Transit Vehicle): 

Project Life (in years): ________

Equipment must operate for this full life; this life is equivalent to the contract and the reporting term.

Vehicle Make: Vehicle GVWR: 

Vehicle Model: Is this a public fleet vehicle? Yes No

Vehicle Model Year: Registered Owner: 

Department of Transportation Number (if interstate): 

California Highway Patrol CA Number (if applicable): 

Projected Year of New Vehicle Purchase: 
Valid until June 1, 2016 at 1:00 PM

South Coast Air Quality Management District 

On-Road Heavy-Duty Vehicles New Purchase Application Form B – 1

Page 2 of 3

Part 2. Fleet Rule Status

CARB rules and regulations listed below severely limit, and in some cases eliminate, funding 

opportunities for certain vehicle types. In order to ensure eligibility, please confirm your project provides 

emission reductions that are surplus to CARB regulatory requirements by contacting SCAQMD’s Project 

Officer for this category, Ashkaan Nikravan by phone at (909) 396-3260 or by email at: 

anikravan@aqmd.gov.

ARB Rule Applicability (Check One): 

Fleet Rule for Transit Agencies (Urban Buses & Transit Fleet Vehicles)

SWCV Rule (Solid Waste Collection Vehicles, Excluding Transfer Trucks)

Fleet Rule for Public Agencies & Utilities (Municipal & Utility Vehicles)

Port Truck Regulation (Port & Drayage Trucks)

On-Road Private Truck and Bus Regulation (All diesel or alternative diesel – fueled vehicles with 

a GVWR > 14,000 lbs operating in CA) IF CHECKED PLEASE COMPLETE SECTION 3.

None. Project is exempt from CARB Rules (supporting documentation validating exemption 

from any CARB rule is attached).

Is supporting documentation demonstrating compliance with the applicable CARB rule included in this 

application? Yes No

(Applications submitted without supporting documentation that demonstrates an applicant’s 

current fleet compliance status will be deemed incomplete). 

Part 3. Existing Vehicle Compliance Applicability – Private Fleets Only

What is the GVWR for this vehicle?

8,501 to 14,000*

14,001 to 26,000

26,001 or greater

What is your current fleet size? (Should reflect all diesel fuel vehicles with a GVWR greater than 

14,000 lbs.) ___________________________________

If applicable did you register your fleet through ARB’s TRUCRS Database by January 31, 2016?

Yes, please provide a copy of the Compliance Certificate from the TRUCRS Database.

No

*Note: On-road heavy-duty diesel vehicles with this GVWR range will be considered for CMP funding 

on a case-by-case basis.
Valid until June 1, 2016 at 1:00 PM

South Coast Air Quality Management District 

On-Road Heavy-Duty Vehicles New Purchase Application Form B – 1

Page 3 of 3

Part 4. Activity Information

Please provide projected annual usage for the new equipment over the proposed life of the project. 

This projection should be based on actual usage data for the baseline, or existing, equipment. 

Applicants requesting evaluation based on fuel consumption MUST provide both mileage and fuel 

records from the past 24 months. Supporting documentation may be in the form of maintenance 

records, fuel receipts, logs, or other paperwork for each piece of baseline equipment covering at least 

the past 24 months. No such documentation is required for project evaluations based solely on 

mileage. 

Total Annual Miles Traveled: or Gallons of Fuel Used: 

Percent Operation within CA: % Percent Operation within District: %

Part 5. New Vehicle’s Engine Information

Part 6. Funding Information

New Vehicle Cost (including tax): $

Note: You MUST attach a written estimate from the equipment vendor documenting the cost of the new 

vehicle; this quote must be obtained within 90 days prior to the closing date of the Program 

Announcement.

Applicant Grant Request per unit: $

New Equipment Vendor (name, address and phone): 

ARB Certification Executive Order (EO) Number: 

NOTE: The proposed engine for the project must be consistent with the Intended Service Class per the 

EO (MHD Intended Service Class engines cannot be used for projects which have the HHD vehicle 

classifications). Applicant must ATTACH a copy of the referenced Executive Order with the 

application. Download the EO at: http://www.arb.ca.gov/msprog/onroad/cert/cert.php

Propulsion System Engine Make: Propulsion System Engine Model Year: 

Propulsion System Engine Model: Fuel Type (Fuel Cell, Battery, etc.) : 

Engine Family: 
Valid until June 1, 2016 at 1:00 PM

South Coast Air Quality Management District 

On-Road Heavy-Duty Vehicle - Repower Application Form B-2

Page 1 of 3

FORM B-2: ON-ROAD HEAVY-DUTY VEHICLE - REPOWER

If you have any questions regarding this program or the application process, please contact

Ashkaan Nikravan by phone at (909) 396-3260 or by email at: anikravan@aqmd.gov.

For On-Road vehicle repower projects, only alternative fuel engines that provide at least a 15 

percent NOx reduction are eligible for funding, with the single exception of emergency vehicles and 

equipment (use Form B-3).

Please complete one Form B-2 for each piece of equipment. For multiple unit requests, you may 

download the Form B-2 multiple-unit spreadsheet from www.aqmd.gov/Moyer in lieu of filling out 

multiple B-2 forms. 

Part 1: Existing Vehicle Information

Company name/ Organization name/ Individual name:

Equipment Identifier (Company ID or Unit #): 

Is the vehicle location address the same as the applicant address? Yes No, (please provide 

vehicle address below)

Street Address:

City: 

Zip Code: 

Vehicle type (Solid Waste Collection Vehicle, Stop-and-Go Street Sweeper, School Bus, Other 

Medium-Heavy Duty Vehicle (GVWR 14,001-25,999 lbs), Other Heavy-Heavy Duty Vehicle): 

Project Life: years. Equipment must operate for this full life; this life is equivalent to the contract 

and the reporting term.

Vehicle Identification Number (VIN): 

Vehicle License Plate: 

Vehicle Make: Vehicle GVWR: 

Vehicle Model: Is this a public fleet vehicle? Yes No

Vehicle Model Year: Registered Owner: 

Department of Transportation Number (if interstate): 

California Highway Patrol CA Number (if applicable): 

Projected Year of Repower Completion: 
Valid until June 1, 2016 at 1:00 PM

South Coast Air Quality Management District 

On-Road Heavy-Duty Vehicle Repower Application Form B-2

Page 2 of 3

Part 2. Fleet Rule Status

ARB Rule Applicability (Check One): 

NOTE: The CARB rules listed below severely limit, and in some cases eliminate, funding opportunities 

for certain vehicle types. In order to ensure eligibility, Please confirm your project provides emission 

reductions that are surplus to CARB regulatory requirements by contacting SCAQMD staff as indicated 

in Program Announcement #PA2016-05.

Fleet Rule for Transit Agencies (Urban Buses & Transit Fleet Vehicles)

SWCV Rule (Solid Waste Collection Vehicles, Excluding Transfer Trucks)

Fleet Rule for Public Agencies & Utilities (Municipal & Utility Vehicles)

Port Truck Regulation (Port & Drayage Trucks)

On-Road Private Truck and Bus Regulation (All diesel or alternative diesel – fueled vehicles 

with a GVWR > 14,000 lbs operating in CA) IF CHECKED PLEASE COMPLETE 

SECTION 3.

None. Project is exempt from CARB Rules/Regulations (supporting documentation validating 

exemption from any CARB rule is attached)

Is supporting documentation demonstrating compliance with the applicable CARB rule included in this 

application? Yes No

(Applications submitted without supporting documentation that demonstrates an applicant’s 

current fleet compliance status will be deemed incomplete). 

Part 3. Existing Vehicle Compliance Applicability – Private Fleets Only

What is the GVWR for this vehicle? 8,501 to 14,000*

14,001 to 26,000

26,001 or greater

*Note: On-road heavy-duty diesel vehicles with this GVWR range will be considered for CMP funding 

on a case-by-case basis.

What is your current fleet size? (Should reflect all diesel fuel vehicles with a GVWR greater than 

14,000 lbs.) ___________________________________

If applicable did you register your fleet through ARB’s TRUCRS Database by January 31, 2016?

Yes, please provide a copy of the Compliance Certificate from the TRUCRS Database. No

Part 4. Activity Information

Please provide projected annual usage for the new engine over the proposed life of the project. This 

projection should be based on actual usage data for the baseline, or existing, vehicle/engine. Applicants 

requesting evaluation based on fuel consumption MUST provide both mileage and fuel records from the 

past 24 months. Supporting documentation may be in the form of maintenance records, fuel receipts, 

logs, or other paperwork for each piece of baseline equipment covering at least the past 24 months. No

such documentation is required for project evaluations based solely on mileage. 

Total Annual Miles Traveled: or Gallons of Fuel Used: 

Percent Operation within CA: % Percent Operation within District: %
Valid until June 1, 2016 at 1:00 PM

South Coast Air Quality Management District 

On-Road Heavy-Duty Vehicle Repower Application Form B-2

Page 3 of 3

Part 5. Baseline Engine Information

Fuel Type: Engine Year: 

Engine Make: Engine Serial No.: 

Engine Model: Engine Family: 

ARB Certification Executive Order (EO) Number: 

Download the EO at: http://www.arb.ca.gov/msprog/onroad/cert/cert.php

Part 6. New Reduced-Emission Engine Information

Fuel Type: Engine Year: 

Engine Make: Engine Family: 

Engine Model: Engine Horse Power: 

ARB Certification Executive Order (EO) Number: 

NOTE: The proposed engine for the project must be consistent with the Intended Service Class per the 

EO (MHD Intended Service Class engines cannot be used for projects which have the HHD vehicle 

classifications). Applicant must ATTACH a copy of the referenced Executive Order with the 

application. Download the EO at: http://www.arb.ca.gov/msprog/onroad/cert/cert.php

Part 7. Funding Information

Note: You MUST attach a written estimate from the equipment vendor documenting the cost of the new 

equipment; this quote must be obtained within 90 days prior to the closing date of the Program 

Announcement.

New Engine Cost: 

New Engine Installation Cost: 

Engine Core Charge (optional): 

Grant Request: $

New Engine Vendor: 

New Engine Installer: 
Valid until June 1, 2016 at 1:00 PM

South Coast Air Quality Management District 

Emergency Vehicles (Fire Apparatus) Application Form B-3

Page 1 of 4

FORM B-3: EMERGENCY VEHICLES (FIRE APPARATUS)

Eligible Emergency Vehicle (Fire Apparatus) projects are those in which a new or used 

replacement vehicle with an engine meeting the current model year California emission standard 

replaces an older, more polluting fire apparatus. The older, replaced vehicle must be destroyed. 

A fire truck reuse option is also available, which is also known as a “2 for 1 replacement”. The 

fire truck reuse option allows fire departments to give away the existing old vehicle and destroy 

another older vehicle in its place.

If you have any questions regarding this program or the application process, please contact

Ashkaan Nikravan by phone at (909) 396-3260 or by email at: anikravan@aqmd.gov.

Please complete one Form B-3 for each piece of equipment. For multiple unit requests, you may 

download the Form B-3 multiple-unit spreadsheet from www.aqmd.gov/Moyer in lieu of filling out 

multiple B-3 forms. 

Part 1a: Existing Vehicle Information

Company name/ Organization name/ Individual name:

Equipment Identifier (Company ID or Unit #): 

Is the vehicle location address the same as the applicant address? Yes No, (please provide 

vehicle address below)

Street Address:

City: Zip Code: 

Vehicle type (Solid Waste Collection Vehicle, Stop-and-Go Street Sweeper, School Bus, Other 

Medium-Heavy Duty Vehicle (GVWR 14,001-25,999 lbs), Other Heavy-Heavy Duty Vehicle): 

Project Life: years. Equipment must operate for this full life; this life is equivalent to the contract 

and the reporting term.

Vehicle Identification Number (VIN): 

Vehicle License Plate: 

Vehicle Make: Vehicle GVWR: 

Vehicle Model: Is this a public fleet vehicle? Yes No

Vehicle Model Year: Registered Owner: 

Department of Transportation Number (if interstate): 

California Highway Patrol CA Number (if applicable): 

I have attached proof of California registration for the past 24-months and a copy of the Title, proving 

ownership (without lien holder) for each project vehicle. YES NO (circle one)

(if not, why not?____________________________________________________________________)
Valid until June 1, 2016 at 1:00 PM

South Coast Air Quality Management District 

Emergency Vehicles (Fire Apparatus) Application Form B-3

Page 2 of 4

Part 1b: 2nd Existing Vehicle Information (only required if proposing a “2 for 

1” Replacement Project)

Company name/ Organization name/ Individual name:

Equipment Identifier (Company ID or Unit #): 

Is the vehicle location address the same as the applicant address? Yes No, (please provide 

vehicle address below)

Street Address:

City: 

Zip Code: 

Vehicle type (Solid Waste Collection Vehicle, Stop-and-Go Street Sweeper, School Bus, Other 

Medium-Heavy Duty Vehicle (GVWR 14,001-25,999 lbs), Other Heavy-Heavy Duty Vehicle): 

Project Life: years. Equipment must operate for this full life; this life is equivalent to the contract 

and the reporting term.

Vehicle Identification Number (VIN): 

Vehicle License Plate: 

Vehicle Make: Vehicle GVWR: 

Vehicle Model: Is this a public fleet vehicle? Yes No

Vehicle Model Year: Registered Owner: 

Department of Transportation Number (if interstate): 

California Highway Patrol CA Number (if applicable): 

Projected Year of Repower Completion: 

Part 2. CARB Fleet Rule Self-Certification Statement 

This is to certify that the project vehicle(s) being submitted for funding under this category 

are exempt from ARB Regulations based on the fact that they are classified as authorized 

emergency vehicle as described under California Vehicle Code Sections 27156.2 and 165. 

Signature: _______________________ Date: __________________________
Valid until June 1, 2016 at 1:00 PM

South Coast Air Quality Management District 

Emergency Vehicles (Fire Apparatus) Application Form B-3

Page 3 of 4

Part 3. Activity Information

Please provide projected annual usage for the new equipment over the proposed life of the project. 

This projection should be based on actual usage data for the baseline, or existing, equipment. 

Applicants requesting evaluation based on fuel consumption MUST provide both mileage and fuel 

records from the past 24 months. Supporting documentation may be in the form of maintenance 

records, fuel receipts, logs, or other paperwork for each piece of baseline equipment covering at least 

the past 24 months. No such documentation is required for project evaluations based solely on 

mileage. 

Total Annual Miles Traveled: or Gallons of Fuel Used: 

Percent Operation within CA: % Percent Operation within District: %

Part 4. Baseline Engine Information

Fuel Type: Engine Year: 

Engine Make: Engine Serial No.: 

Engine Model: Engine Family: 

ARB Certification Executive Order (EO) Number: 

Download the EO at: http://www.arb.ca.gov/msprog/onroad/cert/cert.php

Part 5. New Reduced-Emission Engine Information

Fuel Type: Engine Year: 

Engine Make: Engine Family: 

Engine Model: Engine Horse Power: 

ARB Certification Executive Order (EO) Number: 

The proposed engine for the project must be consistent with the Intended Service Class per the 

EO (MHD Intended Service Class engines cannot be used for projects which have the HHD 

vehicle classifications). Applicant must ATTACH a copy of the referenced Executive Order with 

the application. Download the EO at: http://www.arb.ca.gov/msprog/onroad/cert/cert.php
Valid until June 1, 2016 at 1:00 PM

South Coast Air Quality Management District 

Emergency Vehicles (Fire Apparatus) Application Form B-3

Page 4 of 4

Part 6. Funding Information

Note: You MUST attach a written estimate from the equipment vendor documenting the cost of the new 

equipment; this quote must be obtained within 90 days prior to the closing date of the Program 

Announcement.

New Engine Cost: 

New Engine Installation Cost: 

Engine Core Charge (optional): 

Grant Request: $

New Engine Vendor: 

New Engine Installer: 
Valid until June 1, 2016 at 1:00 PM

South Coast Air Quality Management District 

Off-Road Equipment Replacement Application Form C-1

Page 1 of 4

FORM C-1: OFF-ROAD EQUIPMENT REPLACEMENT

If you have any questions regarding this program or the application process, please contact

Richard Carlson by phone at (909) 396-3996 or by email at: rcarlson@aqmd.gov.

Large fleets subject to CARB’s In-Use Off-Road Equipment regulation are no longer eligible for funding 

from the SCAQMD.

Please complete one Form C-1 for each piece of equipment. For multiple unit requests, you may 

download the Form C-1 multiple-unit spreadsheet from www.aqmd.gov/Moyer in lieu of filling out 

multiple C-1 forms. 

Part 1: Existing Equipment Information (Baseline)

Company name/ Organization name/ Individual name:

Is equipment currently subject to CARB’s Off-Road Regulation? Yes No

Off-road equipment applicants subject to CARB’s In-Use Off-Road Diesel Vehicle Regulation must 

submit their DOORS fleet compliance snapshot and vehicle list. You may contact the DOORS hotline 

at (877) 593-6677 for assistance. 

Baseline Equipment Identifier (Company ID or Unit #): 

What is the primary function of this equipment?

Has this equipment received Carl Moyer Program funds in the past? Yes No

Is the vehicle location address the same as the applicant address? Yes No 

If “No”, please provide vehicle address here:

Is existing equipment in operable condition?

How long has applicant owned the existing piece of equipment?

Baseline Equipment Type (e.g. tractor, scraper, roller, loader, etc.): 

Number of Main/Front Engines on this Unit? 

Number of Auxiliary/Rear Engines on this Unit? 

Baseline Equipment Serial Number:

Baseline Equipment Make & Model: Make: Model:

Baseline Equipment Model Year:

Is 2 for 1 Replacement Applied? YES or NO (circle one)

Is this vehicle used in Agricultural operation? YES or NO (circle one)

If Yes, What percent of the time of the equipment used in Agricultural operations? _______%

Does the existing equipment have a functioning, non- resettable hour meter?

Proposed Project Life (same as contract term/how long you must operate equipment): years
Valid until June 1, 2016 at 1:00 PM

South Coast Air Quality Management District 

Off-Road Equipment Replacement Application Form C-1

Page 2 of 4

Part 2: Existing (baseline) Engine Information (one section for each engine)

Engine Type: Main (Front) -OR- Auxiliary (Rear) # of 

Fuel Type: Baseline Engine Make: 

Baseline Engine Model: Baseline Engine Year: 

Engine Serial No.: Baseline Engine Horsepower: 

Baseline Engine Tier: Baseline Engine Family: 

Annual activity in units of hour per year:__________ (hr/yr)

Note: Annual gallons may not be used to document activity unless the fuel tank is dedicated for the use of this single unit.

Engine Type: Main (Front) -OR- Auxiliary (Rear) # of 

Fuel Type: Baseline Engine Make: 

Baseline Engine Model: Baseline Engine Year: 

Engine Serial No.: Baseline Engine Horsepower: 

Baseline Engine Tier: Baseline Engine Family: 

Annual activity in units of hour per year:__________ (hr/yr)

Note: Annual gallons may not be used to document activity unless the fuel tank is dedicated for the use of this single unit.

Engine Type: Main (Front) -OR- Auxiliary (Rear) # of 

Fuel Type: Baseline Engine Make: 

Baseline Engine Model: Baseline Engine Year: 

Engine Serial No.: Baseline Engine Horsepower: 

Baseline Engine Tier: Baseline Engine Family: 

Annual activity in units of hour per year:__________ (hr/yr)

Note: Annual gallons may not be used to document activity unless the fuel tank is dedicated for the use of this single unit.

Engine Type: Main (Front) -OR- Auxiliary (Rear) # of 

Fuel Type: Baseline Engine Make: 

Baseline Engine Model: Baseline Engine Year: 

Engine Serial No.: Baseline Engine Horsepower: 

Baseline Engine Tier: Baseline Engine Family: 

Annual activity in units of hour per year:__________ (hr/yr)

Note: Annual gallons may not be used to document activity unless the fuel tank is dedicated for the use of this single unit.
Valid until June 1, 2016 at 1:00 PM

South Coast Air Quality Management District 

Off-Road Equipment Replacement Application Form C-1

Page 3 of 4

Part 3: New Equipment Information

New Equipment Type (e.g. tractor, scraper, roller, loader, etc.):

New Equipment Make:

New Equipment Model: Equipment

New Equipment Model Year:

# of Main/Front Engines:

# of Auxiliary/Rear Engines:

Percent Operation in California: 

Percent Operation within the South Coast Air Quality Management District (%): 

Part 4: New Equipment Vendor Information

Name and location of dealership assisting with this equipment:

Equipment Vendor Contact:

Equipment Vendor Phone:

Part 5: New Engine Information (one section for each engine)

Engine Type: Main (Front) -OR- Auxiliary (Rear) # of 

Fuel Type: New Engine Make: 

New Engine Model: New Engine Year: 

Engine Serial No.: New Engine Horsepower: 

New Engine Tier: New Engine Family: 

Annual activity in units of hour per year:__________ (hr/yr)

Note: Annual gallons may not be used to document activity unless the fuel tank is dedicated for the use of this single unit.

Engine Type: Main (Front) -OR- Auxiliary (Rear) # of 

Fuel Type: New Engine Make: 

New Engine Model: New Engine Year: 

Engine Serial No.: New Engine Horsepower: 

New Engine Tier: New Engine Family: 

Annual activity in units of hour per year:__________ (hr/yr)

Note: Annual gallons may not be used to document activity unless the fuel tank is dedicated for the use of this single unit.
Valid until June 1, 2016 at 1:00 PM

South Coast Air Quality Management District 

Off-Road Equipment Replacement Application Form C-1

Page 4 of 4

Part 5: New Engine Information (1 section for each engine), cont’d.

Engine Type: Main (Front) -OR- Auxiliary (Rear) # of 

Fuel Type: New Engine Make: 

New Engine Model: New Engine Year: 

Engine Serial No.: New Engine Horsepower: 

New Engine Tier: New Engine Family: 

Annual activity in units of hour per year:__________ (hr/yr)

Note: Annual gallons may not be used to document activity unless the fuel tank is dedicated for the use of this single unit.

Engine Type: Main (Front) -OR- Auxiliary (Rear) # of 

Fuel Type: New Engine Make: 

New Engine Model: New Engine Year: 

Engine Serial No.: New Engine Horsepower: 

New Engine Tier: New Engine Family: 

Annual activity in units of hour per year:__________ (hr/yr)

Note: Annual gallons may not be used to document activity unless the fuel tank is dedicated for the use of this single unit.

Part 6: Funding/Cost Information for this Repower Project

You MUST attach a written estimate from the equipment vendor documenting the cost of the device; this 

quote must be obtained within 90 days prior to the closing date of the Program Announcement.

Number of engines for this Unit? Main (Front) Engine(s): Auxiliary (Rear) Engine(s): 

 New Replacement Unit Cost: $ 

 Tax: $ 

Total Cost: $ 

Applicant Co-Funding Amount (if any): $

Applicant Grant Request Amount: $
Valid until June 1, 2016 at 1:00 PM

South Coast Air Quality Management District 

Off-Road Equipment Repower & Retrofit Application Form C-2

Page 1 of 6

FORM C-2: OFF-ROAD EQUIPMENT REPOWER & RETROFIT

(use form C-3 for Retrofit-Only projects)

All off-road repower projects must include installation of the highest level CARB-verified retrofit 

device if one is available. Repower projects are not disqualified from participation in the Carl Moyer 

Program if retrofit devices are not available, technically infeasible or unsafe. If installation of a retrofit 

device is infeasible or unsafe you MUST attach documentation in accordance with CARB requirements, 

as summarized at: http://www.arb.ca.gov/msprog/ordiesel/vdecssafety.htm.

 

If you have any questions regarding this program or the application process, please contact

Richard Carlson by phone at (909) 396-3996 or by email at: rcarlson@aqmd.gov.

Note that Large Off-Road Fleets are no longer eligible for SCAQMD funding. Please complete one Form 

C-2 for each piece of equipment. For multiple unit requests, you may download the Form C-2 multipleunit spreadsheet from www.aqmd.gov/Moyer in lieu of filling out multiple C-2 forms. 

Part 1: Equipment Information

Company name/ Organization name/ Individual name:

Is equipment currently subject to CARB’s Off-Road Regulation? Yes No

Off-road equipment applicants subject to CARB’s In-Use Off-Road Diesel Vehicle Regulation must 

submit their DOORS fleet compliance snapshot and vehicle list. You may contact the DOORS hotline 

at (877) 593-6677 for assistance. 

Baseline Equipment Identifier (Company ID or Unit #): 

What is the primary function of this equipment?

Has this equipment received Carl Moyer Program funds in the past? Yes No

Is the vehicle location address the same as the applicant address? Yes No. If “No”, provide 

vehicle address here:

Is existing equipment in operable condition?

How long has applicant owned the existing piece of equipment?

Equipment Type (e.g. tractor, scraper, roller, loader, etc.): 

Number of Main Engines on this Unit? 

Number of Auxiliary Engines on this Unit? 

Equipment Serial Number or VIN:

Baseline Equipment Make & Model: Make: Model:

Equipment Model Year:

Is this vehicle used in Agricultural operation? Yes No

If Yes, What percent of the time of the equipment used in Agricultural operations? _______%

Does the existing equipment have a functioning, non- resettable hour meter? Yes No

Proposed Project Life (same as contract term/how long you must operate equipment): years
Valid until June 1, 2016 at 1:00 PM

South Coast Air Quality Management District 

Off-Road Equipment Repower & Retrofit Application Form C-2

Page 2 of 6

Part 2: Existing Engine Information (one section for each engine)

Method proposed for rendering the baseline engine(s) inoperable:

Engine Type: Main (Front) -OR- Auxiliary (Rear) # of 

Fuel Type: Baseline Engine Make: 

Baseline Engine Model: Baseline Engine Year: 

Engine Serial No.: Baseline Engine Horsepower: 

Baseline Engine Tier: Baseline Engine Family: 

Annual activity in units of hour per year:__________ (hr/yr)

Note: Annual gallons may not be used to document activity unless the fuel tank is dedicated for the use of this single unit.

Engine Type: Main (Front) -OR- Auxiliary (Rear) # of 

Fuel Type: Baseline Engine Make: 

Baseline Engine Model: Baseline Engine Year: 

Engine Serial No.: Baseline Engine Horsepower: 

Baseline Engine Tier: Baseline Engine Family: 

Annual activity in units of hour per year:__________ (hr/yr)

Note: Annual gallons may not be used to document activity unless the fuel tank is dedicated for the use of this single unit.

Engine Type: Main (Front) -OR- Auxiliary (Rear) # of 

Fuel Type: Baseline Engine Make: 

Baseline Engine Model: Baseline Engine Year: 

Engine Serial No.: Baseline Engine Horsepower: 

Baseline Engine Tier: Baseline Engine Family: 

Annual activity in units of hour per year:__________ (hr/yr)

Note: Annual gallons may not be used to document activity unless the fuel tank is dedicated for the use of this single unit.

Engine Type: Main (Front) -OR- Auxiliary (Rear) # of 

Fuel Type: Baseline Engine Make: 

Baseline Engine Model: Baseline Engine Year: 

Engine Serial No.: Baseline Engine Horsepower: 

Baseline Engine Tier: Baseline Engine Family: 

Annual activity in units of hour per year:__________ (hr/yr)

Note: Annual gallons may not be used to document activity unless the fuel tank is dedicated for the use of this single unit.
Valid until June 1, 2016 at 1:00 PM

South Coast Air Quality Management District 

Off-Road Equipment Repower & Retrofit Application Form C-2

Page 3 of 6

Part 3: New Engine Information (one section for each engine)

Engine Type: Main (Front) -OR- Auxiliary (Rear) # of 

Fuel Type: Baseline Engine Make: 

Baseline Engine Model: Baseline Engine Year: 

Engine Serial No.: Baseline Engine Horsepower: 

Baseline Engine Tier: Baseline Engine Family: 

Annual activity in units of hour per year:__________ (hr/yr)

Note: Annual gallons may not be used to document activity unless the fuel tank is dedicated for the use of this single unit.

Engine Type: Main (Front) -OR- Auxiliary (Rear) # of 

Fuel Type: Baseline Engine Make: 

Baseline Engine Model: Baseline Engine Year: 

Engine Serial No.: Baseline Engine Horsepower: 

Baseline Engine Tier: Baseline Engine Family: 

Annual activity in units of hour per year:__________ (hr/yr)

Note: Annual gallons may not be used to document activity unless the fuel tank is dedicated for the use of this single unit.

Engine Type: Main (Front) -OR- Auxiliary (Rear) # of 

Fuel Type: Baseline Engine Make: 

Baseline Engine Model: Baseline Engine Year: 

Engine Serial No.: Baseline Engine Horsepower: 

Baseline Engine Tier: Baseline Engine Family: 

Annual activity in units of hour per year:__________ (hr/yr)

Note: Annual gallons may not be used to document activity unless the fuel tank is dedicated for the use of this single unit.

Engine Type: Main (Front) -OR- Auxiliary (Rear) # of 

Fuel Type: Baseline Engine Make: 

Baseline Engine Model: Baseline Engine Year: 

Engine Serial No.: Baseline Engine Horsepower: 

Baseline Engine Tier: Baseline Engine Family: 

Annual activity in units of hour per year:__________ (hr/yr)

Note: Annual gallons may not be used to document activity unless the fuel tank is dedicated for the use of this single unit.
Valid until June 1, 2016 at 1:00 PM

South Coast Air Quality Management District 

Off-Road Equipment Repower & Retrofit Application Form C-2

Page 4 of 6

Part 4: New Engine Vendor Information

Name and location of dealership assisting with this equipment:

Equipment Vendor Contact:

Equipment Vendor Phone:

Part 5: Retrofit Information (applicable to Repower projects)

You MUST attach a copy of the CARB Executive Order for the retrofit device and indicate (circle) on the 

Executive Order Attachment the engine family name for the engine on which the device will be installed.

Download the EO at: http://www.arb.ca.gov/diesel/cv.htm

NOTE: Off-road retrofits must include installation of the highest level CARB-verified retrofit device. 

On which repowered engine will this device be installed? Main (Front) # of 

 Auxiliary (Rear) # of 

Retrofit Device CARB Executive Order Number: 

Retrofit Device Make: Verified NOx Reduction: %

Retrofit Device Model: Verified PM Reduction: %

Retrofit Family Name: Verified ROG Reduction: %

Verification Level: Retrofit Device Serial No. 

On which repowered engine will this device be installed? Main (Front) # of 

 Auxiliary (Rear) # of 

Retrofit Device CARB Executive Order Number: 

Retrofit Device Make: Verified NOx Reduction: %

Retrofit Device Model: Verified PM Reduction: %

Retrofit Family Name: Verified ROG Reduction: %

Verification Level: Retrofit Device Serial No. 
Valid until June 1, 2016 at 1:00 PM

South Coast Air Quality Management District 

Off-Road Equipment Repower & Retrofit Application Form C-2

Page 5 of 6

Part 6a: Funding/Cost Information for Engine Repower

You MUST attach a written estimate from the equipment vendor documenting the cost of the device; this 

quote must be obtained within 90 days prior to the closing date of the Program Announcement.

Engine Type? Main (Front) Engine(s): Auxiliary (Rear) Engine(s): 

 New Engine Unit Cost: $ (Quantity of this Engine Type:______________)

 Tax: $ 

 Installation Cost: $ 

Total Repower Cost: $ 

Applicant Co-Funding Amount (if any): $

Grant Request Amount for this Repower: $

Engine Type? Main (Front) Engine(s): Auxiliary (Rear) Engine(s): 

 New Engine Unit Cost: $ (Quantity of this Engine Type:______________)

 Tax: $ 

 Installation Cost: $ 

 Total Repower Cost: $ 

Applicant Co-Funding Amount (if any): $

Grant Request Amount for Repower: $
Valid until June 1, 2016 at 1:00 PM

South Coast Air Quality Management District 

Off-Road Equipment Repower & Retrofit Application Form C-2

Page 6 of 6

Part 6b: Funding/Cost Information for Engine Retrofits

You MUST attach a written estimate from the equipment vendor documenting the cost of the device; this 

quote must be obtained within 90 days prior to the closing date of the Program Announcement. The datalogging cost of a retrofit project cannot be included in the eligible project cost.

On which repowered engine will this device be installed? Main (Front) # of 

 Auxiliary (Rear) # of 

Retrofit Device Unit Cost: $ 

 Tax: $ 

 Installation Cost: $ 

 Maintenance Cost: $ (if grant funding assistance is requested)

Total Retrofit Cost: $ 

Retrofit Device Vendor and Installer: 

Grant Request for Retrofit: $

On which repowered engine will this device be installed? Main (Front) # of 

 Auxiliary (Rear) # of 

Retrofit Device Unit Cost: $ 

 Tax: $ 

 Installation Cost: $ 

 Maintenance Cost: $ (if grant funding assistance is requested)

Total Retrofit Cost: $ 

Retrofit Device Vendor and Installer: 

Grant Request for Retrofit: $

Part 6c: Total Project Costs and Grant Request for full Project

Total Project Cost (Repower(s) + Retrofit(s)): 

Total Grant Request (Repower(s) + Retrofit(s)): 
Valid until June 1, 2016 at 1:00 PM

South Coast Air Quality Management District 

Off-Road Equipment Retrofit Application Form C-3

Page 1 of 4

FORM C-3: OFF-ROAD EQUIPMENT RETROFIT

If you have any questions regarding this program or the application process, please contact

Richard Carlson by phone at (909) 396-3996 or by email at: rcarlson@aqmd.gov.

Please complete one Form C-3 for each piece of equipment. For multiple unit requests, you may 

download the Form C-3 multiple-unit spreadsheet from www.aqmd.gov/Moyer in lieu of filling out 

multiple C-3 forms. 

Part 1: Equipment Information

Company name/ Organization name/ Individual name:

Is equipment currently subject to CARB’s Off-Road Regulation? Yes No

Off-road equipment applicants subject to CARB’s In-Use Off-Road Diesel Vehicle Regulation must 

submit their DOORS fleet compliance snapshot and vehicle list. You may contact the DOORS hotline 

at (877) 593-6677 for assistance. 

Baseline Equipment Identifier (Company ID or Unit #): 

What is the primary function of this equipment?

Has this equipment received Carl Moyer Program funds in the past? Yes No

Is the vehicle location address the same as the applicant address? Yes No If “No”, provide 

vehicle address here:

Is existing equipment in operable condition?

How long has applicant owned the existing piece of equipment?

Equipment Type (e.g. tractor, scraper, roller, loader, etc.): 

Number of Main Engines on this Unit? 

Number of Auxiliary Engines on this Unit? 

Equipment Serial Number or VIN:

Baseline Equipment Make & Model: Make: Model:

Equipment Model Year:

Is this vehicle used in Agricultural operation? Yes No

If Yes, What percent of the time of the equipment used in Agricultural operations? _______%

Does the existing equipment have a functioning, non- resettable hour meter?

Proposed Project Life (same as contract term/how long you must operate equipment): years
Valid until June 1, 2016 at 1:00 PM

South Coast Air Quality Management District 

Off-Road Equipment Retrofit Application Form C-3

Page 2 of 4

Part 2: Existing Engine Information (one section for each engine)

Method proposed for rendering the baseline engine(s) inoperable:

Engine Type: Main (Front) -OR- Auxiliary (Rear) # of 

Fuel Type: Baseline Engine Make: 

Baseline Engine Model: Baseline Engine Year: 

Engine Serial No.: Baseline Engine Horsepower: 

Baseline Engine Tier: Baseline Engine Family: 

Annual activity in units of hour per year:__________ (hr/yr)

Note: Annual gallons may not be used to document activity unless the fuel tank is dedicated for the use of this single unit.

Engine Type: Main (Front) -OR- Auxiliary (Rear) # of 

Fuel Type: Baseline Engine Make: 

Baseline Engine Model: Baseline Engine Year: 

Engine Serial No.: Baseline Engine Horsepower: 

Baseline Engine Tier: Baseline Engine Family: 

Annual activity in units of hour per year:__________ (hr/yr)

Note: Annual gallons may not be used to document activity unless the fuel tank is dedicated for the use of this single unit.

Engine Type: Main (Front) -OR- Auxiliary (Rear) # of 

Fuel Type: Baseline Engine Make: 

Baseline Engine Model: Baseline Engine Year: 

Engine Serial No.: Baseline Engine Horsepower: 

Baseline Engine Tier: Baseline Engine Family: 

Annual activity in units of hour per year:__________ (hr/yr)

Note: Annual gallons may not be used to document activity unless the fuel tank is dedicated for the use of this single unit.

Engine Type: Main (Front) -OR- Auxiliary (Rear) # of 

Fuel Type: Baseline Engine Make: 

Baseline Engine Model: Baseline Engine Year: 

Engine Serial No.: Baseline Engine Horsepower: 

Baseline Engine Tier: Baseline Engine Family: 

Annual activity in units of hour per year:__________ (hr/yr)

Note: Annual gallons may not be used to document activity unless the fuel tank is dedicated for the use of this single unit.
Valid until June 1, 2016 at 1:00 PM

South Coast Air Quality Management District 

Off-Road Equipment Retrofit Application Form C-3

Page 3 of 4

Part 3: Retrofit Information

You MUST attach a copy of the CARB Executive Order for the retrofit device and indicate (circle) on the 

Executive Order Attachment the engine family name for the engine on which the device will be installed.

Download the EO at: http://www.arb.ca.gov/diesel/cv.htm

NOTE: Off-road retrofits must include installation of the highest level CARB-verified retrofit device. 

Engine Type: Main (Front) -OR- Auxiliary (Rear) # of 

Retrofit Device Make: Verified NOx Reduction: %

Retrofit Device Model: Verified PM Reduction: %

Retrofit Family Name: Verified ROG Reduction: %

Verification Level: Retrofit Device Serial No. 

Engine Type: Main (Front) -OR- Auxiliary (Rear) # of 

Retrofit Device Make: Verified NOx Reduction: %

Retrofit Device Model: Verified PM Reduction: %

Retrofit Family Name: Verified ROG Reduction: %

Verification Level: Retrofit Device Serial No. 

Engine Type: Main (Front) -OR- Auxiliary (Rear) # of 

Retrofit Device Make: Verified NOx Reduction: %

Retrofit Device Model: Verified PM Reduction: %

Retrofit Family Name: Verified ROG Reduction: %

Verification Level: Retrofit Device Serial No. 

Engine Type: Main (Front) -OR- Auxiliary (Rear) # of 

Retrofit Device Make: Verified NOx Reduction: %

Retrofit Device Model: Verified PM Reduction: %

Retrofit Family Name: Verified ROG Reduction: %

Verification Level: Retrofit Device Serial No. 
Valid until June 1, 2016 at 1:00 PM

South Coast Air Quality Management District 

Off-Road Equipment Retrofit Application Form C-3

Page 4 of 4

Part 4: Funding/Cost Information for Engine Retrofit(s)

You MUST attach a written estimate from the equipment vendor documenting the cost of the device; this 

quote must be obtained within 90 days prior to the closing date of the Program Announcement. The datalogging cost of a retrofit project cannot be included in the eligible project cost.

On which repowered engine will this device be installed? Main (Front) # of 

 Auxiliary (Rear) # of 

Retrofit Device Unit Cost: $ 

 Tax: $ 

 Installation Cost: $ 

 Maintenance Cost: $ (if grant funding assistance is requested)

Total Retrofit Cost: $ 

Retrofit Device Vendor and Installer: 

Grant Request for Retrofit: $

On which repowered engine will this device be installed? Main (Front) # of 

 Auxiliary (Rear) # of 

Retrofit Device Unit Cost: $ 

 Tax: $ 

 Installation Cost: $ 

 Maintenance Cost: $ (if grant funding assistance is requested)

Total Retrofit Cost: $ 

Retrofit Device Vendor and Installer: 

Grant Request for Retrofit: $
Valid until June 1, 2016 at 1:00 PM

South Coast Air Quality Management District 

Cargo Handling Equipment (CHE) Electrification Application Form C – 4

Page 1 of 4

FORM C-4: CARGO HANDLING EQUIPMENT ELECTRIFICATION

If you have any questions regarding this program or the application process, please contact Greg 

Ushijima by phone at (909) 396-3301 or by email at: gushijima@aqmd.gov.

Please complete one Form C-4 for each piece of equipment. For multiple unit requests, you may 

download the Form C-4 multiple-unit spreadsheet from www.aqmd.gov/Moyer in lieu of filling out 

multiple C-4 forms. 

Please Check One: Rubber-Tire Gantry Crane Electrification

 Other Cargo Handling Equipment (CHE) Electrification

Part 1: Existing Equipment Information

Company name/ Organization name/ Individual name:

Is equipment currently subject to CARB’s Cargo Handling Equipment regulation? Yes No 

If YES, attach evidence that your fleet is in full compliance of this regulation.

If NO, and the applicant is not able to document that project equipment is not subject to the CARB 

regulation, then the project is ineligible.

Baseline Equipment Identifier (Company ID or Unit #): 

What is the primary function of this equipment?

Has this equipment received Carl Moyer Program funds in the past? Yes No

Is the vehicle location address the same as the applicant address? Yes No If “No”, please 

provide vehicle address here:

Is existing equipment in operable condition?

How long has applicant owned the existing piece of equipment?

Baseline Equipment Type (e.g. yard trucks, top handlers, side handlers, reach stackers, forklifts, 

loaders, aerial lifts, excavators, dozers, etc.):

Number of Main Engines on this Unit? 

Number of Auxiliary Engines on this Unit? 

Baseline Equipment Serial Number:

Baseline Equipment Make & Model: Make: Model:

Baseline Equipment Model Year:

Does the existing equipment have a functioning, non- resettable hour meter?

Proposed Project Life (same as contract term/how long you must operate equipment): years
Valid until June 1, 2016 at 1:00 PM

South Coast Air Quality Management District 

Cargo Handling Equipment (CHE) Electrification Application Form C – 4

Page 2 of 4

Part 2a: Existing (baseline) Engine Information (one section for each engine)

Method proposed for rendering the baseline engine(s) inoperable:

Engine Type: Main (Front) -OR- Auxiliary (Rear) # of 

Fuel Type: Baseline Engine Make: 

Baseline Engine Model: Baseline Engine Year: 

Engine Serial No.: Baseline Engine Horsepower: 

Baseline Engine Tier: Baseline Engine Family: 

Engine Type: Main (Front) -OR- Auxiliary (Rear) # of 

Fuel Type: Baseline Engine Make: 

Baseline Engine Model: Baseline Engine Year: 

Engine Serial No.: Baseline Engine Horsepower: 

Baseline Engine Tier: Baseline Engine Family: 

Engine Type: Main (Front) -OR- Auxiliary (Rear) # of 

Fuel Type: Baseline Engine Make: 

Baseline Engine Model: Baseline Engine Year: 

Engine Serial No.: Baseline Engine Horsepower: 

Baseline Engine Tier: Baseline Engine Family: 

Engine Type: Main (Front) -OR- Auxiliary (Rear) # of 

Fuel Type: Baseline Engine Make: 

Baseline Engine Model: Baseline Engine Year: 

Engine Serial No.: Baseline Engine Horsepower: 

Baseline Engine Tier: Baseline Engine Family: 

Part 2b: Existing (baseline) Engine Activity Information

Annual Operation Hours (hours/year):

Annual Fuel Usage (gallons per year): 

Fuel Type:
Valid until June 1, 2016 at 1:00 PM

South Coast Air Quality Management District 

Cargo Handling Equipment (CHE) Electrification Application Form C – 4

Page 3 of 4

Part 3: Project Description

Please provide a full description of the proposed project. Include specifications for the 

equipment electrification and associated infrastructure.

(Attach additional sheets if more space is needed.)

Part 4: Electrification Vendor Information

Equipment Vendor/Contractor Company:

Equipment Vendor/Contractor Contact Name:

Equipment Vendor/Contractor Phone Number:

Equipment Vendor/Contractor Email:

Part 5: Projected New Equipment Activity Information

Estimated Future Annual Operation Hours (hours/year):

Annual Fuel Usage (gallons per year): 

Fuel Type:
Valid until June 1, 2016 at 1:00 PM

South Coast Air Quality Management District 

Cargo Handling Equipment (CHE) Electrification Application Form C – 4

Page 4 of 4

Part 6: Funding/Cost Information for this Electrification Project

You MUST attach a written estimate from the equipment vendor/contractor documenting the cost of the 

device; this quote must be obtained within 90 days prior to the closing date of the Program 

Announcement. Quote must itemize material costs and labor costs separately and must provide 

explanatory details on each line item.

Total Project Materials Cost (incl. tax): $ 

Total Project Labor Cost: $ 

Total Project Cost: $ 

Applicant Co-Funding Amount (if any): $

Applicant Grant Request Amount: $
Valid until June 1, 2016 at 1:00 PM

South Coast Air Quality Management District 

Marine Vessels, Repower Application Form D – 1

Page 1 of 6

FORM D-1: MARINE VESSELS - REPOWER

If you have any questions regarding this program or the application process, please contact: 

 Mark Coleman at (909) 396-3074 or mcoleman@aqmd.gov

 Von Loveland at (909) 396-3063 or vloveland@aqmd.gov

Please complete one form for each marine vessel. 

Part 1: Existing Equipment Information

Company name/ Organization name:

All Commercial Harbor Craft are currently subject to CARB’s Commercial Harbor Craft regulation. 

Attach a copy of your most recent CARB Commercial Harbor Craft Initial Report, and all updates.

Vessel Name: 

Has this equipment received Carl Moyer Program funds in the past? Yes No

Port/Harbor:

Terminal: Pier:

Vessel berth / slip number:

Primary Vessel Use: (Commercial Fishing, Charter Fishing, Crew & Supply, Pilot, Work, Ferry/ 

Excursion, Tow, Tug, Barge, Other):

Annual Hours of operation for Primary Vessel Use:______________hr/yr

Secondary Vessel Use (If Applicable):

Annual Hours of operation for Secondary Vessel Use:______________hr/yr

Vessel Make:

Vessel Model:

Vessel Model Year:

U.S. Coast Guard Documentation Number (IMO Lloyd’s Number if oceangoing vessel, or CF# AND 

CA Department of Fish & Game license for fishing vessels manufactured out of the United States or 

less than five net tons displacement):

Does the project vessel utilize a wet exhaust system: Yes No

Total Number of Main Engines on this Vessel? 

Total Number of Auxiliary Engines on this Vessel? 
Valid until June 1, 2016 at 1:00 PM

South Coast Air Quality Management District 

Marine Vessels, Repower Application Form D – 1

Page 2 of 6

Part 2. Usage/Activity Information

Provide projected annual usage for the vessel/engines over the proposed life of the project. This 

projection should be based on actual usage for the marine vessel. You MUST attach 

documentation supporting the projected annual usage and operation within District and 

California waters. Supporting hours of operation documentation may be in the form of 

maintenance records, hour-meter reports, logs, or other paperwork for each piece of baseline 

equipment covering at least the past 24 months.

The vessel is required to have a functioning non-resettable hour meter for the full project life. 

Initial here to indicate understanding of this requirement: _________________

Project Life _______ years. Project Life is equivalent to the contract reporting term. (Project 

life may be adjusted by SCAQMD)

Number of Propulsion Engines to be repowered: _________

Number of Auxiliary Engines to be repowered:_________

For each Propulsion engine: Hours of Operation (per year, per engine):_________

For each Auxiliary engine: Hours of Operation (per year, per engine):________

Percent of Operation within California waters:_________%

Percent of Operation within District waters: _________%

Justification for purchasing new transmission (if applicable):

Electronic Monitoring Unit

I understand that a new Electronic Monitoring Unity (EMU) will be installed as part of this 

Project. (This is a program requirement.) Initial:________________

□Yes
Valid until June 1, 2016 at 1:00 PM

South Coast Air Quality Management District 

Marine Vessels, Repower Application Form D – 1

Page 3 of 6

Part 3. Engine Information

Main Engine____ of ____ Auxiliary Engine ____ of ____

Baseline (Existing) Engine Information

Fuel Type: Engine Make:

Engine Model: Engine Year:

Engine Serial No.: Horsepower:

Engine Displacement: Liters (ltr):________

 Cylinder (cyl):______

Engine Family:

Method proposed for rendering the replaced engine inoperable:

New Reduced-Emission Engine Information

Fuel Type: Engine Make:

Engine Model: Engine Year:

Engine Serial No.: Horsepower:

Engine Displacement: ltr: ___ cyl:______ Engine Family:

New Engine Cost (incl. tax): $ New Eng. Installation/Labor Cost: $

Main Engine____ of ____ Auxiliary Engine ____ of ____

Baseline (Existing) Engine Information

Fuel Type: Engine Make:

Engine Model: Engine Year:

Engine Serial No.: Horsepower:

Engine Displacement: ltr: ___ cyl:______ Engine Family:

Method proposed for rendering the replaced engine inoperable:

New Reduced-Emission Engine Information

Fuel Type: Engine Make:

Engine Model: Engine Year:

Engine Serial No.: Horsepower:

Engine Displacement: ltr: ___ cyl:______ Engine Family:

New Engine Cost (incl. tax): $ New Eng. Installation/Labor Cost:$
Valid until June 1, 2016 at 1:00 PM

South Coast Air Quality Management District 

Marine Vessels, Repower Application Form D – 1

Page 4 of 6

Part 3. Engine Information, cont’d.

Main Engine____ of ____ Auxiliary Engine ____ of ____

Baseline (Existing) Engine Information

Fuel Type: Engine Make:

Engine Model: Engine Year:

Engine Serial No.: Horsepower:

Engine Displacement: Liters (ltr):________

 Cylinder (cyl):______

Engine Family:

Method proposed for rendering the replaced engine inoperable:

New Reduced-Emission Engine Information

Fuel Type: Engine Make:

Engine Model: Engine Year:

Engine Serial No.: Horsepower:

Engine Displacement: ltr: ___ cyl:______ Engine Family:

New Engine Cost (incl. tax): $ New Eng. Installation/Labor Cost: $

Main Engine____ of ____ Auxiliary Engine ____ of ____

Baseline (Existing) Engine Information

Fuel Type: Engine Make:

Engine Model: Engine Year:

Engine Serial No.: Horsepower:

Engine Displacement: ltr: ___ cyl:______ Engine Family:

Method proposed for rendering the replaced engine inoperable:

New Reduced-Emission Engine Information

Fuel Type: Engine Make:

Engine Model: Engine Year:

Engine Serial No.: Horsepower:

Engine Displacement: ltr: ___ cyl:______ Engine Family:

New Engine Cost (incl. tax): $ New Eng. Installation/Labor Cost:$
Valid until June 1, 2016 at 1:00 PM

South Coast Air Quality Management District 

Marine Vessels, Repower Application Form D – 1

Page 5 of 6

Part 3. Engine Information, cont’d.

Main Engine____ of ____ Auxiliary Engine ____ of ____

Baseline (Existing) Engine Information

Fuel Type: Engine Make:

Engine Model: Engine Year:

Engine Serial No.: Horsepower:

Engine Displacement: ltr: ___ cyl:______ Engine Family:

Method proposed for rendering the replaced engine inoperable:

New Reduced-Emission Engine Information

Fuel Type: Engine Make:

Engine Model: Engine Year:

Engine Serial No.: Horsepower:

Engine Displacement: ltr: ___ cyl:______ Engine Family:

New Engine Cost (incl. tax): $ New Eng. Installation/Labor Cost:$

Main Engine____ of ____ Auxiliary Engine ____ of ____

Baseline (Existing) Engine Information

Fuel Type: Engine Make:

Engine Model: Engine Year:

Engine Serial No.: Horsepower:

Engine Displacement: ltr: ___ cyl:______ Engine Family:

Method proposed for rendering the replaced engine inoperable:

New Reduced-Emission Engine Information

Fuel Type: Engine Make:

Engine Model: Engine Year:

Engine Serial No.: Horsepower:

Engine Displacement: ltr: ___ cyl:______ Engine Family:

New Engine Cost (incl. tax): $ New Eng. Installation/Labor Cost:$
Valid until June 1, 2016 at 1:00 PM

South Coast Air Quality Management District 

Marine Vessels, Repower Application Form D – 1

Page 6 of 6

Part 4. Funding Information

Total Project Cost of All New Engines (incl. tax and labor): $

NOTE: You MUST attach a written estimate or quotation from the equipment vendor 

documenting the cost of the new equipment. This quote must be obtained within 90 days prior 

to the closing date of the Program Announcement. The quote must indicate the certification 

level of the new, replacement engine (i.e., Tier 3 or cleaner).

Applicant Co-Funding Amount (if any): $

Total Funding Requested (all engines): $

New Engine Vendor/Installer Contact Information:
Valid until June 1, 2016 at 1:00 PM

South Coast Air Quality Management District 

Marine Vessels, Shore Power Application Form D – 2

Page 1 of 4

FORM D-2: MARINE VESSELS – SHORE POWER

If you have any questions regarding this program or the application process, please contact Greg 

Ushijima by phone at (909) 396-3301 or by email at: gushijima@aqmd.gov.

Please complete one form for each Shore Power project. 

Part 1. Project Information

Company name/ Organization name/ Individual name:

Type of project (check all that apply):

Vessel retrofit to accept

 electrical power (“ship-side”)

 Purchase of transformer and associated 

infrastructure (“shore-side”)

Type of applicant:

Terminal Operator Vessel Owner Port Authority Other

Other potential project partners (if applicable): 

Power supplier: 

Where does the electrical power infrastructure begin and end?

Project Location: (Please include port, terminal, pier and berthing slip)

If you are leasing the terminal, identify time left on the current lease: 

Total number of vessels expected to use shore power at this location (per year):

Total number of annual vessel visits expected to use shore power:

Total number of annual hours of usage for vessels expecting to use shore power: 
Valid until June 1, 2016 at 1:00 PM

South Coast Air Quality Management District 

Marine Vessels, Shore Power Application Form D – 2

Page 2 of 4

Part 2: Vessel Information

Complete Part 2 for each vessel to be retrofitted. For transformer only projects please provide a 

detailed description of the vessels that typically use this terminal.

If your vessel type is a refrigerated cargo ship, container-ship or passenger ship, please attach 

your Vessel Plan as required by the ARB shore power regulation:

http://www.arb.ca.gov/ports/shorepower/shorepower.htm

Vessel Type: 

Vessel Name: Vessel Make: 

Vessel Model: Vessel Year: 

US Coast Guard Documentation Number: 

Lloyds Register/IMO Ship ID Number: 

Vehicle Registration (CF) Number: 

Total Number of main and auxiliary engines on vessel: 

Main engine(s) Auxiliary engine(s)

Total number of annual visits to the terminal:

Average berthing time (hours) of the vessel, per visit (include time needed to connect and disconnect 

the vessel to shore power): 

Vessel power (kW) requirements while at berth:

 Average Power Requirement:

 Maximum Power Requirement:

Part 3. Current Berth Activity (Cumulative)

Number of annual ship visits to the berth (attach the log of vessel visits for each of the specified years):

2012_______________

2013_______________

2014_______________
Valid until June 1, 2016 at 1:00 PM

South Coast Air Quality Management District 

Marine Vessels, Shore Power Application Form D – 2

Page 3 of 4

Part 4. Predicted (Future)Berth Activity 

Estimated annual ship visits using electrical power:

2014-2016____________________

2017-2019____________________

2020 and beyond_______________

Estimated monthly hours of operation:

2014-2016____________________

2017-2019____________________

2020 and beyond_______________

Estimated monthly megawatt (MW) usage:

2014-2016____________________

2017-2019____________________

2020 and beyond_______________

Part 5: Vessel Activity Information

Attach a detailed description of the vessels that will be using the shore power equipment. Title this 

attachment “Part 5 – Vessel Activity Information”. This description should include:

 Vessel type

 Ship size (in 20-foot equivalent units (TEU) capacity)

 Number and type of engines

 Power demand (total auxiliary power (kW) – not hotelling load)

 This number of auxiliary engines typically operating while at berth per vessel

 Number of annual visits

 Average berthing time (hours) of the vessel, per visit (include time needed to connect and 

disconnect the vessel to shore power). Be sure to consider the maximum time the auxiliary 

engines are in use.
Valid until June 1, 2016 at 1:00 PM

South Coast Air Quality Management District 

Marine Vessels, Shore Power Application Form D – 2

Page 4 of 4

Part 6: Funding Information

You MUST attach a written estimate or quotation from the equipment vendor documenting the 

cost of the new equipment and associated labor. This quote must be obtained within 90 days 

prior to the closing date of the Program Announcement. 

Transformer Project Cost: $ Associated Infrastructure: $

Retrofit Equip. Cost (incl. tax): $ Retrofit Equip. Installation Cost: $

Total Project Cost:

Total Amount Requested for this Project:

You MUST attach a detailed written estimate/quote from the equipment vendor for the cost of the equipment and labor.

Maximum allowable Shore Power Transformer (“shore-side”): 50% of transformer & other 

equipment between the vessel and transformer

Shore Power Vessel Retrofit (“ship-side”): 100% of retrofit cost &

50% of transformer cost

Other: $ You may request less than the maximum allowable funding amount to improve 

cost-effectiveness of your project.

Anticipated Project Completion Date: 

Please attach a proposed project schedule. Title this attachment “Part 8 – Project Schedule.”
Valid until June 1, 2016 at 1:00 PM

South Coast Air Quality Management District 

Locomotives Application Form E – 1

Page 1 of 5

FORM E-1: LOCOMOTIVES

If you have any questions regarding this program or the application process, please contact

Connie Day by phone at (909) 396-3055 or by email at: cday@aqmd.gov.

Please complete one Form E-1 for each piece of equipment. For multiple unit requests, you may 

download the Form E-1 multiple-unit spreadsheet from www.aqmd.gov/Moyer in lieu of filling 

out multiple E-1 forms. 

Which type of locomotive project is proposed with this application? (Check one)

 Locomotive Replacement (includes Tier 4 locomotives (or cleaner), GenSet locomotives 

(multi-engine switcher) and electric-hybrid locomotives. U.S.EPA considers a refurbished 

locomotive a new locomotive if it includes at least 75 % (by value) new parts.

 Idle limiting device (ILD)

 U.S. EPA certified engine remanufacture kit or repower/refurbishment

 ARB verified retrofit

 Head end power unit (HEP)

Part 1: Locomotive Information

Locomotive Type (Line Haul, Traditional Switcher, Alternative Technology Switcher, Passenger):

Railroad Class:

Proposed Project Life (same as contract term/how long you must operate equipment): years

Percent Operation in California (%): _____ Percent Operation in District (%): ______

Has this equipment received previous CMP Funding? Yes No

Unit Number or Other Identifier: Equipment Location Address:

Locomotive Make: Locomotive Serial Number:

Locomotive Model: Locomotive Model Year:

Does the locomotive already have a functioning 

idle limit device (ILD) installed? Yes No
Valid until June 1, 2016 at 1:00 PM

South Coast Air Quality Management District 

Locomotives Application Form E – 1

Page 2 of 5

Part 2: Existing (Baseline) Engine(s) Information

Engine Type: MAIN -OR- AUXILIARY # of 

Fuel Type: Baseline Engine Make: 

Baseline Engine Model: Baseline Engine Year: 

Engine Serial No.: Baseline Engine Horsepower: 

Baseline Engine Tier: Baseline Engine Family: 

US EPA Certificate of Conformity No: 

(attached)

CARB Executive Order No: 

(attached)

Engine Type: MAIN -OR- AUXILIARY # of 

Fuel Type: Baseline Engine Make: 

Baseline Engine Model: Baseline Engine Year: 

Engine Serial No.: Baseline Engine Horsepower: 

Baseline Engine Tier: Baseline Engine Family: 

US EPA Certificate of Conformity No: 

(attached)

CARB Executive Order No: 

(attached)

Engine Type: MAIN -OR- AUXILIARY # of 

Fuel Type: Baseline Engine Make: 

Baseline Engine Model: Baseline Engine Year: 

Engine Serial No.: Baseline Engine Horsepower: 

Baseline Engine Tier: Baseline Engine Family: 

US EPA Certificate of Conformity No: 

(attached)

CARB Executive Order No: 

(attached)

Engine Type: MAIN -OR- AUXILIARY # of 

Fuel Type: Baseline Engine Make: 

Baseline Engine Model: Baseline Engine Year: 

Engine Serial No.: Baseline Engine Horsepower: 

Baseline Engine Tier: Baseline Engine Family: 

US EPA Certificate of Conformity No: 

(attached)

CARB Executive Order No: 

(attached)
Valid until June 1, 2016 at 1:00 PM

South Coast Air Quality Management District 

Locomotives Application Form E – 1

Page 3 of 5

Part 3: Existing Locomotive Activity Information

Annual Fuel Usage (gallons per year): 2012: _______

2013: _______

2014: _______

Attach documentation to support the reported gallons per year.

Complete each section(s) below that pertains to your Locomotive project type: 

Part 4: New (Replacement) Locomotive Information

Locomotive Type:

 Tier 4 locomotive (or cleaner)

 GenSet locomotive (multi-engine switcher)

 Electric-hybrid locomotive

NOTE: A refurbished locomotive is considered to be a new locomotive if it includes at least 

75 percent (by value) new parts.

Locomotive Serial Number (If available):

Locomotive Make:

Locomotive Model:

Locomotive Model Year:

Will the locomotive have a functioning idle limit 

device (ILD) installed? 

Yes No
Valid until June 1, 2016 at 1:00 PM

South Coast Air Quality Management District 

Locomotives Application Form E – 1

Page 4 of 5

Part 5: New/Replacement Engine(s) Information

Engine Type: MAIN -OR- AUXILIARY # of 

Fuel Type: Baseline Engine Make: 

Baseline Engine Model: Baseline Engine Year: 

Engine Serial No.: Baseline Engine Horsepower: 

Baseline Engine Tier: Baseline Engine Family: 

US EPA Certificate of Conformity No: 

(attached)

CARB Executive Order No: 

(attached)

US EPA Certified Emissions (g/bhp-hr): NOx:_______ HC:_______ PM: __________

Engine Type: MAIN -OR- AUXILIARY # of 

Fuel Type: Baseline Engine Make: 

Baseline Engine Model: Baseline Engine Year: 

Engine Serial No.: Baseline Engine Horsepower: 

Baseline Engine Tier: Baseline Engine Family: 

US EPA Certificate of Conformity No: 

(attached)

CARB Executive Order No: 

(attached)

US EPA Certified Emissions (g/bhp-hr): NOx:_______ HC:_______ PM: __________

Engine Type: MAIN -OR- AUXILIARY # of 

Fuel Type: Baseline Engine Make: 

Baseline Engine Model: Baseline Engine Year: 

Engine Serial No.: Baseline Engine Horsepower: 

Baseline Engine Tier: Baseline Engine Family: 

US EPA Certificate of Conformity No: 

(attached)

CARB Executive Order No: 

(attached)

US EPA Certified Emissions (g/bhp-hr): NOx:_______ HC:_______ PM: __________

Engine Type: MAIN -OR- AUXILIARY # of 

Fuel Type: Baseline Engine Make: 

Baseline Engine Model: Baseline Engine Year: 

Engine Serial No.: Baseline Engine Horsepower: 

Baseline Engine Tier: Baseline Engine Family: 

US EPA Certificate of Conformity No: 

(attached)

CARB Executive Order No: 

(attached)

US EPA Certified Emissions (g/bhp-hr): NOx:_______ HC:_______ PM: __________
Valid until June 1, 2016 at 1:00 PM

South Coast Air Quality Management District 

Locomotives Application Form E – 1

Page 5 of 5

Part 6: Future/Projected Locomotive Activity Information

Annual Fuel Usage (gallons per year): ______________

Contact the SCAQMD Staff Lead to discuss your project and appropriate assumptions for 

this projection.

Part 7: Engine and/or Locomotive Cost

All cost estimates must be based on quotes that have been obtained within 90 days prior to the 

closing date of the Program Application. Attach all quotes to the application.

New Locomotive Cost: $

 Engine Unit Cost: $

Tax: $

Engine Installation Cost: $

Total Project Cost: $

Project Grant Request: $

Part 8: Additional Project Information

Please provide a full description of the proposed project. Include an explanation of any 

project elements that are not adequately covered in the above Parts.

(Attach additional sheets if more space is needed.)
Valid until June 1, 2016, at 1:00 P.M. #PA2016-06

1

Surplus Off-Road Opt-In for NOx (SOON) 

SCAQMD PROGRAM ANNOUNCEMENT

#PA2016-06

The South Coast Air Quality Management District (SCAQMD) is soliciting project proposals 

for the following purpose according to terms and conditions attached. In this Program 

Announcement (PA) the words “Proposer,” “Applicant,” “Contractor,” and “Consultant” are 

used interchangeably.

SECTION I – OVERVIEW

PURPOSE

The SCAQMD is seeking proposals for the Surplus Off-Road Opt-In for NOx (SOON) 

Provision of the California Air Resources Board’s (CARB’s) In-Use Off-Road Diesel 

Vehicle Regulation. The primary purpose of this program is to provide financial incentives 

to assist in the purchase of low-emission heavy-duty engine technologies to achieve nearterm nitrogen oxides (NOx) emission reductions from in-use off-road equipment. Since 

funding for the SOON Program is from the Carl Moyer Program (CMP), all CMP 

requirements apply to this Program, except where specifically noted, or where the 

SCAQMD implements more stringent program criteria as described in the Rule 2449 

SOON Implementation Guidelines.

INTRODUCTION

The SOON Program is designed to achieve additional NOx reductions above those that 

would be obtained from the State In-Use Off-Road Vehicle Regulation. These reductions 

are critical to meeting the PM2.5 and ozone ambient air quality standards in the South 

Coast Air Basin.

Funding for Program Announcement #PA2016-06 is from state SB 1107 and AB 923 

funds. Project awards are contingent upon receiving these funds from CARB. Additional 

sources of funding may become available and added to this Program. 

Desirable projects must strive to meet a maximum cost-effectiveness limit of $18,260 per 

ton of emissions reduced and any additional SCAQMD criteria as stated in this PA (the 

cost-effectiveness limit may be changed depending on the demand for program funds). 

Projects exceeding the cost-effectiveness limit may receive partial funding. Except where 

otherwise stated, projects must meet the requirements of the CMP program guidelines. 

The current Program Announcement was prepared using the Approved Revision of the 

CMP Guidelines released on December 18, 2015. It is the applicant’s responsibility to 

ensure that the most current information and requirements are reflected in a submitted 

application. Applicants should check the CARB website for updates and advisories to the 

guidelines (http://www.arb.ca.gov/msprog/moyer/moyer.htm). 
Valid until June 1, 2016, at 1:00 P.M. #PA2016-06

2

SCAQMD SOON requirements may sometimes be more stringent than CARB guidelines. 

For example, SCAQMD may have a lower cost-effectiveness ceiling for a particular 

category. In case there are any conflicts between CARB guidelines and SCAQMD criteria,

the more stringent criteria will prevail. SCAQMD will post any new information and 

requirements on its SOON web page at www.aqmd.gov/soon. It is the responsibility of the 

applicant to ensure that the most current information and requirements are reflected in a 

submitted application.

DEFINITIONS

1. Alternative Fuel

Alternative fuels include compressed natural gas (CNG), liquefied natural gas (LNG), 

methanol, ethanol, propane (LPG) and electric technologies. 

2. Base Rule

Base rule is defined as CARB’s In-Use Off-Road Diesel regulation without the SOON 

provisions. Compliance with the Base Rule is required and is demonstrated by the 

DOORS Compliance Snapshot.

3. Compliance Plan

Compliance plan is the future forecast of fleet average emissions using current fleet 

information and planned future repower, replacement, retirement and retrofit projects. 

An Excel spreadsheet template is available on the SCAQMD SOON Web page.

4. Contract Term

Contract term is the duration for which the contract is valid. It encompasses both the 

project completion and project implementation periods.

i. Project completion period is the first part of the Contract term starting from the date 

of Contract execution by both parties to the date the project post-inspection 

confirms that the project has become operational.

ii. Project implementation period is the second part of the Contract term and equals 

the project life.

5. Cost-Effectiveness Limit

The cost-effectiveness limit is the maximum funding that can be provided to an 

individual vehicle repower, replacement or retrofit project for each ton of covered 

emission reduced.

6. Current NOx Standard

For all engine horsepower categories, the current NOx standard in 2015 is Tier 4 Final.

7. Dual-Fuel Technology

Dual-fuel technology includes electric hybrids and technologies that utilize a 

combination of either CNG and diesel fuel or LNG and diesel fuel, provided they are 

certified by CARB. Experimental technologies and fuels will be referred to CARB for 

evaluation and possible eligibility in the program.

8. Incremental Cost

Incremental cost is the percent of actual cost that is eligible for SOON funding. For 
Valid until June 1, 2016, at 1:00 P.M. #PA2016-06

3

repower projects, it is 85%; for replacement projects, it is 80%; and for retrofit projects, 

it is 100%.

9. Project Life

Project life is the period of the contract term during which the repowered, replacement 

or retrofitted vehicle is operated and the contractor must report annual usage. It is used 

to calculate the cost-effectiveness and funding amount for a particular project.

10.Replacement Project

Replacement project is the purchase of a new or used vehicle to replace an existing 

vehicle.

11.Repower Project

Repower project is the replacement of an old engine of an existing vehicle with a newer 

engine certified to lower emission standards.

12.Retrofit Project

Retrofit project is a modification made to an engine exhaust and/or fuel system such 

that the specifications of the retrofitted engine are different from the original engine.

GENERAL PROGRAM INFORMATION

The primary focus of the SOON Program is to achieve emission reductions from heavyduty vehicles and equipment operating in California as early and as cost effectively as 

possible. The SOON Program is intended to achieve additional NOx reductions which are 

needed to meet the PM2.5 and ozone ambient air quality standards in the South Coast Air 

Basin. The emission reductions expected through the deployment of low-emission engines 

or retrofit technologies under this Program must be real, surplus and quantifiable. To avoid 

double counting of emission reductions, project vehicles and/or equipment may not receive 

funding from any other government grant program that is designed to reduce mobile 

source emissions. Specifically, these programs include, but are not limited to:

 All Mobile Source Air Pollution Reduction Review Committee (MSRC) Programs

 All CARB Emission Reduction Credit Programs

 SCAQMD Rule 2202 Air Quality Investment Program

 SCAQMD RECLAIM Air Quality Investment Program for NOx

 Emission Credit Programs encompassed in the SCAQMD Rule 1600-series and 

1309.1

 1B Bond Program

 AB 118 Funding Program

Replacement and repower projects are limited to only those involving diesel-to-alternative 

fuel, diesel-to-dual fuel technology, and diesel-to-diesel fuel engines or vehicles. All 

projects must meet the program’s cost-effectiveness limits and be operational no 

later than May 31, 2018. No administrative or vehicle operational costs are eligible. 

It is expected that multiple awards will be granted under this PA, subject to the approval of 

the SCAQMD Governing Board. 
Valid until June 1, 2016, at 1:00 P.M. #PA2016-06

4

All proposals will be evaluated based on criteria set forth in this PA. The SCAQMD will 

evaluate and/or verify information submitted by the applicant. At SCAQMD's discretion, 

consultants to the SCAQMD may conduct all or part of such evaluation and/or verification. 

Data verification during the evaluation and contracting process may cause initial costeffectiveness rankings, and associated awards, to change. Furthermore, the SCAQMD 

reserves the right to make adjustments to awards based on the subsequent verification of 

information as well as changes in cost-effectiveness. 

IMPORTANT PROGRAM INFORMATION 

 Fleets with a total statewide equipment horsepower over 20,000 hp and with 40 

percent or more of their vehicles at Tier 0 and Tier 1 emission levels as of 

January 1, 2008, are subject to the SOON Program and are required to apply for 

funding. Fleets not meeting both of the above criteria on January 1, 2008, may 

voluntarily participate in this program and apply for funding.

 For this program cycle, all projects will be eligible for a maximum seven (7) year 

operational requirement within the South Coast Air District. Shorter project life will 

be considered on a case-by-case basis and may be required by the CMP 

Guidelines. However, a shorter project life may affect the project’s ranking relative 

to other project applicants and the amount of funding that can be provided.

 The annual hours used to calculate cost-effectiveness will be included in the 

contract. An extension of the contract or partial payback of funds may be required if 

the proposed annual hours are not achieved. 

 For all repower projects, fleets are UnotU required to but may install the highest level 

verified diesel emission control system (VDECS) at their own cost. 

 Retrofit projects which can achieve NOx reductions may be funded on a case-bycase basis. 

 Replacement, repowers or NOx retrofits projects funded under SOON are ineligible 

for compliance with the base rule until the end of the contract period.

 Applicants UmustU provide vendor quotes with their application to document the cost 

of implementing the proposed technology. All quotes must have been obtained 

within 90 days of application submittal. Applicants may be required to submit 

quotes from more than one technology provider.

 Applicants must demonstrate that they are in full compliance with all CARB 

applicable regulations and that vehicle/equipment funding requests under this 

Program provide surplus emissions reductions. Applicants are required to submit 

a compliance plan showing how they will comply with the targets of CARB’s 

In-Use Off-Road Vehicle regulation throughout the contract term, as well as

how the new projects under this PA will meet SOON NOx targets in 2017 and 

2020.

 Applicants must ensure that the vehicle/equipment to be purchased or installed is in 

compliance with all applicable federal, state and local air quality rules and 

regulations and that it will maintain compliance for the full contract term. 

 Any associated tax obligation with the award is the responsibility of the grantee.

 No third-party contracts will be executed.
Valid until June 1, 2016, at 1:00 P.M. #PA2016-06

5

 Pre- and post-inspection of all vehicles/engines/equipment approved for funding will 

be conducted by SCAQMD.

 Destruction of the engine/equipment being replaced is required.

 To avoid double dipping, applicants shall not apply for funding of the same 

equipment in any other air district.

POTENTIAL PROJECTS 

All eligible projects must use certified technology or technology that has been verified by 

CARB for real and quantifiable emission reductions that go beyond any regulatory

requirement. The following projects are eligible for SOON funding:

Repower Project

For a repower project, the new engine must be certified for sale in California to the current 

NOx emission standard (Tier 4 Final). If an engine meeting the current emission standard 

is not available or cannot be installed:

 A Tier 3 Replacement Engine rated at 175 hp or higher can be used for the 

repower project. 

 A Tier 3 Replacement rated at 175 horsepower or less can be used for repower 

projects provided it complies with U.S. Environmental Protection Agency (EPA)

requirements related to replacing in-use engines contained in the Code of Federal 

Regulations, Title 40, Section 1068.240. 

 For off-road equipment with similar modes of operation to on-road vehicles, other 

possible options include the replacement of an older diesel off-road engine with a 

new on-road engine certified to an emission standard equal to or cleaner than the 

Tier 4 Final off-road emission standard or a newer emission certified alternative 

fuel engine.

Retrofit Project

For a retrofit project, the retrofit technology must be:

 Verified by CARB to reduce NOx or NOx plus PM for the specific engine for which 

funding is requested.

 In compliance with established durability and warranty requirements and costeffectiveness criteria. 

Diesel Particulate Filters (DPFs) and other devices that are not verified to reduce NOx are 

not eligible for SOON funding. The applicant will find more information on VDECS, 

including a list of currently verified DECS at

http://www.arb.ca.gov/diesel/verdev/verdev.htm.

Replacement Project

For replacement projects, the replacement vehicle/equipment must be powered by a Tier 4 

Final engine. If a vehicle/equipment with a Tier 4 Final engine will not be available within 6 

months of the application submittal, vehicle/equipment with an Interim Tier 4 or Tier 3 

engine may be purchased. 
Valid until June 1, 2016, at 1:00 P.M. #PA2016-06

6

PROJECT CRITERIA 

The SCAQMD retains the authority to impose more stringent additional requirements in 

order to address local concerns. 

 Off-road CI equipment eligible for SOON Program funding includes equipment 25 

hp (19 kilowatt) or greater. The complete definition can be found in CARB’s In-Use 

Off-Road Diesel regulation at http://www.arb.ca.gov/msprog/ordiesel/ordiesel.htm.

 SOON Program grants can be no greater than a project’s incremental cost (85% of 

quotation for repower projects, 80% of quotation for replacement projects). The 

incremental cost shall be reduced by the value of any current financial incentive that 

reduces the project price, including but not limited to tax credits or deductions, 

grants, or other public financial assistance. 

 Applicants must ensure that the vehicle/equipment to be purchased or installed is in 

compliance with all applicable federal, state and local air quality rules and 

regulations and that it will maintain compliance for the full contract term. 

 The certification emission standard and Tier designation for the engine must be 

determined from the CARB’s Executive Order issued for that engine, not by the 

engine model year. Executive orders for off-road engines may be found at 

http://www.arb.ca.gov/msprog/offroad/cert/cert.php.

 Reduced-emission engines or retrofits must be certified/verified for sale in California 

and must comply with durability and warranty requirements. These may include new 

CARB-certified engines and verified diesel emission control strategies. 

 New vehicles equipped with Tier 4 family emission limits (FEL) engines certified to 

Tier 3 or Interim Tier 4 standards are eligible for SOON Program funding. However, 

those engines will have their cost-effectiveness calculated as though they 

were Tier 3 engines. 

 Equipment manufactured under the “Flexibility Provisions for Equipment 

Manufacturers”, as detailed in Title 13, CCR, section 2423(d), are eligible for SOON 

Program funding provided their engines are certified to Tier 3 or Interim Tier 4 

standards. 

 Class 7 diesel forklifts are the only diesel forklifts eligible for SOON Program 

funding and are subject to all off-road project criteria. The SCAQMD must obtain 

and verify documentation of the classification of the forklift prior to funding. 

 If repower with an engine meeting the current applicable standard is technically 

infeasible, unsafe or cost prohibitive, the replacement engine must meet the most 

current practicable previously applicable emission standard and cost-effectiveness 

criteria and, if rated at less than 175 hp, must comply with the requirements related 

to replacing in-use engines contained in Title 40, Code of Federal Regulations, 

Section 1068.240. 

 Replacement of an uncontrolled diesel off-road engine with a new on-road engine 

certified to an emission standard equal to or lower than the Tier 4 Final off-road 

emission standard or a newer emission-certified alternative-fuel engine may be 

eligible for funding as off-road equipment with similar modes of operation as onroad vehicles on a case-by-case basis. Other equipment may be eligible for funding 

on a case-by-case basis. These repowers must meet all other applicable project 

criteria. 
Valid until June 1, 2016, at 1:00 P.M. #PA2016-06

7

 Applicants must provide their DOORS Fleet Compliance Snapshot. 

 Applicants must provide the DOORS EIN for each vehicle for which funding is 

requested.

 Applicants must provide proof they have owned each vehicle for which funding is 

requested for a replacement vehicle for at least two years. 

 Applicants must provide a current Compliance Plan using the SCAQMD fleet 

calculator or the DOORS calculator demonstrating compliance with the Off-Road 

regulation throughout the anticipated contract period.

 Applicants must provide at least the most recent two (2) years of hour-meter 

readings.

Potential projects that fall outside of these criteria may be considered on a case-by-case 

basis if evidence provided to the air district suggests potential surplus, real, quantifiable 

and enforceable emission reduction benefits.

MAXIMUM ELIGIBLE FUNDING

The maximum eligible funding amount and project life for each SOON project type is 

summarized below.

Project Maximum Funding Maximum Project Life

Replacement 80% of 

vehicle/equipment cost

Five years, except:

 Three years for excavators, skid steer 

loaders, and rough terrain forklifts

 Seven years crawler tractors, off-road 

tractors, rubber tired dozers, and workover 

rigs.

 Ten years for all off-road farm equipment

Repower 85% of engine cost 

plus parts and labor 

necessary for 

installation

Seven years

Retrofit 100% of retrofit device 

cost plus parts and 

labor for installation, 

plus estimated cost for 

maintenance during 

project life.

Five years

COST-EFFECTIVENESS EVALUATION DISCUSSION

The SOON Program is required to meet the requirements of the CMP by using the costeffectiveness calculations methodology found in Appendix C of the CMP Guidelines (see 

http://www.arb.ca.gov/msprog/moyer/guidelines/current.htm). 

REPORTING AND MONITORING 

All participants in the SOON Program are required to keep appropriate records during the 

full contract period. Project life is the number of years used to determine the cost-
Valid until June 1, 2016, at 1:00 P.M. #PA2016-06

8

effectiveness and is equivalent to the contract life. All equipment must operate in the 

SCAQMD for this full project life. The SCAQMD shall conduct periodic reviews of each 

project’s operating records to ensure that the engine is operated as stated in the program 

application. Annual records must contain the following, at a minimum: 

 Total Hours of Operation

 Total Hours of Operation in the South Coast Air District

 Annual Maintenance and Repair Information

Records must be retained and updated throughout the project life and made available for 

SCAQMD inspection. The SCAQMD may conduct periodic reviews of each 

vehicle/equipment project’s operating records to ensure that the vehicle is operated as 

required by the project requirements. 

PROGRAM ADMINISTRATION

The SOON Program will be administered locally by the SCAQMD through the Science and 

Technology Advancement Office. 

FUNDING CATEGORIES

Only equipment identified in the CARB In-Use Off-Road Diesel Vehicle regulation is 

eligible for this Program.

PROJECT EVALUATION/AWARDS

SCAQMD staff will evaluate all submitted proposals and make recommendations to the 

SCAQMD Governing Board for final selection of project(s) to be funded. Proposals will be 

evaluated on the cost-effectiveness of emissions reduced on a vehicle/equipment-byvehicle/equipment basis, as well as a project’s disproportional impact evaluation. (This is 

discussed further in Section IV). 

SCHEDULE OF EVENTS

Release of #PA2016-06 March 4, 2016

All Applications due by 1:00 p.m. Wednesday, June 1, 2016

Anticipated Award Consideration by SCAQMD Board October 7, 2016

ALL PROPOSALS MUST BE RECEIVED AT THE SCAQMD HEADQUARTERS

NO LATER THAN 1:00 P.M. ON WEDNESDAY, JUNE 1, 2016

Postmarks will not be accepted. Faxed or email proposals will not be accepted. 

Proposers may hand-deliver proposals to the SCAQMD by submitting the proposal 

to the SCAQMD Public Information Center. The proposal will be date and timestamped and the person delivering the proposal will be given a receipt.

SCAQMD may issue subsequent solicitations if insufficient applications are 

received in the initial solicitation.
Valid until June 1, 2016, at 1:00 P.M. #PA2016-06

9

STATEMENT OF COMPLIANCE

Government Code Section 12990 and California Administrative Code, Title II, Division 4, 

Chapter 5, require employers to agree not to unlawfully discriminate against any employee 

or applicant because of race, religion, color, national origin, ancestry, physical handicap, 

medical condition, marital status, sex, or age. A statement of compliance with this clause is 

included in all SCAQMD contracts.

SECTION II: WORK STATEMENT/SCHEDULE OF DELIVERABLES

All applicants that are selected for funding awards must complete the Work Statement and 

Schedule of Deliverables described below as part of the contracting process. Development 

of these materials for the initial application is NOT required; however, applicants must sign 

the application form indicating their understanding of the requirements for submittal of 

additional project information to finalize a contract and that all vehicles, engines or 

equipment must be in operation no later than May 31, 2018. 

WORK STATEMENT

The scope of work involves a series of tasks and deliverables that demonstrate 

compliance with the requirements of the SOON Program as administered by CARB and 

the SCAQMD. The project applicant is responsible for developing detailed project plans 

that address the program criteria. In addition, alternative fuel project applicants must 

discuss their plan for refueling the proposed vehicles/equipment, and if appropriate, should 

provide a letter of agreement from their fuel provider. 

At a minimum, any contract for funding the proposed project must meet the following 

criteria:

 Emission reductions must be real, quantifiable, enforceable and surplus in 

accordance with CARB and SCAQMD guidelines.

 Cost-effectiveness of the project must meet the minimum requirement of the Carl 

Moyer guidelines.

 Project engines or equipment must operate in-service for the full project life. 

 All vehicles/engines/equipment must be in operation no later than May 31, 2018.

 Appropriate annual usage records must be kept and reported to SCAQMD during 

the project life (i.e., annual hours of operation).

 A compliance plan that demonstrates compliance with the off-road regulation

throughout the contract period must be provided.

 Ensure that the project complies with other local, state and federal programs, and 

resulting emission reductions from a specific project are not required as a mitigation 

measure to reduce adverse environmental impacts that are identified in an 

environmental document prepared in accordance with the California Environmental 

Quality Act or the National Environmental Policy Act.

 If requested, a contractor must provide a financial statement and bank reference, or 

other evidence of financial ability to fulfill contract requirements. 
Valid until June 1, 2016, at 1:00 P.M. #PA2016-06

10

DELIVERABLES

The contract will describe how the project will be monitored and what type of information 

will be included in project progress reports. At a minimum, the SCAQMD expects to 

receive the following reports:

1. Quarterly status reports until the vehicle(s) or equipment purchase(s), repower(s), 

or retrofit(s) has been completed and the vehicle(s) is operational. These reports 

shall include a discussion of any problems encountered and how they were 

resolved, any changes in the schedule, and recommendations for completion of the 

project. These progress reports are required before payment for the purchase, 

repower or retrofit will be made.

2. An annual report, throughout the project life, which provides the annual hours of 

operation, where the vehicle(s) or equipment(s) was operated, annual fuel

consumption, and operational and maintenance issues encountered and how they 

were resolved. SCAQMD reserves the right to verify the information provided.

SECTION III: PROPOSAL SUBMITTAL REQUIREMENTS

Proposers must complete the appropriate application forms committing that the 

information requested in Section II, Work Statement/Schedule of Deliverables will be 

submitted if the Proposer’s project is selected for funding. 

In addition, Conflict of Interest and Project Cost information, as described below, must also 

be submitted with the application. It is the responsibility of the proposer to ensure that all 

information submitted is accurate and complete. 

CONFLICT OF INTEREST

Applicant must address any potential conflicts of interest with other clients affected by 

actions performed by the firm on behalf of the SCAQMD. Although the proposer will not be 

automatically disqualified by reason of work performed for such firms, the SCAQMD 

reserves the right to consider the nature and extent of such work in evaluating the 

proposal. Conflicts of interest will be screened on a case-by-case basis by the SCAQMD 

General Counsel’s Office. Conflict of interest provisions of the state law, including the 

Political Reform Act, may apply to work performed pursuant to this contract. Please 

discuss potential conflicts of interest on the application form entitled “Campaign 

Contributions Disclosure”.

PROJECT COST 

Applicants must provide cost information that specifies the amount of funding requested 

and the basis for that request by attaching vendor quotes to the application. Applicants 

need to inform vendors of the time frame of the award process so that they can accurately 

quote costs based on the anticipated order/purchase date. Note that no purchase orders 

may be placed or work performed for projects awarded under this PA until after the 

date of award approval by the SCAQMD Governing Board. Any orders placed or 

payments made in advance of an executed contract with the SCAQMD are done at 
Valid until June 1, 2016, at 1:00 P.M. #PA2016-06

11

the risk of the applicant. The SCAQMD has no obligation to fund the project until a 

contract is fully executed by both parties. 

The SOON Program funds only the differential cost between existing technology 

and low-emission technology. The proposed low-emission technology must be CARBcertified in most cases.

1 Proposals will be ranked by cost-effectiveness on a 

vehicle/equipment-by-vehicle/equipment basis. The cost-effectiveness limit has been 

established at $18,260/ton of emissions reduced. The cost-effectiveness may be changed

depending on the demand for program funds. No fueling infrastructure, administrative or 

operational costs will be funded.

All project costs must be clearly indicated in the application. In addition, applicants must

include any sources of cofunding and the amount of each cofunding source in the 

application. Applicants are cautioned that the project life period used in calculating 

emissions reductions will be used to determine the length of their data reporting 

obligation and the length of their contract. In other words, a project applicant using 

a seven year life for the emissions reduction calculations will be required to operate 

and track activity for the project vehicle for the full seven years. A seven-year life 

(shorter project life will be considered on a case-by-case basis and may be required for 

replacement projects) will be used for all projects subject to #PA2016-06. 

PROPOSAL SUBMISSION

All proposals must be submitted according to specifications set forth herein.

UApplication Forms

Program application forms are provided after this document. These must be completed 

and submitted with other required documents (i.e., Certifications and Representations and 

vendor quotations) discussed in the application and below. 

Certifications and Representations

Contained in Form A-1 of this PA are five forms Uwhich must also be completed and 

submitted with the application. 

Compliance Plan

Projects funded by SOON monies must result in emission reductions that are surplus to 

those that would be realized by fleets complying with the base rule. Fleets are required to 

submit a compliance plan in electronic format to demonstrate how they comply with both 

the base rule as well as the SOON provision of the rule. Fleet owners, at a minimum, must 

provide the following information for each year, 2010 through 2022 inclusive:

 A vehicle list which includes, but is not limited to, vehicle type, manufacturer, model, 

model year, and whether the equipment is included in the base or SOON fleet for 

each piece of equipment in the fleet.

 Information including, but not limited to, calculations, fleet information, etc., showing 

compliance with the base rule fleet target levels or compliance with the BACT 

turnover and retrofit requirements. Either the CARB DOORS calculator (individual 

 

1 Note that non-CARB certified engines/devices requiring an experimental permit from CARB may be 

considered, but the project will require special CARB approval.
Valid until June 1, 2016, at 1:00 P.M. #PA2016-06

12

tabs for each future year) or the Excel SOON fleet calculator spreadsheet may be 

used. 

 Information including, but not limited to, calculations, fleet information, etc., showing 

whether the vehicles funded by the SOON program are in compliance with the 

SOON NOx fleet average target levels.

SOON Compliance Plan documents and the Microsoft Excel SOON fleet calculator can be 

downloaded at the SCAQMD SOON website: www.aqmd.gov/soon

Due Date

The proposer shall submit four (4) complete paper copies of the application and an 

electronic copy (CD or flash drive) of the compliance plan and completed 

application in a sealed envelope, plainly marked in the upper left-hand corner with the 

name and address of the proposer and the words "Program Announcement #PA2016-

06”. Paper applications shall be submitted in an eco-friendly format: stapled, not bound, 

black and white print; no three-ring, spiral or plastic binders, and no card stock or colored 

paper. All proposals must be received no later than U1:00 p.m., on Wednesday, June 1, 

2016. Postmarks are not accepted as proof of deadline compliance. Faxed or emailed 

proposals will not be accepted. Proposals must be directed to:

Procurement Unit

South Coast Air Quality Management District

21865 Copley Drive

Diamond Bar, CA 91765

Any correction or resubmission done by the proposer will not extend the submittal 

due date.

Grounds for Rejection

A proposal may be immediately rejected if:

1. It is not prepared in the format described.

2. It is not signed by an individual authorized to represent the firm.

3. Does not include current cost quotes, Contractor Statement Forms, and other 

forms required in this PA.

Disposition of Proposals

The SCAQMD reserves the right to reject any or all proposals. All responses become the 

property of the SCAQMD. One copy of the proposal shall be retained for SCAQMD files. 

Additional copies and materials will be returned only if requested and at the proposer's 

expense.

Modification or Withdrawal 

Once submitted, proposals cannot be altered without the prior written consent of 

SCAQMD. All proposals shall constitute firm offers and may not be withdrawn for a period 

of ninety (90) days following the last day to accept proposals.
Valid until June 1, 2016, at 1:00 P.M. #PA2016-06

13

SECTION IV: PROPOSAL EVALUATION/CONTRACTOR SELECTION CRITERIA

SCAQMD staff will evaluate all submitted proposals and make recommendations to the 

SCAQMD Governing Board for final selection of project(s) to be funded. Proposals will be 

evaluated based on the cost-effectiveness of emissions reduced on a vehicle/equipmentby-vehicle/equipment basis. Be aware that there is a possibility that due to program 

priorities, cost-effectiveness and/or funding limitations, project applicants may be offered 

only partial funding, and not all proposals that meet minimum cost-effectiveness criteria 

may be funded.

Funding will be awarded based on the cost-effectiveness of each piece of equipment. 

Distribution will be as follows:

1. 75% of total project funding will be awarded to the most cost-effective projects. No 

individual company shall receive more than 10% of this portion of the funding.

2. The remaining 25% of funding will be distributed so that at least one piece of 

equipment per applicant is funded, until funding is expended. If funds are still 

remaining after this distribution, they will be distributed according to costeffectiveness.

In addition, at least 50 percent of the CMP funds must be spent in areas that are most 

significantly impacted by air pollution and are low income or communities of color, or both 

(i.e., receive a disproportionate impact from these factors). CARB issued broad goals and 

left the details of how to implement this requirement to each air agency. SCAQMD uses 

the following method to meet these requirements.

1. All projects must qualify for the CMP by meeting the cost-effectiveness limit of 

$17,720 per ton of emissions controlled.

2. All projects will be evaluated according to the following criteria to qualify for 

disproportionate impact funding:

a. Poverty Level: All projects in areas where at least 10 percent of the population 

falls below the Federal poverty level, based on the year 2000 census data, will 

be eligible to be included in this category

b. PM Exposure: All projects in areas with the highest 15 percent of PM 

concentration will be eligible to be ranked in this category. The highest 15 

percent of PM concentration is 46 micrograms per cubic meter and above, on an 

annual average

c. Toxic Exposure: All projects in areas with a cancer risk of 1,000 in a million and 

above (based on MATES II estimates) will be eligible to be ranked in this 

category.

3. Fifty percent of the available funding from this PA will be allocated among proposals 

located in disproportionately impacted areas. If available funding is not exhausted 

with the outlined methodology, then staff will return to the SCAQMD Governing 

Board for direction. If, on the other hand, funding requests exceed the available 

funding levels, then all qualified projects will be ranked for poverty level, PM and 

toxic exposures. The maximum score will be comprised of 40 percent for poverty 

level and 30 percent each for PM and toxic exposures 
Valid until June 1, 2016, at 1:00 P.M. #PA2016-06

14

4. All the proposals not awarded under the 50 percent disproportional impact funding 

will then be ranked according to cost-effectiveness, with the most cost-effective 

project funded first and then in descending order for each funding category until the 

remainder of the CMP funds are exhausted.

SECTION V: PAYMENT TERMS

For all projects, payment will be made upon installation and commencement of operation 

of the funded equipment for 85% of the submitted repower invoice (80% of the submitted 

replacement invoice) or the contract maximum amount, whichever is less.

CONTACT FOR ADDITIONAL INFORMATION

Questions regarding the content or intent of this PA, procedural matters, sample contract,

the compliance plan worksheet, or locations of workshops can be found at the SOON 

website (http://www.aqmd.gov/home/programs/business/business-detail?title=off-roaddiesel-engines&parent=vehicle-engine-upgrades), or can be addressed to:

Adewale Oshinuga

Science and Technology Advancement

South Coast Air Quality Management District

21865 Copley Drive

Diamond Bar, CA 91765

Phone: (909) 396-2599/Fax: (909) 396-3324
Valid until June 1, 2016, at 1:00 P.M. #PA2016-06

15

Application Forms
General Application Information Page 1 of 22 Form A-1

FORM A-1 - UGENERAL PROJECT INFORMATION 

APPLICATION

All Sections of Form A-1 must be submitted for an application to be deemed complete.

If information does not pertain to your project, please write “NA” on the form and sign it. 

In addition, supplemental forms are required for each piece of requested equipment.

I. APPLICANT INFORMATION

Company name/ Organization name/ Individual name:

Business address (Mailing address): Street: 

City: State: Zip code: 

Contact name and title:

Email: 

Phone: ( ) Fax: ( ) 

Person with contract signing authority (if different from above):

I hereby certify that all information provided in this application and any 

attachments are true and correct.

Printed Name of Responsible Party: Title:

Signature of Responsible Party: Date:

UComplete this section if application was prepared by another person 

I have completed the application, in whole or in part, on behalf of the applicant.

Printed Name: Title:

Signature: Date:

Amount Being Paid for Application Completion 

in Whole or Part: 

Source of funding to 3rd party:

II. FUNDING INFORMATION

Total Number of Equipment Included in Project:

Total Number of Engines Included in Project:

Total Amount of Funding Requested:

$

Total Applicant Cofunding Amount (if any):

$
General Application Information Page 2 of 22 Form A-1

III. GENERAL PROJECT INFORMATION

There are three types of emission reduction projects:

New Purchase - Purchasing a new vehicle or piece of equipment with an engine that is 

cleaner than the current year standard.

Repower - Replacing an existing engine with a new reduced-emission engine.

Retrofit – Installing an ARB-verified emission control system on an in-use engine.

IMPORTANT REMINDER: Only projects that are demonstrated to be surplus to 

California Air Resources Board (CARB) regulations are eligible for CMP (CMP) funding. 

Please ensure your proposed project is eligible prior to submitting an application.

Check the appropriate box(es) below for each type of project and indicate the total 

number of equipment/engines included in your project.

UB. Off-Road Diesel - SOON

U(Please Circle Fleet Size)

Diesel Fleet Size (Total hp): Small < 2,500 Medium 2,501-5,000 Large > 5,000

Equipment Replacement – Total pieces of equipment: 

A supplemental application (Form B-1) must be completed for each piece of new equipment

Repower Only– Total engines to be repowered: 

A supplemental application (Form B-2) must be completed for each engine repower

Repower with NOx Retrofit – Total engines to be repowered/retrofit: 

A supplemental application (Form B-2) must be completed for each engine repower

NOx Retrofit Only – Total engines to be retrofit: 

A supplemental application (Form B-3) must be completed for each retrofit
General Application Information Page 3 of 22 Form A-1

IV. FUNDING DISCLOSURE

Have any engines or vehicles listed in this application been awarded funding from the Air 

Resources Board or another public agency or are any being considered for funding? 

Yes

 No

If “yes”, complete the following for each engine or vehicle: 

Agency applied to:

Date/Number of Agency Solicitation:

Total Funding Amount Requested or Awarded:

$

Amount per Unit Requested or Awarded:

$

Status:

Do you plan to claim a tax credit or deduction for the project vehicle?

Yes

 No

If “yes”, please indicate the estimated tax credit amount to be claimed per vehicle: 

________.
General Application Information Page 4 of 22 Form A-1

UApplication Statement – Please Read and Sign

All information provided in this application will be used by SCAQMD staff to evaluate the eligibility of 

this application to receive program funds. SCAQMD staff reserves the right to request additional 

information and can deny the application if such requested information is not provided by the 

requested deadline. Incomplete or illegible applications will be returned to applicant or vendor, without 

evaluation. An incomplete application is an application that is missing information critical to the 

evaluation of the project. 

 I certify to the best of my knowledge that the information contained in this application is true 

and accurate.

 I understand that all vehicles/equipment, both existing and new, must be made available 

within the SCAQMD boundaries for inspection, unless otherwise approved by SCAQMD’s 

Project Officer.

 I understand that, if awarded funding under the CMP, development and submittal of a 

detailed work statement, with deliverables and schedule is a requirement of the contracting 

process.

 I understand that it is my responsibility to ensure that all technologies are either verified or 

certified by the CARB to reduce NOx and/or PM pollutants. CARB Verification Letters and/or 

Executive Orders are attached, as applicable.

 I understand that it is my responsibility to ensure that the vehicle/equipment to be purchased 

or installed is in compliance with all applicable federal, state, and local air quality rules and 

regulations and that it will maintain compliance for the full Contract term. 

 I understand that off-road equipment applicants subject to CARB’s In-Use Off-Road Diesel 

Vehicle Regulation (Off-Road Regulation must submit information regarding fleet size and 

compliance status. This must include the Diesel Off-Road On-line Reporting System 

(DOORS) ID of the fleet and the DOORS Equipment Identification Number (EIN) of the 

funded equipment. All documentation submitted must be signed and dated by the applicant 

and include language certifying that the fleet list provided is accurate and complete.

 I understand that for SOON repower projects, I am not required to install the highest level 

available verified diesel emission control device (VDECS).

 I understand that there may be conditions placed upon receiving a grant and agree to refund 

the grant (or pro-rated portion thereof) if it is found that at any time I do not meet those 

conditions and if directed by the SCAQMD in accordance with the contract agreement.

 I understand that, for this equipment, I will be prohibited from applying for any other form of 

emission reduction credits for Moyer-funded vehicles/engines, including: Emission Reduction 

Credit (ERC); Mobile Source Emission Reduction Credit (MSERC) and/or Certificate of 

Advanced Placement (CAP), for all time, from the SCAQMD, CARB or any other Air Quality 

Management or Air Pollution Control District.

 The proposed project has not been funded and is not being considered for CMP funds by 

another air district, CARB or any other public agency. 
General Application Information Page 5 of 22 Form A-1

 In the event that the vehicle(s)/equipment do not complete the minimum term of any 

agreement eventually reached from this application, I agree to ensure the equivalent project 

emissions reductions, or to return grant funds to the SCAQMD as required by the contract. 

 I have the legal authority to apply for grant funding for the entity described in this application.

 Disclosure of that value of any current financial incentive that directly reduces the project 

price, including tax credits or deductions, grants, or other public financial assistance for the 

same engine is required. To avoid double counting of incentives, all tax credits or deductions, 

grants, or other public financial assistance must be deducted from the CMP request. I 

understand that third party contracts are not permitted. A third party may, however complete 

an application on an owner’s behalf. Third parties are required to list how much 

compensation, if any, they are receiving to prepare the application(s), and to certify that no 

CMP funds are being used for this compensation. (see below)

 I understand that additional project information must be submitted to finalize a contract. This 

information may be found under Section II: Work Statements/Schedule of Deliverables in the 

PA.

 I understand that all vehicles, engines or equipment funded by this program must be 

operational within eighteen (18) months of contract execution, or by May 31, 2018, whichever 

is earlier.

 I have initialed this bullet to indicate that there are no potential conflicts of interest with 

other clients affected by actions performed by the firm on behalf of the SCAQMD. If this 

bullet is not initialed, I have attached a description to this application of the potential 

conflict of interest, which will be screened on a case-by-case basis by the SCAQMD

General Counsel’s Office. There is no potential conflict of interest: ____________(Please 

initial if applicable, otherwise attach separate sheet describing the potential conflict.)

____________________________________ _____________________

Applicant’s Signature Date

____________________________________ _____________________

Applicant’s Name (please print) Title
General Application Information Page 6 of 22 Form A-1

Please initial each section.

(See #PA2016-06 for additional information and requirements.):

The purchase of this low-emission technology is NOT required by any other local, state, 

and/or federal rule or regulation.

The definitions of qualifying projects are described in #PA2016-06. These definitions 

have been reviewed and this application is consistent with those definitions.

The vehicle/engine will be used within the SCAQMD boundaries (with the emission 

reduction system operating) for at least the projected usage shown in this application, 

and no less than 75 percent of the time.

All project applicants must submit documentation that supports the activity claimed in the 

application (i.e., fuel receipts, mileage logs and/or hour-meter readings covering the last 

two years). This documentation is attached. 

The grant contract language cannot be modified without the written consent of all parties. 

I have reviewed and accepted the sample contact language.

I understand that an IRS Form 1099 may be issued to me for incentive funds received 

under the Moyer Program. I understand that it is my responsibility to determine the tax 

liability associated with participating in the Moyer Program.

I understand that a SCAQMD-funded Global Positioning System (GPS) unit may be 

installed on vehicles/equipment not operating within SCAQMD boundaries full time. I will 

submit data as requested and otherwise cooperate with all data reporting requirements. I 

also understand that the additional cost of the GPS unit will be added to the project cost 

when calculating cost-effectiveness, though the SCAQMD will pay for this system 

directly. 

I understand that the SCAQMD has the right to conduct unannounced inspections for the 

full project life to ensure the project equipment is fully operational at the activity level 

committed to by the contract.

I understand that all emission reductions resulting from funded projects will be retired. 

To avoid double counting of emission reductions, project vehicles and/or equipment may 

not receive funding from any other government grant program that is designed to reduce 

mobile source emissions. 

I understand that a tamper proof, non-resettable digital hour meter/odometer must be 

installed on all vehicles/equipment and that the digital hour meter/odometer will record 

the hours/miles accumulated within the SCAQMD boundaries. This cost is my 

responsibility. 

I understand that any tax credits claimed must be deducted from the CMP request.

Please check one:

 

 I do not plan to claim a tax credit or deduction for costs funded by the CMP. 

 I do plan to claim a tax credit or deduction for costs funded by the CMP.

 If so, please indicate amount here: $______________

 I plan to claim a tax credit or deduction only for the portion of incremental costs not 

funded by the CMP. If so, please indicate amount here: $______________
General Application Information Page 7 of 22 Form A-1

South Coast

Air Quality Management District

21865 Copley Drive, Diamond Bar, CA 91765-4178

(909) 396-2000 • www.aqmd.gov

Business Information Request

Dear SCAQMD Contractor/Supplier:

South Coast Air Quality Management District (SCAQMD) is committed to ensuring that our 

contractor/supplier records are current and accurate. If your firm is selected for award of a 

purchase order or contract, it is imperative that the information requested herein be supplied in a 

timely manner to facilitate payment of invoices. In order to process your payments, we need the 

enclosed information regarding your account. Please review and complete the information 

identified on the following pages, remember to sign all documents for our files, and return 

them as soon as possible to the address below:

Attention: Accounts Payable, Accounting Department

South Coast Air Quality Management District

21865 Copley Drive

Diamond Bar, CA 91765-4178

If you do not return this information, we will not be able to establish you as a vendor. This will 

delay any payments and would still necessitate your submittal of the enclosed information to our 

Accounting department before payment could be initiated. Completion of this document and 

enclosed forms would ensure that your payments are processed timely and accurately.

If you have any questions or need assistance in completing this information, please contact 

Accounting at (909) 396-3777. We appreciate your cooperation in completing this necessary 

information.

Sincerely,

Michael B. O’Kelly

Chief Financial Officer

DH:tm

Enclosures: Business Information Request 

Disadvantaged Business Certification 

W-9

Form 590 Withholding Exemption Certificate

Federal Contract Debarment Certification

Campaign Contributions Disclosure

Direct Deposit Authorization REV 9/15
General Application Information Page 8 of 22 Form A-1

South Coast

Air Quality Management District

21865 Copley Drive, Diamond Bar, CA 91765-4178

(909) 396-2000 • www.aqmd.gov

BUSINESS INFORMATION REQUEST

Business Name

Division of

Subsidiary of

Website Address

Type of Business

Check One:

 Individual 

 DBA, Name _______________, County Filed in _______________

 Corporation, ID No. ________________

 LLC/LLP, ID No. _______________

 Other _______________

REMITTING ADDRESS INFORMATION

Address

City/Town

State/Province Zip

Phone ( ) - Ext Fax ( ) -

Contact Title

Email Address

Payment Name if 

Different

All invoices must reference the corresponding Purchase Order Number(s)/Contract Number(s) if 

applicable and mailed to: 

Attention: Accounts Payable, Accounting Department

South Coast Air Quality Management District

21865 Copley Drive

Diamond Bar, CA 91765-4178
General Application Information Page 9 of 22 Form A-1

BUSINESS STATUS CERTIFICATIONS 

Federal guidance for utilization of disadvantaged business enterprises allows a vendor to be deemed a small business enterprise (SBE), 

minority business enterprise (MBE) or women business enterprise (WBE) if it meets the criteria below. 

 is certified by the Small Business Administration or

 is certified by a state or federal agency or

 is an independent MBE(s) or WBE(s) business concern which is at least 51 percent owned and controlled by minority group 

member(s) who are citizens of the United States.

Statements of certification:

As a prime contractor to SCAQMD, (name of business) will engage in good faith efforts to achieve the fair share in accordance with 

40 CFR Section 33.301, and will follow the six affirmative steps listed below for contracts or purchase orders funded in whole 

or in part by federal grants and contracts.

1. Place qualified SBEs, MBEs, and WBEs on solicitation lists.

2. Assure that SBEs, MBEs, and WBEs are solicited whenever possible.

3. When economically feasible, divide total requirements into small tasks or quantities to permit greater participation by 

SBEs, MBEs, and WBEs.

4. Establish delivery schedules, if possible, to encourage participation by SBEs, MBEs, and WBEs.

5. Use services of Small Business Administration, Minority Business Development Agency of the Department of 

Commerce, and/or any agency authorized as a clearinghouse for SBEs, MBEs, and WBEs.

6. If subcontracts are to be let, take the above affirmative steps.

Self-Certification Verification: Also for use in awarding additional points, as applicable, in accordance with 

SCAQMD Procurement Policy and Procedure:

Check all that apply:

Small Business Enterprise/Small Business Joint Venture Women-owned Business Enterprise

Local business Disabled Veteran-owned Business Enterprise/DVBE Joint Venture

Minority-owned Business Enterprise Most Favored Customer Pricing Certification

Percent of ownership: %

Name of Qualifying Owner(s):

State of California Public Works Contractor Registration No. ______________________. MUST BE 

INCLUDED IF BID PROPOSAL IS FOR PUBLIC WORKS PROJECT.

I, the undersigned, hereby declare that to the best of my knowledge the above information is accurate. Upon 

penalty of perjury, I certify information submitted is factual.

NAME TITLE

TELEPHONE NUMBER DATE
General Application Information Page 10 of 22 Form A-1

Definitions

Disabled Veteran-Owned Business Enterprise means a business that meets all of the following criteria:

 is a sole proprietorship or partnership of which is at least 51 percent owned by one or more disabled veterans, 

or in the case of any business whose stock is publicly held, at least 51 percent of the stock is owned by one or 

more disabled veterans; a subsidiary which is wholly owned by a parent corporation but only if at least 51 

percent of the voting stock of the parent corporation is owned by one or more disabled veterans; or a joint 

venture in which at least 51 percent of the joint venture’s management and control and earnings are held by 

one or more disabled veterans.

 the management and control of the daily business operations are by one or more disabled veterans. The 

disabled veterans who exercise management and control are not required to be the same disabled veterans as 

the owners of the business.

 is a sole proprietorship, corporation, partnership, or joint venture with its primary headquarters office located 

in the United States and which is not a branch or subsidiary of a foreign corporation, firm, or other foreignbased business.

Joint Venture means that one party to the joint venture is a DVBE and owns at least 51 percent of the joint venture. In the case 

of a joint venture formed for a single project this means that DVBE will receive at least 51 percent of the project dollars.

Local Business means a business that meets all of the following criteria:

 has an ongoing business within the boundary of SCAQMD at the time of bid application.

 performs 90 percent of the work within SCAQMD’s jurisdiction.

Minority-Owned Business Enterprise means a business that meets all of the following criteria:

 is at least 51 percent owned by one or more minority persons or in the case of any business whose stock is 

publicly held, at least 51 percent of the stock is owned by one or more minority persons. 

 is a business whose management and daily business operations are controlled or owned by one or more 

minority person.

 is a business which is a sole proprietorship, corporation, partnership, joint venture, an association, or a

cooperative with its primary headquarters office located in the United States, which is not a branch or 

subsidiary of a foreign corporation, foreign firm, or other foreign business. 

“Minority” person means a Black American, Hispanic American, Native American (including American Indian, Eskimo, Aleut, 

and Native Hawaiian), Asian-Indian American (including a person whose origins are from India, Pakistan, or Bangladesh), 

Asian-Pacific American (including a person whose origins are from Japan, China, the Philippines, Vietnam, Korea, Samoa, 

Guam, the United States Trust Territories of the Pacific, Northern Marianas, Laos, Cambodia, or Taiwan).

Small Business Enterprise means a business that meets the following criteria:

a. 1) an independently owned and operated business; 2) not dominant in its field of operation; 3) together with 

affiliates is either:

 A service, construction, or non-manufacturer with 100 or fewer employees, and average annual gross 

receipts of ten million dollars ($10,000,000) or less over the previous three years, or

 A manufacturer with 100 or fewer employees.

b. Manufacturer means a business that is both of the following:

1) Primarily engaged in the chemical or mechanical transformation of raw materials or processed substances 

into new products.

2) Classified between Codes 311000 to 339000, inclusive, of the North American Industrial Classification 

System (NAICS) Manual published by the United States Office of Management and Budget, 2007 edition.
General Application Information Page 11 of 22 Form A-1

Small Business Joint Venture means that one party to the joint venture is a Small Business and owns at least 51 percent of the 

joint venture. In the case of a joint venture formed for a single project this means that the Small Business will receive at least 51 

percent of the project dollars.

Women-Owned Business Enterprise means a business that meets all of the following criteria:

 is at least 51 percent owned by one or more women or in the case of any business whose stock is publicly held, 

at least 51 percent of the stock is owned by one or more women. 

 is a business whose management and daily business operations are controlled or owned by one or more 

women.

 is a business which is a sole proprietorship, corporation, partnership, or a joint venture, with its primary 

headquarters office located in the United States, which is not a branch or subsidiary of a foreign corporation, 

foreign firm, or other foreign business.

Most Favored Customer as used in this policy means that the SCAQMD will receive at least as favorable pricing, warranties, 

conditions, benefits and terms as other customers or clients making similar purchases or receiving similar services. 
General Application Information Page 12 of 22 Form A-1
General Application Information Page 13 of 22 Form A-1
General Application Information Page 14 of 22 Form A-1
General Application Information Page 15 of 22 Form A-1
General Application Information Page 16 of 22 Form A-1

[
General Application Information Page 17 of 22 Form A-1
General Application Information Page 18 of 22 Form A-1
General Application Information Page 19 of 22 Form A-1

CAMPAIGN CONTRIBUTIONS DISCLOSURE

In accordance with California law, bidders and contracting parties are required to disclose, at the time the 

application is filed, information relating to any campaign contributions made to South Coast Air Quality 

Management District (SCAQMD) Board Members or members/alternates of the MSRC, including: the name of the 

party making the contribution (which includes any parent, subsidiary or otherwise related business entity, as defined 

below), the amount of the contribution, and the date the contribution was made. 2 C.C.R. §18438.8(b).

California law prohibits a party, or an agent, from making campaign contributions to SCAQMD Governing Board 

Members or members/alternates of the Mobile Source Air Pollution Reduction Review Committee (MSRC) of more 

than $250 while their contract or permit is pending before SCAQMD; and further prohibits a campaign contribution 

from being made for three (3) months following the date of the final decision by the Governing Board or the MSRC 

on a donor’s contract or permit. Gov’t Code §84308(d). For purposes of reaching the $250 limit, the campaign 

contributions of the bidder or contractor plus contributions by its parents, affiliates, and related companies of the 

contractor or bidder are added together. 2 C.C.R. §18438.5. 

In addition, SCAQMD Board Members or members/alternates of the MSRC must abstain from voting on a contract 

or permit if they have received a campaign contribution from a party or participant to the proceeding, or agent, 

totaling more than $250 in the 12-month period prior to the consideration of the item by the Governing Board or the 

MSRC. Gov’t Code §84308(c). 

The list of current SCAQMD Governing Board Members can be found at SCAQMD website (www.aqmd.gov). The 

list of current MSRC members/alternates can be found at the MSRC website 

(http://www.cleantransportationfunding.org). 

SECTION I. 

Contractor (Legal Name): 

List any parent, subsidiaries, or otherwise affiliated business entities of Contractor:

(See definition below).

SECTION II.

Has Contractor and/or any parent, subsidiary, or affiliated company, or agent thereof, made a 

campaign contribution(s) totaling $250 or more in the aggregate to a current member of the 

South Coast Air Quality Management Governing Board or member/alternate of the MSRC in the 

12 months preceding the date of execution of this disclosure?

 Yes No If YES, complete Section II below and then sign and date the form.

If NO, sign and date below. Include this form with your submittal.

 DBA, Name , County Filed in

 Corporation, ID No.

 LLC/LLP, ID No. 
General Application Information Page 20 of 22 Form A-1

Campaign Contributions Disclosure, continued:

Name of Contributor 

Governing Board Member or MSRC Member/Alternate Amount of Contribution Date of Contribution

Name of Contributor 

Governing Board Member or MSRC Member/Alternate Amount of Contribution Date of Contribution

Name of Contributor 

Governing Board Member or MSRC Member/Alternate Amount of Contribution Date of Contribution

Name of Contributor 

Governing Board Member or MSRC Member/Alternate Amount of Contribution Date of Contribution

I declare the foregoing disclosures to be true and correct.

By:

Title:

Date:

DEFINITIONS

Parent, Subsidiary, or Otherwise Related Business Entity (2 Cal. Code of Regs., §18703.1(d).)

(1) Parent subsidiary. A parent subsidiary relationship exists when one corporation directly or indirectly owns shares 

possessing more than 50 percent of the voting power of another corporation.

(2) Otherwise related business entity. Business entities, including corporations, partnerships, joint ventures and any other 

organizations and enterprises operated for profit, which do not have a parent subsidiary relationship are otherwise related 

if any one of the following three tests is met:

(A) One business entity has a controlling ownership interest in the other business entity.

(B) There is shared management and control between the entities. In determining whether there is shared management 

and control, consideration should be given to the following factors:

(i) The same person or substantially the same person owns and manages the two entities;

(ii) There are common or commingled funds or assets;

(iii) The business entities share the use of the same offices or employees, or otherwise share activities, resources 

or personnel on a regular basis;

(iv) There is otherwise a regular and close working relationship between the entities; or

(C) A controlling owner (50% or greater interest as a shareholder or as a general partner) in one entity also 

is a controlling owner in the other entity.
General Application Information Page 21 of 22 Form A-1

Direct Deposit Authorization

STEP 1: Please check all the appropriate boxes

Individual (Employee, Governing Board Member) New Request

Vendor/Contractor Cancel Direct Deposit

Changed Information

STEP 2: Payee Information

Last Name First Name Middle Initial Title

Vendor/Contractor Business Name (if applicable)

Address Apartment or P.O. Box Number

City State Zip Country

Taxpayer ID Number Telephone Number Email Address

Authorization

1. I authorize South Coast Air Quality Management District (SCAQMD) to direct deposit funds to my account in the financial 

institution as indicated below. I understand that the authorization may be rejected or discontinued by SCAQMD at any time. 

If any of the above information changes, I will promptly complete a new authorization agreement. If the direct deposit is not 

stopped before closing an account, funds payable to me will be returned to SCAQMD for distribution. This will delay my 

payment.

2. This authorization remains in effect until SCAQMD receives written notification of changes or cancellation from you.

3. I hereby release and hold harmless SCAQMD for any claims or liability to pay for any losses or costs related to insufficient 

fund transactions that result from failure within the Automated Clearing House network to correctly and timely deposit monies 

into my account.

STEP 3:

You must verify that your bank is a member of an Automated Clearing House (ACH). Failure to do so could delay the processing of 

your payment. You must attach a voided check or have your bank complete the bank information and the account holder must sign 

below.

To be Completed by your Bank

Staple Voided Check Here

Name of Bank/Institution

Account Holder Name(s)

Saving Checking

Account Number Routing Number

Bank Representative Printed Name Bank Representative Signature Date

Date

ACCOUNT HOLDER SIGNATURE:

For SCAQMD Use Only Input By Date

South Coast

Air Quality Management District

21865 Copley Drive, Diamond Bar, CA 91765-4178

(909) 396-2000 • www.aqmd.gov
 

Page 22 of 22

SOUTH COAST AIR QUALITY MANAGEMENT DISTRICT FORM 2449-CP

21865 Copley Drive, Diamond Bar, CA 91765 Revised 02/06/09

Off-Road Mobile Source (909) 396-2903

http://www.aqmd.gov/tao/implementation/soonprogram.htm

RULE 2449 FLEET COMPLIANCE PLAN

1. COMPANY NAME: 

2. MAILING ADDRESS: 

3. CONTACT PERSON, TITLE, TELEPHONE, EMAIL: 

4. ALTERNATE CONTACT, TITLE, TELEPHONE, EMAIL: 

5. FLEET SUMMARY 

PLEASE PROVIDE DESCRIPTION OF YOUR FLEET AND TYPE OF BUSINESS IT IS IN. 

FLEET DESCRIPTION: 

# OF VEHICLES: # OF ENGINES: ___ DOORS FLEET # ________________

TOTAL HORSEPOWER OF FLEET: ______ 

6. SIGNATURE OF PERSON RESPONSIBLE FOR RULE 2449 COMPLIANCE

I HEREBY CERTIFY, UNDER PENALTY OF PERJURY UNDER THE LAWS OF THE STATE OF CALIFORNIA, THAT ALL 

INFORMATION CONTAINED HEREIN AND INFORMATION SUBMITTED WITH THIS COMPLIANCE PLAN IS TRUE AND 

CORRECT. I ALSO ACKNOWLEDGE THAT THIS PLAN IS BEING PROVIDED TO THE SCAQMD EXECUTIVE OFFICER IN

COMPLIANCE WITH THE SCAQMD RULE 2449. APPROVAL OF THIS COMPLIANCE PLAN IS SUBJECT TO 

VERIFICATION OF INFORMATION SUBMITTED. I UNDERSTAND THAT SCAQMD STAFF MAY REQUIRE ADDITIONAL 

INFORMATION TO PROCESS THIS COMPLIANCE PLAN, AND AGREE TO PROVIDE SUCH INFORMATION. 

SIGNATURE: 

NAME: 

TITLE: 

SIGNED THIS DAY OF 

IN , CALIFORNIA

If you need assistance in preparing the compliance plan,

please call the Off-Road Mobile Source Section at (909) 396-2903.
 

SOUTH COAST AIR QUALITY MANAGEMENT DISTRICT

SOON PROGRAM (FY 15/16)

Off-Road HD – Replacement Page 1 of 3 Form B-1

SCAQMD Use Only: App. #______________ Project 

Type:_________________

FORM B-1 - UOFF-ROAD HEAVY-DUTY

UEQUIPMENT REPLACEMENT

Please complete one form for each piece of equipment. For multiple unit requests, you may submit a 

spreadsheet that provides all requested information below, in the order presented below.

Company name/ Organization name/ Individual name:

Equipment Identifier (Unit # or Company ID): EIN 

Is the vehicle location address the same as the applicant address? Yes No, (please 

provide vehicle address below)

Street Address: 

City: 

Zip Code: 

I. BASELINE (EXISTING) EQUIPMENT INFORMATION

Equipment Type/Function (Diesel): 

(Backhoe, baler, cargo container handling unit, combine, crane, crawler tractor, crushing/processing, excavator, 

forklift, grader, ground support equipment, hydro-power unit, loader, mower, off-highway tractor, off-highway truck, 

paver, paving equipment, roller, rubber-tired dozer, rubber-tired loader, scraper, signal board, skid steer loader, 

sprayer, surfacing equipment, swather, tractor, tiller, trencher, or other.)

Equipment Make: Equipment Model: 

Equipment Model Year: 

Equipment Serial Number or VIN:

Number of Engines on this Equipment:

Main (Front) Auxiliary 

(Rear

II. USAGE/ACTIVITY INFORMATION

Note: Please provide projected annual usage for the new equipment over the proposed life of the project. This 

projection should be based on actual usage data for the baseline equipment. You UMUSTU attach documentation 

supporting the projected annual usage and operation within the District and within California. Supporting 

documentation may be in the form of maintenance records, fuel receipts, hour-meter reports, logs, or other 

paperwork for each piece of baseline equipment covering at least the past 24 months.

Total Annual Hours of Operation: or Gallons of Fuel Used:

If Hours, Does the Equipment Have a Functioning Hour Meter? Yes No

Percent Operation within CA: % Percent Operation within District: %

Project Life: years. Equipment must operate for this full life; this life is equivalent to 

the contract and the reporting term.
Off-Road HD – Replacement Page 2 of 3 Form B-1

III. BASELINE (EXISTING) ENGINE INFORMATION (for each engine)

Main (Front) Engine Auxiliary (Rear) Engine 

Fuel Type: Baseline Engine Make: 

Baseline Engine Model: Baseline Engine Year: 

Engine Serial No.: Baseline Engine Horsepower: 

Baseline Engine Tier: Baseline Engine Family: 

Main (Front) Engine Auxiliary (Rear) Engine 

Fuel Type: Baseline Engine Make: 

Baseline Engine Model: Baseline Engine Year: 

Engine Serial No.: Baseline Engine Horsepower: 

Baseline Engine Tier: Baseline Engine Family: 

Method proposed for rendering the baseline engine(s) inoperable: 

IV. NEW REPLACEMENT EQUIPMENT INFORMATION

Equipment Type/Function: Equipment Make: 

Equipment Model: Equipment Model Year: 

Equipment Serial Number or VIN (If 

available): 

Number of Engines on this Equipment:

Main (Front) Auxiliary (Rear) 

V. NEW REPLACEMENT EQUIPMENT ENGINE INFORMATION (for each engine)

Main (Front) Engine Auxiliary (Rear) Engine 

Fuel Type: New Engine Make: 

New Engine Model: New Engine Year: 

Engine Serial No: New Engine Horsepower: 

New Engine Tier: New Engine Family: 

New Engine CARB Executive Order Number (Attach a copy): 

Main (Front) Engine Auxiliary (Rear) Engine 

Fuel Type: New Engine Make: 

New Engine Model: New Engine Year: 

Engine Serial No: New Engine Horsepower: 

New Engine Tier: New Engine Family: 

New Engine CARB Executive Order Number (Attach a copy): 
Off-Road HD – Replacement Page 3 of 3 Form B-1

VI. FUNDING INFORMATION

New Equipment Cost (incl. tax): $

NOTE: You UMUSTU attach a written estimate or quotation from the equipment vendor documenting the cost of the 

new equipment. This quote must be obtained within 90 days of prior to the closing date of the Program 

Announcement.

Applicant Cofunding Amount (if any): $

Funds Requested: $

New Equipment Vendor: 
 

SOUTH COAST AIR QUALITY MANAGEMENT DISTRICT

SOON PROGRAM (FY 15/16)

Off-Road HD – Repower Page 1 of 4 Form B-2

SCAQMD Use Only: App. #______________ Project 

Type:_________________

FORM B-2 - UOFF-ROAD HEAVY-DUTY EQUIPMENT

URepower Only or Repower/Retrofit

Please complete one form for each piece of equipment. For multiple unit requests, you may submit a 

spreadsheet that provides all requested information below, in the order presented below.

Company name/ Organization name/ Individual name:

Equipment Identifier (Unit # or Company ID): EIN 

Is the vehicle location address the same as the applicant address? Yes No, (please 

provide vehicle address below)

Street Address: 

City: 

Zip Code: 

I. BASELINE (EXISTING) EQUIPMENT INFORMATION

Equipment Type/Function (Diesel): 

(Backhoe, baler, cargo container handling unit, combine, crane, crawler tractor, crushing/processing, excavator, 

forklift, grader, ground support equipment, hydro-power unit, loader, mower, off-highway tractor, off-highway truck, 

paver, paving equipment, roller, rubber-tired dozer, rubber-tired loader, scraper, signal board, skid steer loader, 

sprayer, surfacing equipment, swather, tractor, tiller, trencher, or other.)

Equipment Make: Equipment Model: 

Equipment Model Year: 

Equipment Serial Number or VIN:

Number of Engines on this Equipment:

Main (Front) Auxiliary 

(Rear

II. USAGE/ACTIVITY INFORMATION

Note: Please provide projected annual usage for the new equipment over the proposed life of the project. This 

projection should be based on actual usage data for the baseline equipment. You UMUSTU attach documentation 

supporting the projected annual usage and operation within the District and within California. Supporting 

documentation may be in the form of maintenance records, fuel receipts, hour-meter reports, logs, or other 

paperwork for each piece of baseline equipment covering at least the past 24 months.

 Total Annual Hours of Operation: or Gallons of Fuel Used: 

If Hours, Does the Equipment Have a Functioning Hour Meter? Yes No

Percent Operation within CA: % Percent Operation within District: %

Project Life: years. Equipment must operate for this full life; this life is equivalent to the 

contract and the reporting term.
Off-Road HD – Repower Page 2 of 4 Form B-2

III. BASELINE (EXISTING) ENGINE INFORMATION (for each engine)

Main (Front) Engine Auxiliary (Rear) Engine 

Fuel Type: Baseline Engine Make: 

Baseline Engine Model: Baseline Engine Year: 

Engine Serial No.: Baseline Engine Horsepower: 

Baseline Engine Tier: Baseline Engine Family: 

Main (Front) Engine Auxiliary (Rear) Engine 

Fuel Type: Baseline Engine Make: 

Baseline Engine Model: Baseline Engine Year: 

Engine Serial No.: Baseline Engine Horsepower: 

Baseline Engine Tier: Baseline Engine Family: 

Method proposed for rendering the baseline engine(s) inoperable: 

IV. NEW ENGINE INFORMATION (for each engine)

Main (Front) Engine Auxiliary (Rear) Engine 

Fuel Type: New Engine Make: 

New Engine Model: New Engine Year: 

New Engine Tier: New Engine Horsepower: 

New Engine CARB Executive Order Number 

(Attach a copy): New Engine Family: 

Main (Front) Engine Auxiliary (Rear) Engine 

Fuel Type: New Engine Make: 

New Engine Model: New Engine Year: 

New Engine Tier: New Engine Horsepower: 

New Engine CARB Executive Order Number 

(Attach a copy): New Engine Family: 
Off-Road HD – Repower Page 3 of 4 Form B-2

V. RETROFIT INFORMATION (If Applicable)

NOTE: You UMUSTU attach a copy of the ARB Executive Order for the retrofit device and indicate (circle) on the 

Executive Order Attachment the engine family name for the engine on which the device will be installed.

Main (Front) Engine Auxiliary (Rear) Engine 

Retrofit Device Make: Verified NOx Reduction: %

Retrofit Device Model: Verified PM Reduction: %

Retrofit Family Name: Verified ROG Reduction: %

Verification Level: 

Main (Front) Engine Auxiliary (Rear) Engine 

Retrofit Device Make: Verified NOx Reduction: %

Retrofit Device Model: Verified PM Reduction: %

Retrofit Family Name: Verified ROG Reduction: %

Verification Level: 

VI. FUNDING INFORMATION (ENGINE REPOWER)

Main (Front) Engine Auxiliary (Rear) Engine 

New Engine Cost (incl. tax): $ Installation Cost: $

NOTE: You UMUSTU attach a written estimate or quotation from the equipment vendor documenting the cost of the 

new engine. This quote must be obtained within 90 days of prior to the closing date of the Program Announcement.

Applicant Cofunding Amount (if any): $

Applicant Grant Request Amount: $

New Equipment Vendor: 

Main (Front) Engine Auxiliary (Rear) Engine 

New Engine Cost (incl. tax): $ Installation Cost: $

NOTE: You UMUSTU attach a written estimate or quotation from the equipment vendor documenting the cost of the 

new engine. This quote must be obtained within 90 days of prior to the closing date of the Program Announcement.

Applicant Cofunding Amount (if any): $

Applicant Grant Request Amount: $

New Equipment Vendor: 
Off-Road HD – Repower Page 4 of 4 Form B-2

VII. FUNDING INFORMATION (RETROFIT)

Main (Front) Engine U U Auxiliary (Rear) Engine U U

Retrofit Device Cost (including tax): $

NOTE: You MUST attach a written estimate from the equipment vendor documenting the cost of the device; this 

quote must be obtained within 90 days prior to the closing date of the Program Announcement.

Retrofit Device Installation Cost: 

Retrofit Device Maintenance Cost: 

Applicant Grant Request: $

Retrofit Device Vendor and Installer: 

Main (Front) Engine Auxiliary (Rear) Engine 

Retrofit Device Cost (including tax): $

NOTE: You MUST attach a written estimate from the equipment vendor documenting the cost of the device; this 

quote must be obtained within 90 days prior to the closing date of the Program Announcement.

Retrofit Device Installation Cost: 

Retrofit Device Maintenance Cost: 

Applicant Grant Request: $

Retrofit Device Vendor and Installer:
 

SOUTH COAST AIR QUALITY MANAGEMENT DISTRICT

SOON PROGRAM (FY 15/16)

Off-Road HD – Retrofit Page 1 of 3 Form B-3

SCAQMD Use Only: App. #______________ Project 

Type:_________________

FORM B-3 - UOFF-ROAD HEAVY-DUTY EQUIPMENT

UNOx Retrofit Only

Please complete one form for each piece of equipment. For multiple unit requests, you may submit a 

spreadsheet that provides all requested information below, in the order presented below.

Company name/ Organization name/ Individual name:

Equipment Identifier (Unit # or Company ID): EIN 

Is the vehicle location address the same as the applicant address? Yes No, (please 

provide vehicle address below)

Street Address: 

City: 

Zip Code: 

I. BASELINE (EXISTING) EQUIPMENT INFORMATION

Equipment Type/Function (Diesel): 

(Backhoe, baler, cargo container handling unit, combine, crane, crawler tractor, crushing/processing, excavator, 

forklift, grader, ground support equipment, hydro-power unit, loader, mower, off-highway tractor, off-highway truck, 

paver, paving equipment, roller, rubber-tired dozer, rubber-tired loader, scraper, signal board, skid steer loader, 

sprayer, surfacing equipment, swather, tractor, tiller, trencher, or other.)

Equipment Make: Equipment Model: 

Equipment Model Year: 

Equipment Serial Number or VIN:

Number of Engines on this Equipment:

Main (Front) Auxiliary 

(Rear

II. USAGE/ACTIVITY INFORMATION

Note: Please provide projected annual usage for the new equipment over the proposed life of the project. This 

projection should be based on actual usage data for the baseline equipment. You UMUSTU attach documentation 

supporting the projected annual usage and operation within the District and within California. Supporting 

documentation may be in the form of maintenance records, fuel receipts, hour-meter reports, logs, or other 

paperwork for each piece of baseline equipment covering at least the past 24 months.

 Total Annual Hours of Operation: or Gallons of Fuel Used: 

If Hours, Does the Equipment Have a Functioning Hour Meter? Yes No

Percent Operation within CA: % Percent Operation within District: %

Project Life: years. Equipment must operate for this full life; this life is equivalent to the 

contract and the reporting term.
 

Off-Road HD – Retrofit Page 2 of 3 Form B-3

III. BASELINE (EXISTING) ENGINE INFORMATION (for each engine)

Main (Front) Engine Auxiliary (Rear) Engine 

Fuel Type: Baseline Engine Make: 

Baseline Engine Model: Baseline Engine Year: 

Engine Serial No.: Baseline Engine Horsepower: 

Baseline Engine Tier: Baseline Engine Family: 

Main (Front) Engine Auxiliary (Rear) Engine 

Fuel Type: Baseline Engine Make: 

Baseline Engine Model: Baseline Engine Year: 

Engine Serial No.: Baseline Engine Horsepower: 

Baseline Engine Tier: Baseline Engine Family: 

Method proposed for rendering the baseline engine(s) inoperable: 

IV. RETROFIT INFORMATION (for each engine)

NOTE: You UMUSTU attach a copy of the ARB Executive Order for the retrofit device and indicate (circle) on the 

Executive Order Attachment the engine family name for the engine on which the device will be installed.

Main (Front) Engine Auxiliary (Rear) Engine 

Retrofit Device Make: Verified NOx Reduction: %

Retrofit Device Model: 

Retrofit Family Name: 

Verification Level: 

Retrofit Device Serial #: 

Main (Front) Engine Auxiliary (Rear) Engine 

Retrofit Device Make:

Retrofit Device Model: 

Retrofit Family Name: 

Verification Level: 

Retrofit Device Serial #: 
 

Off-Road HD – Retrofit Page 3 of 3 Form B-3

V. FUNDING INFORMATION

Main (Front) Engine Auxiliary (Rear) Engine 

Retrofit Device Cost (including tax): $

NOTE: You MUST attach a written estimate from the equipment vendor documenting the cost of the device; this 

quote must be obtained within 90 days prior to the closing date of the Program Announcement.

Retrofit Device Installation Cost: 

Retrofit Device Maintenance Cost: 

Applicant Grant Request: $

Retrofit Device Vendor and Installer: 

Main (Front) Engine Auxiliary (Rear) Engine 

Retrofit Device Cost (including tax): $

NOTE: You MUST attach a written estimate from the equipment vendor documenting the cost of the device; this 

quote must be obtained within 90 days prior to the closing date of the Program Announcement.

Retrofit Device Installation Cost: 

Retrofit Device Maintenance Cost: 

Applicant Grant Request: $

Retrofit Device Vendor and Installer: 
Administrative Guidelines Rule 2449 - SOON Program

SCAQMD - 1 - February 2016

SOUTH COAST AIR QUALITY MANAGEMENT DISTRICT

Rule 2449 - SOON Program Administrative Guidelines

February 2016

Deputy Executive Officer

Science and Technology Advancement

Matt Miyasato, Ph.D.

Assistant Deputy Executive Officer

Science and Technology Advancement

Mobile Source Division

Henry Hogo

Program Supervisor

Science and Technology Advancement

Mobile Source Division – Off-Road Section

Adewale Oshinuga

Air Quality Specialist

Science and Technology Advancement

Mobile Source Division – Off-Road Section

Richard Carlson
Administrative Guidelines Rule 2449 - SOON Program

SCAQMD - 2 - February 2016

RULE 2449 – SOON PROGRAM ADMINISTRATIVE GUIDELINES

INTRODUCTION

Title 13, Section 2449 of the California Code of Regulation (CCR), “Emission Standards for 

In-Use Off-Road Diesel-Fueled Fleets,” was adopted by the California Air Resources Board 

(CARB) in July 2007. The regulation requires off-road diesel vehicle fleets to meet 

increasingly more stringent NOx and PM fleet average standards beginning in 2010 to achieve 

NOx and PM2.5 reductions. A provision of this rule (Title 13, CCR, Section 2449.2) allows 

air districts to opt-in and require the largest fleets to apply for funds to meet more stringent 

NOx targets, thereby achieving additional NOx reductions earlier. Emission reductions 

achieved must be surplus to those required from the statewide regulation (Title 13, CCR, 

Section 2449.1).

The opt-in provision is also known as the Surplus Off-road Opt-in for NOx (SOON) program. 

If an air district formally opts-in to the SOON program, it is required to develop administrative 

and funding guidelines that outline additional provisions beyond existing guidelines such as 

the Carl Moyer Memorial Air Quality Standards Attainment Program (Carl Moyer Program) 

necessary to implement the SOON program. Pursuant to Section 2449.2(e)(7), any funding 

awards must be consistent with the Carl Moyer Program. The South Coast Air Quality 

Management District (SCAQMD) has adopted specific policies and procedures to implement 

the Carl Moyer Program. The policies and procedures for the implementation of the Carl 

Moyer Program will serve as the basis for the SOON program. Additional administrative or 

funding guidelines must be developed to implement the SOON Program. At a minimum, the 

additional guidelines must include project selection criteria, co-funding requirements, and 

reporting and monitoring requirements. 

Rule 2449 – Control of Oxides of Nitrogen Emissions from Off-Road Diesel Vehicles, 

incorporates by reference Title 13, CCR, Section 2449.2. The following sets forth additional 

guidelines as required under Title 13, CCR, Section 2449.2 (f)(2). These guidelines will be 

reviewed, at a minimum, on an annual basis, and may be updated to reflect the most recent 

applicable Carl Moyer guidelines or other administrative or funding guidelines approved by 

the District Governing Board. 

GUIDELINES

The guidelines described below are proposed to be in addition to the most current Policies and 

Procedures for the Carl Moyer Program adopted by the SCAQMD Governing Board. Any 

fleet that operates off-road diesel vehicles in the SCAQMD that are subject to Title 13, CCR, 

Section 2449.2(b) must, after April 2, 2009, apply for funding for those off-road vehicles 

operating a majority of the time in the SCAQMD, and the emission reductions must be surplus 

to the provisions of Sections 2449.1, Title 13, CCR. 
Administrative Guidelines Rule 2449 - SOON Program

SCAQMD - 3 - February 2016

A. Vehicle Qualification / Eligibility in SOON Fleet

Pursuant to Title 13, CCR, Section 2449.2(b)(2), a fleet is subject to the SOON requirements 

if it consists of more than 40 percent of Tier 0 and Tier 1 vehicles statewide as of January 1, 

2008, and operates individual vehicles within the district. 

1. Percentage of fleet that is Tier 0 and Tier 1 is based on vehicle number and not 

horsepower. However, calculation of the SOON NOx index and SOON NOx targets 

in section 2449.2 (d)(1)(B) and 2449.2 (d)(1)(C) will be based on each engine. For 

example if a vehicle has two engines then the NOx Index and NOx target calculations 

will be determined using each engine separately and not as the total horsepower 

combined.

Operated within the district is defined [Title 13, CCR, Section 2449.2(c)(2)] as a vehicle 

that currently operates in the district and for the three years immediately preceding the 

SCAQMD SOON program announcement deadline, operated more than 100 hours 

annually, and operated more hours within the boundaries of the SCAQMD than any other 

air district

2. t.

o Currently operates is defined as having operated or will operate in the 

SCAQMD during the year immediately preceding the active SOON program 

announcement deadline.

o Operated more hours within the SCAQMD’s boundaries than in any other 

district means that the total number of hours operated in the AQMD’s 

boundaries in the three years immediately preceding the active SOON 

program announcement deadline are greater than the total hours operated over 

the same timeframe within any other single district’s boundaries. 

3. Pursuant to Section 2449.2(d)(2) fleets with a statewide maximum horsepower (hp)

less than or equal to 20,000 (hp) are not subject to the SOON provisions, but may 

apply for SOON funding if they do not meet the SOOn NOx targets. 

4. Pursuant to Section 2449.2 (e)(8), fleets with vehicles that qualify for inclusion in the 

SOON program but are planning to move vehicles out of the SCAQMD such that the 

vehicles will not operate enough hours in the SCAQMD to qualify for SOON 

funding, are not required to include such vehicles in meeting the NOx index 

calculation in Section 2449.2 (d)(1)(B), the NOx target rate calculation in Section 

2449.2 (d)(1)(C), and the application for funding requirements of the SOON program. 

The vehicle must meet all requirements of Section 2449.2 (e)(8) to qualify for this 

provision.

5. 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.
Administrative Guidelines Rule 2449 - SOON Program

SCAQMD - 4 - February 2016

B. Compliance Plan Requirements

Title 13, CCR, Section 2449.2(e)(3), requires fleets applying for SOON funding to submit a 

compliance plan in addition to their application. The compliance plan must describe actions 

the fleet must take to meet the fleet average and BACT requirements of the statewide regulation 

(Title 13, CCR, Section 2449.1)and actions to meet the more stringent SOON NOx fleet 

targets. SCAQMD would review and provide its initial approval within 45 days after a plan is 

deemed complete. (CARB has a separate approval process, which the SCAQMD would work 

with CARB to obtain CARB’s approval in a timely manner.) Information that must be 

submitted as part of the compliance plan includes:

1. Fleet Information –

a. Information required as part of Title 13, CCR, Section 2449(g)(1)(B), for each 

vehicle and includes: 

o Vehicle type;

o Vehicle manufacturer;

o Vehicle model;

o Vehicle model year;

o Vehicle serial number;

o If vehicle is permanent or year-by-year low use, specialty, dedicated 

emergency, dedicated snow removal, or is used for agricultural operations for 

over half of its annual operating hours;

o For each engine that propels the vehicle, the engine manufacturer, USEPA 

certified engine family (if any), engine serial number, engine model year 

and/or production year, engine maximum horsepower (net horsepower, or net 

flywheel horsepower as certified by the Society of Automotive Engineers 

(SAE), or if this is not readily available, a horsepower on the label of the 

engine, or in the service literature for the engine can be used), or estimate the 

horsepower by multiplying the power take off by 120 percent, type of retrofit 

emission control (if any), date installed, and its verification level.

o Whether the vehicle has been retrofit, repowered, or replaced with SOON 

funding, and if so, the start and end of dates of the contract period.

b. Information necessary to demonstrate eligibility for vehicles subject to SCAQMD 

SOON provisions:

o Percentage of Tier 0 and Tier 1 equipment as of January 1, 2008

o Total fleet horsepower subject to CARB regulation

o Vehicle operational time and location for past three (3) years

o Whether the vehicle is scheduled to leave the SCAQMD, and if so, the 

appropriate statement under penalty of perjury stating the fleet’s intent to 

move the vehicle out of the SCAQMD. 

c. If credit will be taken for early repowers, retirements, or retrofits for the purpose 

of complying with the statewide rule, fleet information must be submitted from 

the year of the earliest action to the current year for all vehicles used to generate 

the early credits.
Administrative Guidelines Rule 2449 - SOON Program

SCAQMD - 5 - February 2016

2. Fleet Actions –

Sufficient information must be supplied in the compliance plan detailing actions 

planned or taken on each piece of equipment in a fleet to meet the statewide 

requirements as well as the actions necessary to meet the SOON NOx targets. As the 

SOON NOx targets are set for every 3 years (2011, 2014, 2017, 2020, 2023), 

additional actions taken each year from the current year to the next two future 

applicable SOON NOx target date must be identified (e.g., if the compliance plan is 

being prepared for the year 2008, the plan must cover years through 2014). If credit 

will be taken for early repowers, retirements, or retrofits, fleet actions taken before 

the current year must be submitted for all vehicles used to generate the early credits. 

Information must include for each year and each vehicle:

o Action taken – retire, replace, repower, or retrofit

o For replacement, all information listed in Section 2449 (g)(1)(B) for the new 

vehicle

o For repower, information about the new engine including engine 

manufacturer, engine family (if any), engine serial number, engine model 

year, engine maximum power, type of retrofit emission control equipment 

installed (if any), date installed and its verification level.

o For retrofit, type of retrofit emission control equipment, and verification level.

C. SOON Application Requirements

1. Application -

Pursuant to Section 2449.2(d)(1)(D) a fleet must apply for sufficient funding to 

repower, replace, or retrofit vehicles so that the SOON portion of the fleet (all 

vehicles in the fleet that operated within the district) will meet or exceed the 

applicable fleet NOx target if all projects were funded. The application and all 

necessary information needed as part of the application are explained in the program 

announcement. Information required includes:

o Contact information

o Vehicle information (make, model, model year, etc.)

o Project life (ranges3 to 10years)

o Project type 

o Vehicle activity information (i.e. fuel usage, hours of operation)

o Cost information (including vendor quotes)

2. High Priority Request -

Pursuant to Title 13, CCR, Section 2449.2 (d)(1)(D), fleets must designate for each 

SOON program project application whether they wish the project to receive high 

priority for funding. 

3. Annual Hours of Operation -

A project’s annual hours of operation will be equal to the average of the operating 

hours in the SCAQMD over the two years immediately preceding the active SOON 

program announcement deadline. The hours the vehicle operated in the SCAQMD 
Administrative Guidelines Rule 2449 - SOON Program

SCAQMD - 6 - February 2016

will be used to calculate the project cost effectiveness as well as the subsequent 

requirement of minimum operating time in the district should the project receive 

funding. For example, should a vehicle operate on average for the past three years 

400 hours each in two other air districts and 500 hours in the SCAQMD that vehicle 

would qualify for the SCAQMD SOON program, but only for the 500 hours it 

averages in the SCAQMD. The vehicles cost-effectiveness would be evaluated on 

the 500 hours, and should the vehicle receive funding, it would be required to operate 

on the average, 70% of its 500 hours or 350 hours annually in the SCAQMD for the 

life of the project.

D. Operational Requirements

1. Contract duration –

Minimum contract duration or project life ranges between three (3) to ten (10) years 

unless otherwise noted in the program announcement.

E. Project Award

The first 75% of the available funding will be awarded strictly on cost-effectiveness criteria. 

A $5,000 per ton of NOx reduced cost-effectiveness value will be used as the benchmark. 

Most projects are expected to be below this benchmark (i.e. will be more cost-effective). 

However, projects at higher cost-effectiveness values can still be funded as long as they are 

below the cost-effectiveness cap mandated by the applicable Moyer Guidelines. The 

remaining 25% will be distributed to the most cost-effective project presented by each fleet 

with the goal of funding at least one project per fleet. The funding will be distributed beginning 

with the most cost-effective projects presented by a fleet not having received funding in the 

first round and requesting high priority for the projects until the 25% of the funding is all 

awarded. If funding is still available after all fleets have at least one project funded, the 

remaining funds will go to the next most cost-effective projects available from all of the fleets. 

At no time will a fleet receive more than 10% of the available SOON funding. All other 

criteria being equal, projects greater than 250 horsepower will receive funding before projects 

less than 250 horsepower.

F. Co-funding

Most SOON projects are expected to be repowers to Tier 3 engines or cleaner. SOON repower 

projects will be funded at the full incremental cost of the repower which will require the project 

owner to co-fund 15% of the cost of the repower with the SOON program providing 85% of 

the repower costs. The exception to this requirement is where it could reasonably be 

determined that the fleet would not have incurred the rebuild cost (e.g. the replaced engine was 

recently rebuilt). For the purpose of this provision, a rebuild refers to a rebuild of an engine 

or engine system, including a major overhaul in which you replace the engine’s pistons or 
Administrative Guidelines Rule 2449 - SOON Program

SCAQMD - 7 - February 2016

power assemblies or make other changes that significantly increase the service life of the 

engine. It may also include replacing or rebuilding an engine’s turbocharger or after cooler or 

the engine’s systems for fuel metering or electronic control so to significantly increase the 

service life of the engine. The following maintenance does not constitute a rebuild: 

(1) Scheduled emission-related maintenance during the useful life period (such as replacing 

fuel injectors).

(2) Unscheduled maintenance that occurs commonly within the useful life period. For 

example, replacing a water pump is not rebuilding an engine.

If the engine rebuild was completed in the 12 months prior to the contract date, the grantee 

must provide the SCAQMD with documentation of the rebuild to qualify for this provision. 

Rebuild documentation may include, but is not be limited to, dated work orders, sale invoices 

for parts, and/or maintenance records. For engine rebuilds completed in the 13 to 36 months 

prior to the contract date, the grantee must provide the SCAQMD with documentation of the 

rebuild and documentation that grantee’s normal business practice is to rebuild on an interval 

equal to or greater than the contract project life plus the time since last rebuild to qualify for 

this provision. Documentation for extended rebuild intervals includes, but is not limited to, 

historical maintenance records for the equipment or fleet policy on rebuild intervals. Engine 

rebuilds completed more than 36 months prior to contract date are not considered “recent” and 

do not qualify for this provision. 

G. Vehicle Replacement

The maximum funding amount for eligible SOON replacement projects shall be the 

same as the funding level provided in the most recent CARB approved version of the 

Carl Moyer Guidelines for off-road equipment replacement projects.