G-1 

Appendix G: 

Implementation and Enforcement 
 G-2 

Appendix G: Implementation and Enforcement 

A. Implementation 

If adopted, ARB would need to take the following actions to implement the proposed 

regulation. 

• Develop an outreach program to inform drivers, motor carriers, California-based 

brokers, tractor and trailer owners, and California-based shippers about the 

adopted regulation and any financial assistance or incentive programs that may 

be available. 

• Develop guidance documents for the regulation and its compliance schedules. 

• Develop a web-based tractor and trailer registry, which would be primarily used 

for compliance schedule reporting, but would also be available for voluntary 

compliance reporting. 

• Develop databases and programming that would allow both enforcement 

personnel and the public to access compliance information about registered 

vehicles. 

• Develop forms for compliance schedule reporting. 

• Set up the existing 1-800-END-SMOG telephone line to receive both questions 

about the proposed regulation and complaints about regulatory violations. 

• Develop an enforcement action plan. 

• Develop settlement guidance for violation penalties. 

• Develop an enforcement training program for peace officers and local air 

pollution control districts. 

• Develop an audit procedure for the compliance schedules. 

B. Enforcement 

In addition to ARB’s enforcement staff, the proposed regulation would also give 

enforcement authority to peace officers and local air pollution control districts. Staff 

envisions the proposed regulation could be enforced in the following ways: 

• ARB’s enforcement personnel would be able to verify compliance with the 

proposed regulation during roadside inspections conducted as part of the 

Heavy-Duty Vehicle Inspection Program. 

• ARB’s enforcement personnel would be able to verify compliance with the 

proposed regulation during audits conducted as part of the Periodic Smoke 

Inspection Program. These audits are typically conducted at vehicle storage 

facilities where numerous vehicles can be inspected in one visit. 

• Although ARB’s enforcement personnel would continue responding to air quality 

complaints, peace officers and local air pollution control districts could also 

handle complaints pertaining to the proposed regulation. 
 G-3 

• At their own discretion, peace officers and local air pollution control districts could 

also enforce the proposed regulation as part of their daily duties. 

The discovery of a violation could lead to more in-depth fleet-wide audits and targeted 

inspections, if deemed necessary by enforcement personnel. 

ARB’s enforcement personnel would also have the option to conduct comprehensive 

compliance audits of fleets that elect to participate in one of the two optional trailer fleet 

compliance schedules. By choosing to comply with an optional trailer fleet compliance 

schedule, a trailer owner would be agreeing to allow authorized enforcement personnel 

to conduct periodic audits of both vehicles and records. If an owner were found in 

violation of the proposed regulation, ARB would be able to terminate the owner’s 

participation in an optional trailer fleet compliance schedule, which may substantially 

accelerate the fleet’s compliance timeline. Therefore, ARB’s audit authority would 

encourage most participants to keep their fleet in compliance with the requirements of 

the proposed regulation. 

Under the proposed regulation, enforcement efforts would be primarily directed at 

drivers, motor carriers, tractor owners, and trailers owners. Therefore, if a noncompliant 

tractor or trailer were found operating on a California highway, the driver, motor carrier, 

and tractor or trailer owner, as applicable, would receive a notice of violation (NOV). 

Although California-based shippers and brokers would not initially be held responsible 

for a noncompliant tractor and trailer, the proposed regulation could be enforced on 

them in situations involving a motor carrier, tractor owner, or trailer owner that has failed 

to settle a previously-issued NOV. The enforcement strategy applicable to 

California-based shippers and brokers is explained in more detail below. 

Since California-based shippers and brokers are not typically responsible for the 

tractors and trailers they use, they would not initially be held liable for tractors and 

trailers found in violation. However, enforcement action could be taken on a Californiabased shipper or broker in situations meeting the following criteria: 

1. The shipper or broker is involved in a shipment where the tractor or trailer is 

found operating in violation of the proposed regulation, and 

2. The motor carrier, tractor owner, or trailer owner involved in the shipment has an 

unsettled NOV that was issued for a previous shipment in which the shipper or 

broker was also involved, and 

3. The shipper or broker has received a notification from ARB regarding the 

delinquent status of the motor carrier, tractor owner, or trailer owner. 

The primary intent of this strategy is to ensure that out-of-state motor carriers, tractor 

owners, and trailer owners also comply with the proposed regulation. Historically, it has 

been very time consuming and costly to collect penalties from unresponsive out-of-state 

fleets. This is because the State has no authority to hold the registrations of out-of-state 
 G-4 

registered vehicles, and limited authority to hold the vehicles themselves. Therefore, if 

an out-of-state registered fleet refuses to settle an NOV, it is currently necessary, in 

many cases, for the State of California to file a lawsuit against that fleet in their state of 

residence to collect any penalties. However, under the strategy of the proposed 

regulation, staff expects that most motor carriers, tractor owners, and trailer owners, 

including those domiciled out-of-state, would choose to settle their NOVs in order to 

avoid any potential detriment to their relationships with California-based shippers and 

brokers. Ensuring that out-of-state fleets are treated the same as California-registered 

fleets with respect to enforcement would provide an equitable playing field for those 

doing business in California. 

Under the proposed strategy, ARB would notify all affected California-based shippers 

and brokers involved in a shipment for which an NOV was issued to the motor carrier, 

tractor owner, or trailer owner. This notification would be provided for informational 

purposes only. If, however, the violating motor carrier, tractor owner, or trailer owner, 

were to fail to settle the NOV within the permitted time period, ARB would then send a 

second notification to affected shippers and brokers notifying them that, until the NOV is 

settled, they could also be held liable for future violations involving the delinquent motor 

carrier, tractor owner, or trailer owner. Staff believes that shippers would have three 

options after receiving this notification: 

1. They could implement a written agreement that would pass on the cost of any 

penalties to the motor carrier, tractor owner, or trailer owner. 

 

2. They could begin inspecting tractors and trailers prior to loading. 

3. They could use a different motor carrier, tractor owner, or trailer owner for their 

transportation needs. 

Because the proposed regulation was developed pursuant to AB 32, any violation would 

be subject to the penalties set forth in Article 3 (commencing with Section 42400) of 

Chapter 4 of Part 4 of Division 26 of the California Health and Safety Code.