Report on Reductions Achieved from Incentive-Based

Emission Reduction Measures in the San Joaquin Valley 

APPENDIX C: 2011 Carl Moyer Memorial Air Quality

Standards Attainment Program Guidelines

Release Date: September 22, 2014

Hearing Date: October 23, 2014

California Environmental Protection Agency 

Air Resources Board
THE CARL MOYER PROGRAM 

GUIDELINES

Approved Revisions 2011

 

 

Approved by the Board: April 28, 2011

Release Date: July 11, 2014
 

In Memory of Dr. Carl Moyer 

(1937 - 1997) 

This program is named in honor of the late Dr. Carl Moyer, 

whose extraordinary dedication, hard work, vision and 

leadership made this program possible. He created and 

masterminded this program, in a noble effort to unite 

business and government in the name of public interest to 

improve California’s air quality. 

This update was a collaborative effort and has benefited from the valuable contributions 

of the participating air districts and all other stakeholders. The ARB appreciates the 

considerable efforts of air district staff both in the development of these guidelines as 

well as the day-to-day implementation of the Carl Moyer Program. 

Disclaimer 

Publication does not signify that the content reflects the views and policies of the 

California Air Resources Board, nor does the mention of trade names or commercial 

products constitute endorsement or recommendation for their use.
EXECUTIVE SUMMARY 

Since 1998, the Carl Moyer Memorial Air Quality Standards Attainment Program 

(Carl Moyer Program) has filled a critical niche in California’s strategy to achieve clean 

air. The Carl Moyer Program provides funding to encourage the voluntary purchase of 

cleaner-than-required engines, equipment, and emission reduction technologies. While 

regulations continue to be the primary means to reduce air pollution emissions, the Carl 

Moyer Program plays a complementary role to California’s regulatory program by 

funding emission reductions that are surplus, i.e., early and/or in excess of what is 

required by regulation. The Carl Moyer Program accelerates the turnover of old highlypolluting engines, speeds the commercialization of advanced emission controls, and 

reduces air pollution impacts on environmental justice communities. Emission 

reductions achieved through the Carl Moyer Program are an important component of 

the California State Implementation Plan, the State’s federally-required plan to meet the 

ambient air standards. 

In its first 12 years, the Carl Moyer Program provided over $680 million in state and 

local funds to clean-up over 24,000 engines. This reduced about 100,000 tons of ozone 

precursor pollutants, which include oxides of nitrogen (NOx) reactive organic gases 

(ROG), and 6,000 tons of toxic diesel particulate matter (PM) throughout California. . 

For fiscal year 2010/2011, approximately $69 million of State funding is available 

through the Carl Moyer Program, with an additional $50 million of local funds that can 

be spent on similar projects. 

The Carl Moyer Program is implemented through a partnership between the California 

Air Resources Board (ARB) and local California air pollution control/air quality 

management districts (air districts). The Health & Safety Code directs ARB to oversee 

the Carl Moyer Program by managing program funds; developing and revising 

guidelines, protocols, and criteria for covered vehicle projects; and determining 

methodologies used for evaluating project cost-effectiveness. ARB also distributes 

State funds to participating air districts for program implementation each year. Air 

districts follow the Carl Moyer Program Guidelines (Guidelines) to select, fund, and 

monitor specific clean air projects in their areas. 

These Guidelines spell out basic requirements for administrative procedures, eligibility 

criteria for projects in different source categories, cost-effectiveness criteria, and 

reporting practices. The Guidelines also include requirements for administering the 

Voucher Incentive Programs and the Agricultural Assistance Program. While the 

Guidelines incorporate criteria specified in State law and provide basic standards for 

program implementation, air districts may impose additional and/or more stringent 

criteria in order to tailor their programs to meet local needs (except in the Voucher 

Incentive Programs). This affords air districts with considerable flexibility in Carl Moyer 

Program implementation while ensuring the proper and responsible use of State funds. 

As a result of the current economic climate, ongoing implementation of existing 

regulations, and changes mandated by statute, stakeholders have asked ARB to 
consider changes to allow greater flexibility and expand opportunities to fund emissions 

reduction projects. Through public workshops, workgroup meetings, and the advisory 

group chaired by ARB Board Member Sandra Berg, staff has taken this valuable input 

and used it to develop the proposed revisions in this document. 

The staff’s proposal increases eligibility for funding of projects to achieve surplus 

emissions reductions and streamlines the administrative processes while adhering to all 

statutory requirements. Staff’s proposal includes the addition of two new source 

categories: Emergency Vehicles (Fire Apparatus) and Lawn and Garden Equipment 

Replacement. In addition, the proposed Guidelines include a new Off-Road Voucher 

Incentive Program, a streamlined Off-Road Equipment Replacement Program, and a 

revised methodology for determining surplus emission reductions. Finally, the proposed 

2011 Guidelines also incorporate changes that have been previously approved under 

the Executive Officer’s authority granted by the Board, such as the inclusion and 

modifications of the Voucher Incentive Programs, providing additional flexibility in the 

replacement programs, streamlining administrative requirements, and include 

legislatively directed updates. 

These 2011 Guidelines affect Carl Moyer Program projects beginning with those funded 

with fiscal year 2011/2012 funds. Air districts may also opt to utilize these Guidelines 

for projects funded with fiscal year 2010/2011 funds. 

Over the years, the Carl Moyer Program has played a crucial role by offering financial 

incentives for companies to reduce emissions by upgrading engines and equipment 

sooner than required by regulations. The revisions presented in this latest version of 

the Guidelines look to adapt to new challenges facing businesses and public agencies. 

Looking ahead, ARB will continue to monitor the effectiveness of the Carl Moyer 

Program, including listening to stakeholder feedback, while recognizing that the health 

of our society, the changes in our economy, and the need to improve air quality are 

inseparable. 
TABLE OF CONTENTS

EXECUTIVE SUMMARY 

PART I – CARL MOYER PROGRAM GUIDELINES: Program Overview and Project 

Criteria 

Chapter 1 Program Overview 

Chapter 2 General Criteria 

Chapter 3 Program Administration 

Chapter 4 On-Road Heavy-Duty Vehicles 

Chapter 5 On-Road Heavy-Duty Vehicles Fleet Modernization 

Chapter 6 Emergency Vehicles (Fire Apparatus) 

Chapter 7 Off-Road Compression-Ignition Equipment 

Chapter 8 Off-Road Large Spark-Ignition Equipment 

Chapter 9 Off-Road Equipment Replacement 

Chapter 10 Portable and Stationary Agricultural Sources 

Chapter 11 Locomotives 

Chapter 12 Marine Vessels 

Chapter 13 Light-Duty Vehicles

Chapter 14 Lawn and Garden Equipment Replacement 

Appendices 

Appendix A Acronyms 

Appendix B Definitions 

Appendix C Cost-Effectiveness Calculation Methodology 

Appendix D Tables for Emission Reduction and Cost-Effectiveness Calculations 

Appendix E Description of Certification and Verification Executive Orders 

Appendix F Chapter References 

Appendix G Cost-Effectiveness Limit and Capital Recovery Factors 

 

PART II – VOUCHER INCENTIVE PROGRAM GUIDELINES 

On-Road Voucher Incentive Program 

Off-Road Voucher Incentive Program 

PART III – AGRICULTURAL ASSISTANCE PROGRAM 
THE CARL MOYER PROGRAM GUIDELINES 

PART I of III 

PROGRAM OVERVIEW AND PROJECT CRITERIA 
As of 4/28/2011 1 - 1 PROGRAM OVERVIEW 

Chapter 1: PROGRAM OVERVIEW 

The Carl Moyer Memorial Air Quality Standards Attainment Program 

(Carl Moyer Program) is a grant program that funds the incremental cost of cleanerthan-required engines, equipment, and other sources of air pollution. Although air 

pollution regulations have significantly reduced emissions and improved air quality 

across the State, many areas of California continue to experience unhealthy air. The 

Carl Moyer Program complements California’s regulatory program by providing 

incentives to obtain early or extra emission reductions, especially from emission 

sources in environmental justice communities and areas disproportionately impacted by 

air pollution. Although the Carl Moyer Program has grown in scope, it retains its primary 

objective of obtaining cost-effective and surplus emission reductions to be credited 

toward California’s legally-enforceable obligations in the State Implementation Plan 

(SIP) – California’s road map for attaining the health-based national ambient air quality 

standards. 

These 2011 Carl Moyer Program Guidelines (Guidelines) update the program to 

respond to stakeholder feedback, the downturn in the economy, more current technical 

information, and new regulatory requirements for vehicles, equipment, engines, and 

other pollution sources in California. In addition, the administrative procedures have 

been clarified and streamlined for easier use by the implementing local air pollution 

control and air quality management districts (air districts). Overall, in order to increase 

eligibility for projects, staff has modified source category requirements and revised the 

methodology for determining if projects result in surplus emission reductions. This 

includes two new source categories being added to the Carl Moyer Program: 

Emergency Vehicles (Fire Apparatus) and Lawn and Garden Replacement, and the 

development of two Voucher Incentive Programs (VIP) to help streamline the existing 

on-road and off-road replacement programs. Where appropriate, the Guidelines 

coordinate the Carl Moyer Program with the Goods Movement Emission Reduction 

Program, a bond program created by voter-approved Proposition 1B in 2006 that covers 

some of the same sources as the Carl Moyer Program. 

These 2011 Guidelines affect Carl Moyer Program projects beginning with those funded 

with fiscal year 2011/2012 funds. Air districts may also opt to utilize these Guidelines 

for projects funded with fiscal year 2010/2011 funds. The revised cost-effectiveness 

limit and capital recovery factors may be used by air districts once the Air Resources 

Board (ARB or Board) adopts the 2011 Guidelines, but must be used after July 1, 2011. 

As required per statute, ARB will annually update the cost-effectiveness limit and capital 

recovery factors. 

A. Background 

Since 1998, the Carl Moyer Program has provided grants to encourage the owners of 

diesel engines to go beyond regulatory requirements by retrofitting, repowering, or 

replacing their engines with newer and cleaner ones. The Carl Moyer Program has 

been a successful and popular air pollution program. In its first 12 years, the 

Carl Moyer Program provided over $680 million in State and local funds to clean-up 
As of 4/28/2011 1 - 2 PROGRAM OVERVIEW 

over 24,000 engines. This reduced about 100,000 tons of ozone precursor pollutants, 

which include oxides of nitrogen (NOx) reactive organic gases (ROG), and 6,000 tons of 

toxic diesel particulate matter (PM) throughout California. For fiscal year 2010/2011, 

approximately $69 million of State funding is available through the Carl Moyer Program, 

with an additional $50 million of local funds that can be spent on similar projects. 

The Carl Moyer Program has been successfully implemented through the cooperative 

efforts of the ARB and the air districts. The Health and Safety Code directs ARB to 

oversee the Carl Moyer Program by managing program funds; developing and revising 

guidelines, protocols, and criteria for covered vehicle projects; and determining 

methodologies used for evaluating project cost-effectiveness. ARB also distributes 

State funds to participating air districts for program implementation each year. Air 

districts follow the Guidelines to select, fund, and monitor specific clean air projects in 

their areas. The air districts, following the criteria approved in the Board approved 

Guidelines, provide grants to public and private entities for the incremental cost of 

cleaner-than-required engines and/or equipment. 

Air districts enjoy considerable flexibility in implementing the Carl Moyer Program. Air 

districts may focus their funds on specific project categories in order to coordinate with 

other incentive funds or local funds. This flexibility allows air districts to tailor the use of 

Carl Moyer Program funds to meet local air quality objectives while still ensuring the 

proper and responsible use of State funds. 

1. Program History 

The Carl Moyer Program was created in 1998 when $25 million was included in the 

fiscal year 1998-1999 State budget to fund a lower-emission heavy-duty engine 

incentive program. The ARB adopted the first set of Carl Moyer Program Guidelines 

in early 1999, and legislation (Assembly Bill (AB) 1571) enacted in 1999 formally 

established the statutory framework for the program (Health & Safety Code § 44275, 

et seq). The program initially focused on reducing NOx emissions from heavy-duty 

diesel engines in order to implement a strategy in the 1994 California SIP for ozone 

that called for the early introduction of cleaner engines. The scope of the program 

has expanded over the years with statutory changes adding both new covered 

pollutants and new source categories. 

Legislation enacted in 2001 (AB 1390) required air districts with a population of over 

1 million to expend 50 percent of Carl Moyer Program funds for projects that operate 

or are based in environmental justice areas (Health & Safety Code § 43023.5). 

Legislation enacted in 2004 (AB 923 and Senate Bill (SB) 1107) provided increased 

and continued funding through 2015 while significantly expanding the Carl Moyer 

Program. AB 923 expanded the Carl Moyer Program to include light-duty vehicle 

projects and agricultural sources of air pollution as defined in Health and Safety 

Code section 39011.5(a). AB 923 also expanded the Carl Moyer Program from a 

NOx focused incentive program to include projects that also reduce reactive organic 
As of 4/28/2011 1 - 3 PROGRAM OVERVIEW 

gases and fine particulate matter (PM10). This change allows the Carl Moyer 

Program to more comprehensively address all of California’s air pollution challenges, 

including the air toxic risk associated with emissions from diesel engines. Additional 

legislation enacted in 2004 (AB 1394) directed ARB to include in the Carl Moyer 

Program heavy-duty fleet modernization projects that reduce NOx and/or PM10

emissions through the replacement of old trucks. 

Legislation enacted in 2005 (SB 467) required ARB to revise the Carl Moyer 

Program Guidelines to include projects in which an applicant turns in off-road 

equipment powered by internal combustion engines and replaces that equipment 

with new zero-emission technologies. 

Legislation enacted in 2006 (SB 225) provides additional resources for program 

administration to address the expansion of the program. This legislation increased 

allowable expenditures for air districts’ program administration from 2 percent of 

program funds for outreach to 5 percent for air districts with one million or more 

inhabitants and to 10 percent for those with less than one million inhabitants. ARB 

retains 4 percent of program funds for outreach, oversight, and administration. 

These additional resources enabled ARB and the air districts to improve program 

accessibility, efficiency and accountability. 

Legislation enacted in 2009 (SBx2 3) allows a maximum project life of at least 

10 years for off-road farm equipment projects. This legislation also allows for 

funding of these off-road farm equipment projects up to the compliance date as 

determined by statute, regulation or rule. 

Legislation enacted in 2010 (AB 1507) requires ARB to revise the Guidelines by 

July 1, 2011, to allow for the combination of Carl Moyer Program funds with funds 

designed to reduce greenhouse gas emissions from federal programs or the 

Alternative and Renewable Fuel and Vehicle Technology Program without including 

them in the cost-effective calculation for the Carl Moyer Program funds. Such 

revisions are included in the 2011 Guidelines. 

ARB has revised the Guidelines several times to address these legislative changes. 

The 2011 revisions is the sixth edition of the Carl Moyer Program Guidelines. 

2. Core Principles 

Emission reductions funded through the Carl Moyer Program must be real, surplus, 

quantifiable, and enforceable in order to meet the underlying statutory provisions 

and to be SIP-creditable. The requirements in the Guidelines are intended to ensure 

these core principles are met. 

To ensure that projects are surplus to regulations, funded projects must not be 

required by any federal, State or local regulation, memorandum of 

agreement/understanding with a regulatory agency, settlement agreement, 
As of 4/28/2011 1 - 4 PROGRAM OVERVIEW 

mitigation requirement, or other legal mandate. ARB also sets a minimum project 

life of three years to ensure that the program does not fund actions taken to comply 

with regulatory deadlines. This minimum three year project life helps ensure the 

overall cost-effectiveness of the program. In some cases, the Board has approved 

exceptions to the three year project life, which include small fleets with on-road 

vehicles (two year project life) and stationary agricultural equipment (one year 

project life). In addition, a maximum project life is established for each project type 

to ensure that the emission reductions are real for the life of the project. 

The Guidelines require that emission control technologies be certified or verified by 

ARB (certification or verification by the United States Environmental Protection 

Agency (U.S. EPA) or International Maritime Organization may be allowed for some 

source categories for which ARB does not have a certification or verification 

program) to ensure that real, quantifiable emission reductions are achieved over the 

life of a project. 

Robust administrative requirements are in place to ensure that emission reductions 

are enforceable and are achieved for the life of a project. Grantees must sign 

contracts enforceable for the life of a project. The Guidelines also include auditing 

and monitoring provisions to ensure the expected emission reductions are achieved. 

B. Funding Sources 

The Carl Moyer Program has been funded through a variety of mechanisms since its 

inception in 1998. In the program’s first four years, the California Legislature funded the 

Carl Moyer Program through annual budget appropriations. Voter approval of 

Proposition 40: The California Clean Water, Clean Air, Safe Neighborhood Parks, and 

Coastal Protection Act of 2002 provided program funding for the fifth and sixth year. 

Legislation enacted in 2004 (SB 1107 and AB 923) provide continuous funding for the 

Carl Moyer Program starting in the program’s seventh year and moving forward. This 

legislation provides three funding sources for the Carl Moyer Program. 

1. Smog Abatement Fee: SB 1107 adjusted the smog abatement fee from $6 to $12 

while extending the newer-vehicle Smog Check exemption. This additional fee is 

directed to fund the Carl Moyer Program, securing up to $60 million in annual 

funding for the program (Health & Safety Code § 44091.1). This legislation does 

not have a sunset date. 

2. Tire Fee: AB 923 adjusted the tire fee that is assessed on purchasers of new 

tires from $1 per tire to $1.75 per tire (Public Resources Code, section 42885). 

The adjustments to the tire fee translate to up to $25 million available for the Carl 

Moyer Program. This legislation sunsets in 2015. 
As of 4/28/2011 1 - 5 PROGRAM OVERVIEW 

3. Motor Vehicle Registration Fee: AB 923 also gave air district governing boards 

the authority to increase the vehicle registration surcharge by $2 to pay for 

four specific clean air incentive programs: 

(A) Projects eligible for grants under the Carl Moyer Program. 

(B) The Agricultural Assistance Program. 

(C) The new purchase of school buses pursuant to the Lower-Emission 

School Bus Program. 

(D) An accelerated vehicle retirement or repair program. 

To date, 20 air districts have adopted the $2 Motor Vehicle Registration fee. In fiscal 

year 2010/2011, we estimate that the air districts will receive approximately $50 million 

from this fee. This legislation sunsets in 2015. 

The $2 fees are sent directly from the Department of Motor Vehicles to the air districts, 

unlike the funds collected via the smog abatement and tire fees which are distributed by 

the ARB to air districts following a funding formula specified in Health and Safety Code 

section 44299.2. 

In fiscal year 2010/2011, approximately $69 million from smog abatement and tire fees 

are available for the Carl Moyer Program. 

C. Project Types 

The Carl Moyer Program funds clean air projects involving a wide variety of vehicles 

and equipment. Typical types of projects are listed below. 

1. Repower: The replacement of an in-use engine with another, cleaner engine. 

2. Retrofit: An emission control system employed exclusively with an in-use engine, 

vehicle or piece of equipment. 

3. New purchases: Vehicles or equipment certified to optional, lower emission 

standards. While common in the past for on-road heavy-duty vehicles, this 

project type is becoming much less common. As increasingly stringent emission 

standards for new engines become required, there are fewer engines certified to 

optional standards. 

4. Fleet modernization or equipment replacement: 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. The old vehicle/equipment is scrapped. 

On-road heavy-duty vehicle fleet modernization and off-road equipment 

replacement are existing eligible, project categories. In addition, two new source 
As of 4/28/2011 1 - 6 PROGRAM OVERVIEW 

categories which replace older engines and equipment with newer engines and 

equipment are proposed for inclusion in these guidelines: Emergency Vehicles 

(Fire Apparatus) and Lawn and Garden Equipment Replacement. 

Two VIPs have been developed that streamline existing replacement funding 

options and are included as stand-alone programs in Part III of these guidelines. 

5. Vehicle retirement (or car scrap): Paying owners of older, more polluting vehicles 

that still have remaining useful life to voluntarily retire those vehicles earlier than 

they would have otherwise. 

More details on eligible project types can be found in Chapters 4 through 14 of these 

Guidelines. Those chapters are written to provide an initial indication of the most likely 

project types in each category. Other projects may be eligible; interested applicants 

should reference the details in each section and consult with their air district for 

additional solicitation material, program brochures, and to discuss potential Carl Moyer 

Program projects. 

D. Summary of Changes since 2008 

In early 2009, ARB adopted the On-Road Voucher Incentive Program (On-Road VIP) 

and in March 2010, the Board adopted a number of near-term revisions to the Program 

to help increase project eligibility, streamline administrative requirements, and adjust to 

the downturn in the economy. Furthermore, as part of past Guideline revisions, to 

ensure that the Guidelines remain in sync with ARB regulations, the Board has 

authorized the Executive Officer to approve amendments to the Guidelines as 

necessary. Using this authority, the Executive Officer has approved several 

modifications since the Guidelines were last brought to the Board. All of the changes 

made since the last major Guidelines revision in 2008 are described below. 

1. On-Road Voucher Incentive Program (On-Road VIP) 

The On-Road VIP, originally approved for implementation in early 2009, provides a 

streamlined approach to reduce emissions from on-road vehicles by replacing older, 

high-polluting vehicles with newer, lower-emission vehicles or by installing Verified 

Diesel Emission Control Strategy (VDECS or “retrofit”). Air districts utilize a 

dealership network to help provide Carl Moyer Program funds to small fleets 

operating throughout California. On-Road VIP Guidelines are a stand alone 

document that provides implementation documents for air districts to use. Revisions 

to the original On-Road VIP adopted by the Board included increasing funding levels 

up to $45,000, increasing funding levels for trucks equipped with 0.20 grams per 

brake horse power-hour (g/bhp-hr) NOx emission standards, allowing the 

replacement of medium heavy-duty vehicles, expanding funding options based on 

usage, increasing the older truck’s engine model year range eligible for funding from 

1993 to 2002, and including retrofits as eligible for funding. 
As of 4/28/2011 1 - 7 PROGRAM OVERVIEW 

2. On-Road Vehicles 

Revisions to the On-Road Fleet Modernization funding options included increasing 

the older truck’s engine model year range eligible for funding from 1993 to 2002, 

increasing maximum funding amounts, reducing the required California registration 

period for baseline trucks, extending eligibility to trucks that previously operated as 

drayage trucks, increasing the maximum mileage for used replacement trucks, and 

reducing the minimum project life for replacements and retrofits for small fleets. 

Revisions also included allowing 2-for-1 truck replacement transactions to occur, 

funding the replacements of medium heavy-duty trucks in addition to heavy heavyduty trucks, increasing funding levels for trucks equipped with 0.20 g/bhp-hr NOx 

emission standards, and extending additional funding opportunities to trucks 

operating solely in NOx-Exempt areas. Contracts for on-road trucks are no longer 

required to include usage as long as prior usage has been verified. In addition, the 

maximum retrofit funding was increased to $10,000. Last, the Board directed 

funding towards small fleets as a result of the adoption of the Truck & Bus 

Regulation. 

3. Off-Road Equipment 

 

The Carl Moyer Program originally required that off-road repower projects must 

install the highest level ARB-verified retrofit to qualify for funding, if technically 

feasible. However, under the 2008 Guidelines, air districts were allowed to offer 

applicants an opt-out waiver of the default retrofit requirement through 

March 27, 2009. Subsequently, ARB allowed air districts to offer applicants the 

waiver indefinitely for engines that are not subject to an in-use regulation. 

In addition, per SBx2 3, ARB modified the Guidelines to allow off-road farm 

equipment to have a minimum project life of 10 years. Also, these projects can now 

be funded up until a regulatory compliance date. This change affects the following 

source categories: Off-Road Compression-Ignition Equipment, Off-Road Large 

Spark-Ignition Equipment, Off-Road Equipment Replacement, and Portable and 

Stationary Agricultural Sources. 

Last, the Board approved changes to the Off-Road Equipment Replacement funding 

option which expanded eligibility to include the replacement of older equipment with 

Tier 1 or Tier 2 engines. Revisions to the Off-Road Equipment Replacement funding 

option also included simplifying the method used to determine maximum equipment 

replacement grants, eliminating the requirement for advanced approval of an air 

district equipment replacement plan, and simplifying the usage documentation 

requirements. 
As of 4/28/2011 1 - 8 PROGRAM OVERVIEW 

4. Locomotives 

Three revisions were approved for the Locomotives source category. The revisions 

included updating the Locomotive Fuel Consumption Rate Factors to be consistent 

with a U.S. EPA update released in April 2009. 

The second revision corrected the example locomotive emission calculation to 

ensure consistency between the project activity for the baseline locomotive and the 

locomotive using alternative switcher technology. 

Last, the Board approved a revision that allows air districts the flexibility to propose 

an alternative to verify project activity beyond using just fuel consumption. 

5. Program Administration 

A number of revisions were approved to streamline the administrative requirements 

of the Carl Moyer Program to better reflect the state of the economy and to 

streamline the process. Revisions include: modifying the usage requirement in 

contracts for those negatively affected by the economy, annually updating the costeffectiveness limit and capital recovery factor to reflect consumer price index 

adjustments, updating the match formula to be able to adjust to changes in the 

levels of Carl Moyer Program funds collected, modifying the air district application 

process and waiving the match requirements for air districts that are only taking the 

minimum allocation of funding, and streamlining the fund disbursement process to 

minimize the number of requests from air districts for disbursements. Additional 

revisions included simplifying interest reporting and tracking, streamlining reporting 

requirements, improving cumulative tracking progress, and reducing requirements 

for minimum allocation and rural air districts. Finally, revisions were adopted to 

codify modifications and clarifications to the 2008 Guidelines. 

E. Summary of Changes for 2011 

The following is a summary of major changes proposed in the 2011 Guidelines. 

1. Off-Road Voucher Incentive Program (Off-Road VIP) 

Off-Road VIP is a new, stand-alone, funding option for air districts to implement. 

Modeled after the On-Road VIP, this funding option streamlines the existing off-road 

equipment replacement program administrative requirements. Funding will be 

available to help reduce the cost of replacing older, uncontrolled agricultural tractors, 

construction tractors, loaders, and backhoes with engines less than 175 horsepower 

with newer, cleaner equipment operating anywhere throughout California. 
As of 4/28/2011 1 - 9 PROGRAM OVERVIEW 

2. Emergency Vehicles (Fire Apparatus) 

A new source category, Emergency Vehicles (Fire Apparatus) (Chapter 6), has been 

added to the Guidelines to help fund the replacement of older on-road emergency 

vehicles with newer, cleaner emergency vehicles. Since emergency vehicles have 

different fleet operational characteristics than other on-road vocations, this chapter 

will help fund projects that normally qualify for limited funding in the existing on-road 

source categories. Some examples of fire apparatus include, but are not limited to, 

pumper trucks, ladder trucks and tankers. 

3. Lawn and Garden Equipment Replacement 

Another new source category, Lawn and Garden Equipment (Chapter 14), will help 

owners replace older lawn and garden equipment with newer, cleaner equipment. 

Adding this source category will help expand air districts’ existing lawn mower 

replacement programs. It will also allow air districts that do not currently fund lawn 

mower replacement programs the ability to do so. Lawn mowers will be targeted 

with the adoption of these Guidelines. Staff will analyze other lawn and garden 

equipment to be eligible for future funding. 

4. Changes to Existing Source Categories 

In addition to the changes discussed above, a number of other changes have been 

made to existing source categories. 

(A) On-Road Heavy-Duty Vehicles: Changes made to the On-Road chapters 

include expanding funding to fleets with 10 or less vehicles and allowing 

applicants to verify usage by providing historic hours of operation on a 

case-by-case basis. Also, air districts are no longer required to have an 

ARB approved plan to implement Fleet Modernization. 

(B) Off-Road Equipment: Changes made to the Off-Road Equipment chapters 

include expanding funding opportunities for small fleets by reducing the 

minimum project life from three years to two years. Additional flexibility 

will be allowed for owners to verify horsepower by using power take off to 

determine horsepower. Also, funding opportunities for the upcoming 

introduction of Tier 4 engines are addressed. 

(C) Light-Duty Vehicle Retirement: Recent changes to the Bureau of 

Automotive Repair’s (BAR) vehicle retirement program will increase the 

weight limitation from 8,500 pounds gross vehicle weight rating to 

10,000 pounds. These Guidelines align with BAR’s weight limits resulting 

in an increase in eligible vehicles to be retired. 
As of 4/28/2011 1 - 10 PROGRAM OVERVIEW 

(D) Finally, staff reviewed all aspects of each source category to further 

streamline and clarify program requirements. The Guidelines incorporate 

many of these minor revisions to help increase project eligibility. 

5. Program Administration 

These Guidelines incorporate a number of revisions that will further streamline air 

district administration and applicant participation in the Carl Moyer Program. These 

revisions include allowing air districts that track projects cumulatively to easily close 

out older years, add further flexibility to the air districts’ ability to adjust contracts 

based on the economy’s impact on usage, new language to assist air districts 

implementing projects on a case-by-case basis (except for the Voucher Incentive 

Programs), streamline auditing requirements of projects and grantees, and outline 

progressive corrective steps to help assist air districts in the event that the 

programmatic and fiscal elements of the program are not being met. 

6. Adopted and Revised Regulations 

The Carl Moyer Program funds projects that are early, or extra, to regulatory 

requirements. Carl Moyer Program eligibility is affected each time ARB adopts a 

new regulation for a source covered under the program. The 2011 Carl Moyer 

Program Guidelines update the project criteria for each relevant source category to 

reflect the new and revised regulations adopted since the previous revision to the 

Guidelines. 

7. Public Process for Changes to the Carl Moyer Program Guidelines 

ARB is required to make proposed changes to the Guidelines and is required to 

make those changes available to the public at least 45 days prior to final adoption. 

ARB is also required to hold one public meeting to consider public comments before 

final adoption of any changes. Although major changes to the Guidelines are 

adopted by the Board, the Board has delegated authority to the Executive Officer to 

adopt additional changes to the Guidelines that are deemed necessary in response 

to regulatory Board actions and to ensure that the Guidelines remain effective and 

up-to-date. Any changes adopted by the Executive Officer will go through the public 

process as described above. 

8. Cost-Effectiveness Limit and Capital Recovery Factors 

Cost-effectiveness is a measure of the dollars provided to a project for each ton of 

covered emission reductions. Statute sets a cost-effectiveness limit that projects 

must meet. Statute also requires that the cost-effectiveness limit be updated 

annually to reflect inflation. 

In addition, a discount rate is used to calculate the capital recovery factors in 

determining the annualized cost of Carl Moyer Program grants provided for a 
As of 4/28/2011 1 - 11 PROGRAM OVERVIEW 

project. This number is based on the average annual yields for United 

States Treasury Securities, averaged over the 2010 calendar year, with a three-year, 

five-year, seven-year, and ten-year maturation. As required by statute, the costeffectiveness limit and capital recovery factors will be updated annually through a 

notification posted on the website (Mail-out). Additional details on calculating costeffectiveness limit and the capital recovery factor can be found in Appendix G: CostEffectiveness Limit and Capital Recovery Factor. 

9. Comingling of Public Funds 

These Guidelines include language that clarifies how air districts are statutorily 

required to review project applications that include the comingling of other public 

funds with Carl Moyer Program funds. Health and Safety Code section 44283 (d) 

and 44283 (g) require air districts to include other public funds when determining the 

cost-effectiveness or the incremental costs of a project. In addition, these 

Guidelines include language, as required by Health and Safety Code section 

44287.2, which allows for the combination of Carl Moyer Program funds with funds 

designed to reduce greenhouse gas emissions from federal program sources or the 

Alternative and Renewable Fuel and Vehicle Technology Program without including 

them in the cost-effective calculation for the Carl Moyer Program funds. Examples 

of how these requirements are to be implemented are included in Appendix C. 

10. Methodology Used to Determine Surplus Emission Reductions 

ARB is required to develop Guidelines that help determine project eligibility that 

ensures projects funded purchase emission reductions which are considered 

“surplus” to a regulation. These Guidelines incorporate a revised methodology used 

to determine surplus emission reductions. 

Previously, staff used the emission benefit analysis of a regulation as the benchmark 

for determining whether a source category project results in surplus emission 

reductions. For example, a regulation may require a retrofit, but the emission benefit 

analysis assumes fleet turnover will occur instead of the purchase of a retrofit. 

Therefore, turnover became the benchmark for funding. 

Under these Guidelines, staff will look at the compliance dates of a regulation as the 

benchmark for determining whether a project results in surplus emission reductions. 

The emission benefits analysis is now used as a tool in determining surplus 

emission reductions and to guide additional policy overlays. The result of this 

change will increase the eligibility of projects while ensuring that all statutory 

requirements are met. 
As of 4/28/2011 1 - 12 PROGRAM OVERVIEW 

11. Expand Funding Opportunities to Fleets that are in Compliance with In-Use 

Regulations 

Previously, fleets who were within an in-use regulatory compliance schedule, were 

allowed only one opportunity, or “one shot”, at receiving incentive funds to further 

reduce emissions in their fleet. These Guidelines allow more than one funding 

opportunity for fleets after their first compliance deadline has passed as long as 

compliance with the in-use regulation can be demonstrated. 
As of 7/11/14 2 - 1 GENERAL CRITERIA

Chapter 2: GENERAL CRITERIA

The project criteria listed below apply to all Carl Moyer Memorial Air Quality Standards 

Attainment Program (Carl Moyer Program) projects. Additional project criteria are 

located in the relevant source category chapters. Projects must also conform to the 

project application, contract, reporting, and other requirements as described in 

Chapter 3: Program Administration. 

A. 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. 

B. The air quality management district (air district) governing board or the Air 

Resources Board (ARB) rule approval date (or the promulgation date of a federal 

regulation) represents the cutoff date by which a Carl Moyer Program project 

contract must be fully executed, without needing to consider the rule in evaluating 

the surplus nature of the project’s emission reductions. After that date, the new 

rule must be considered in the evaluation of a project’s eligibility. 

C. A grant recipient subject to an in-use regulation may be eligible to receive funding 

through the Carl Moyer Program 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 pre-inspection. 

D. Participating air districts retain the authority to impose additional more stringent 

requirements in order to address local concerns.

E. No emission reductions generated by the Carl Moyer Program may be used as 

marketable emission reduction credits, or to offset any emission reduction 

obligation of any person or entity.

F. The Carl Moyer Program will only take credit for the emission reductions achieved 

from a project or part of the project funded using any Carl Moyer Program incentive 

funds. 

G. No project funded by the Carl Moyer Program may be used for credit under any 

federal or state emission averaging banking and trading program.

H. Engines operating under a regulatory compliance extension granted by ARB, an air 

district, or the United States Environmental Protection Agency (U.S. EPA) are not 

eligible for funding.

I. Throughout the contract term, projects funded by the Carl Moyer Program must not 

be used to generate credits or compliance extensions, and must be excluded when 

determining regulatory compliance.
As of 7/11/14 2 - 2 GENERAL CRITERIA

J. Projects funded by the Carl Moyer Program must be included when defining the 

size of the fleet for determining regulatory requirements. 

K. Projects must meet a cost-effectiveness limit per weighed ton of oxides of nitrogen 

(NOx), reactive organic gases, and particulate matter reduced as calculated in 

accordance with Appendix G. 

L. Total funds administered by the air district and contributed to the project must be 

part of the cost-effectiveness calculations and the total funds contributed by the air 

district must meet current cost-effectiveness limits (Health & Safety

Code § 44283(d)). An example of the calculation methodology is located in 

Appendix C. 

M. If an applicant reports other public financial incentives, the air district must deduct 

this amount from the total incremental costs that can be funded with Carl Moyer 

Program funds (Health & Saf. Code § 44283(g)). An example of the calculation 

methodology is located in Appendix C. 

N. Beginning July 1, 2011, federal funding for programs to reduce greenhouse gas 

emissions (GHG) or funding provided by the Alternative and Renewable Fuel and 

Vehicle Technology Program to reduce GHG are exempt from the requirements in

sections L and M above. For these exempt projects, grantees must provide at 

least 15 percent of the project cost from non-public sources.

O. Carl Moyer Program grants can be no greater than a project’s incremental cost. 

The incremental cost is described in each source category chapter of these 

Guidelines. 

P. Carl Moyer Program funds cannot be used for fuel projects; however other funds 

under an air district's budgetary authority or fiduciary control (e.g. match funds) 

may be used to pay for the incremental cost of liquid or gaseous fuel, other than 

standard gasoline or diesel, which is integral to a project receiving grant funding 

under the Carl Moyer Program. If all Carl Moyer Program criteria are met and the 

project is not a “fuel-only” project, the incremental cost of alternative fuel can be 

considered a qualified matching contribution from an air district.

Q. The contract term must extend to the end of the project life.

R. The new engine/vehicle/equipment must remain in service for the project life. 

S. Projects must have at least 75 percent of their total activity for the project life in 

California (this requirement does not apply to marine projects). 

T. Potential projects that vary from the requirements of these Guidelines and do not 

meet all of these criteria may be approved by ARB on a case-by-case basis if the 
As of 7/11/14 2 - 3 GENERAL CRITERIA

project is demonstrated to achieve real, surplus, quantifiable, enforceable, costeffective emission reduction benefits in California for the full project life. Additional 

information regarding approval of case-by-case projects is found in the Program 

Administration chapter. 

U. Carl Moyer Program projects must meet requirements applicable to that project 

category found in the applicable source category chapter of these Guidelines, in 

addition to the general criteria outlined in this chapter. 

V. In general, projects must have a minimum project life of three years, but some 

source categories allow a project life of less than three years. Refer to the specific

source category chapter for more detail. 

W. Projects for which activity is based on hours of operation must include a 

functioning hour meter on the new engine. 

X. Project engines and retrofits may only use the fuel allowed by the engine 

certification or retrofit device verification during the project life. Fuel additives are 

not allowed to be used unless specifically identified as allowable in the engine 

certification or retrofit device verification.

Y. Replacement engines participating in the averaging, banking, and trading program 

that are certified to family emission limits (FEL) higher than the applicable emission 

standards, as designated on the Executive Order are ineligible to participate in the 

Carl Moyer Program.

Z. Replacement engines that are certified to a FEL NOx or NOx + non-methane 

hydrocarbons (NMHC) level that is lower than the required emission standard are 

eligible to be used in repower and replacement projects. However, the emission 

level that can be used in cost-effectiveness calculations for these engines would 

be the applicable emission standards and not the FEL levels.

AA. Emission reduction technologies must be certified or verified by ARB. If an ARB 

certification or verification process does not exist or if engines or retrofits are

preempted from ARB certification/verification, then an engine or retrofit must be 

certified/verified to Federal standards as applicable. 

BB. For the purposes of the Carl Moyer Program, a technology granted a conditional

certification/verification by ARB is considered certified/verified. 

CC. Emission reduction technologies for sale in California must comply with all 

durability and warranty requirements. 

DD. Prior to destruction, an engine that is required to be dismantled may be used as a 

test engine for purposes of retrofit or fuel verification. This can occur as long as the 

engine complies with the requirements of the guidelines, and the old engine must 

be destroyed before a payment to the grantee is issued for the new engine.
As of 7/11/14 2 - 4 GENERAL CRITERIA

EE. In circumstances where projects have multiple engines per vehicle/equipment, the 

replacement (or repower) engines are eligible for funding. The emission benefits 

calculation may be based on overall vehicle/equipment cost-effectiveness and not 

on a per engine basis at the discretion of the air district. The project must meet the 

current project cost effectiveness cap. 

FF. Funding is not available for projects where a spark-ignition engine (i.e., natural 

gas, gasoline, etc.) is replaced with a diesel engine. 

GG. For a new purchase, engine(s) must be certified by ARB to reduce NOx emissions 

by at least 30 percent more than the current NOx emission standard. This criterion 

also applies to locomotives with the exception that the engine(s) must be certified 

by U.S. EPA. For marine vessel new purchases, refer to chapter for specific 

criteria. 

HH. For repower and replacement projects, the replacement engine must achieve an 

annual NOx emissions benefit of at least 15 percent. 

II. Retrofit projects that reduce NOx emissions must be verified by ARB to a NOx 

reduction level of at least 15 percent from the baseline engine to claim NOx 

reductions from the project. 

JJ. No public monies are allowed for the support of any sectarian or denominational 

school, or any school not under exclusive control of the officers of the public

schools. 

KK. These 2011 Guidelines must be used for all projects funded with fiscal year 2011-

2012 (Carl Moyer Program Year 14) and subsequent years’ funds. For projects 

funded using fiscal year 2010-2011 funds (Year 13), or any previously awarded 

funds, an air district has the option of using either the 2008 Guidelines (and 

relevant Program Advisories and Mail-Outs) or using these 2011 Guidelines. Air 

districts may not pick and choose requirements from both sets of Guidelines. The 

2011 Guidelines may be utilized after the Board approval date and would apply to 

projects for which contracts have been fully executed after the Board approval 

date. If an air district chooses to begin applying the 2011 Guidelines to projects, it 

must continue to apply only the 2011 Guidelines to all subsequently funded 

projects. ARB will follow these 2011 Guidelines for administration of the Carl 

Moyer Program following Board approval.

LL. The revised cost-effectiveness limit and capital recovery factors may be used by 

air districts once the Board adopts the 2011 Carl Moyer Program Guidelines, but 

must be used by July 1, 2011. As required per statute, ARB will update the 

cost-effectiveness limit and capital recovery factors annually through a Mail-out.
As of 7/11/14 2 - 5 GENERAL CRITERIA

MM. Contracts executed after the adoption date of a regulation must consider all 

applicable regulations when determining eligibility for a project. If an existing 

contract is amended to increase the total Carl Moyer Program funding of the 

project, then the air district must reevaluate eligibility and consider all applicable 

regulations. If the total dollars do not increase, then the air district does not need 

to reevaluate eligibility.

NN. For a repower project, the installation of the engine must be completed in a 

manner such that it does not void the engine warranty provided by the 

manufacturer and any remaining warranty provided by the equipment/vehicle 

manufacturer. 

OO. Any funds earned or collected by the air district through Carl Moyer Program 

resources must be reported and either returned to ARB or spent on the air district’s 

Carl Moyer program. The Carl Moyer Program does not require Districts to earn 

funds through its program actions. Districts are not expected to base business 

decisions on their ability to generate returns or collect funds through program 

activity. 

PP. Any Carl Moyer grant funds lost due to air district investment choice will be 

replaced by the air district. Air Districts are free to designate the type of storage 

account based on their business needs. 
As of 7/11/14 3 - 1 PROGRAM ADMINISTRATION

Chapter 3: PROGRAM ADMINISTRATION

A. Background

The responsibilities of the Air Resources Board (ARB) include the management of 

program funds and program oversight. This chapter is divided into discrete sections 

that describe specific administrative requirements that ARB, air districts, and interested 

parties must follow to ensure the Carl Moyer Program achieves the State 

Implementation Plan (SIP)-creditable emission reductions. Air districts may choose to 

require more stringent administrative procedures in implementing their local program.

These 2011 Carl Moyer Program Guidelines (Guidelines) must be used for all projects 

funded with fiscal year 2011-2012 (Carl Moyer Program Year 14) and subsequent 

years’ funds. Carl Moyer Program Year 1 is defined as fiscal year 1998-1999 (e.g. 

July 1 – June 30) to signify the inception of the program beginning in 1998.

For projects funded using fiscal year 2010-2011 funds (Year 13), or any previously

awarded funds, an air district has the option of using either the 2008 Guidelines (and 

the subsequent relevant Program Advisories and Mail-Outs) or using these 2011

Guidelines. Air districts may not pick and choose requirements from both sets of 

Guidelines. The 2011 Guidelines may be utilized after the Board approval date and 

would apply to projects for which contracts have been fully executed after the Board 

approval date. If an air district chooses to begin applying the 2011 Guidelines to 

projects, it must continue to apply only the 2011 Guidelines to all subsequently funded

projects. ARB will follow these 2011 Guidelines for administration of the Carl Moyer 

Program following Board approval.

B. ARB Solicitation of Program Fund Availability

1. Initial Allocation: Each year, ARB shall send a solicitation letter to each air

district’s Air Pollution Control Officer (APCO) to notify the air districts that Carl 

Moyer Program funding is available and to provide the application that air 

districts need to apply for program funds. The solicitation letter shall provide 

each air district’s tentative funding award and tentative match funding 

requirement. ARB shall determine the tentative awards for each year’s grants or, 

when necessary, reallocation of returned funds in accordance with Health and 

Safety Code section 44299.2. The process and minimum requirements for 

distribution of these funds is described in Sections C through G of this chapter. 

The typical timeline for each initial allocation funding cycle is provided in 

Table 3-1.
As of 7/11/14 3 - 2 PROGRAM ADMINISTRATION

Table 3-1 

Timeline for Initial Allocation of Funds 

Date Action

Mid-September ARB sends application packet to air districts

Mid-November Air districts apply to ARB for funds

Early January ARB notifies air districts of final awards

January - June Air districts receive grant awards

April 30 Deadline for air districts to accept or decline funds 

June 30 of Following Year Target date for contracts to be executed

June 30 of Second Year Funds must be expended

2. Reallocation: If returned funds are available after each expenditure deadline

(see also Section S), ARB shall send a solicitation letter to each air district’s 

APCO to notify the air districts that such funds are available and to provide the 

application and instructions that the air districts need to apply for the funds. The 

timeline for a reallocation funding cycle is provided in Table 3-2. 

Table 3-2 

Timeline (Deadline) for Reallocation of Funds

Date Action

August 29 Deadline for air districts to report and return 

unexpended funds to ARB

September 28 ARB notifies air districts of available returned 

funds

November 27 ARB allocates returned funds to eligible air 

districts

December 31 Deadline for air districts to accept or decline 

reallocated funds 

November 27 of the 

following year

Reallocated funds must be expended within one 

year of the allocation

3. “Multi-District”: ARB reserves the right to direct up to ten percent of each year’s 

State Carl Moyer Program funds to projects that operate or impact air quality in 

multiple air districts in accordance with Health & Safety Code section 44286(d). 

C. Air District Applications for Program Funding

1. Air districts must submit a completed application packet within 60 calendar days 

from the date of the solicitation letter. 

2. The completed application packet must include the following documents:

(A) Completed Application: Submission of the original form signed by the air 

district’s APCO. Air districts requesting the minimum $200,000 allocation 

may opt to direct their allocation to the Rural District Assistance Program.
As of 7/11/14 3 - 3 PROGRAM ADMINISTRATION

(B) Match Fund Commitment: Air districts must specify the source and 

amount of local match funding on the application. Air districts requesting 

more than their tentative funding allocation must demonstrate that 

sufficient match funds are available to cover any additional funds 

requested. Refer to Section I to determine the required match fund 

amount if requesting additional funds. Air districts requesting no more 

than the minimum allocation of $200,000 will be exempted from the match 

requirement. Air districts may account for up to15 percent of their match 

requirement with in-kind contributions. Additional information regarding 

allowable sources of match funding can be found in Section I of this 

chapter. 

(C) Air District Board Resolution: Submission of the air district Governing 

Board resolution or minute order that commits the air district to participate 

in the Carl Moyer Program, comply with the Carl Moyer Program 

requirements, and authorizes the air district to accept funds from ARB or 

to have such funds placed into the Rural District Assistance Program is 

required. For air districts with a match requirement, the board resolution 

shall authorize the APCO to supply sufficient funding to meet the match 

requirement. If an air district has previously obtained a board resolution 

that authorizes the air district to implement the Carl Moyer Program for 

multiple years, the air district must state the date of the resolution in the 

application. 

(D) Policies and Procedures Manual: In order to be eligible for continued 

funding, an air district must submit to ARB a copy of their current Carl 

Moyer Program Policies and Procedures Manual for approval. If previous 

approval has been provided by Carl Moyer Program staff, the air district 

must instead submit a statement, signed by an air district representative, 

confirming that an updated version of their Policies and Procedures 

Manual is maintained at the air district office. The manual must describe 

the air district’s policies, procedures, and organizational structure for 

implementing the Carl Moyer Program. The Policies and Procedures

Manual, at a minimum, must include: 

(1) Program structure and organization, including coordination with ARB. 

(2) Solicitation of funds from ARB. 

(3) Project solicitation, evaluation, and selection (including schedule for 

program implementation). 

(4) State and match fund expenditure and liquidation. 

(5) Fiscal practices and procedures. 

(6) Pre- and post-inspections. 

(7) Project reports. 

(8) Contract components and contracting with applicants. 

(9) Invoice review, approval, and payment protocols. 
As of 7/11/14 3 - 4 PROGRAM ADMINISTRATION

(10) Air district audits of projects. 

(11) Details regarding program components identified in the following 

Sections of this chapter: K.5., L.3., X.8., X.10., Y.6., AA.2., AA.5., AA.6., 

BB.1., BB.4., CC.6., DD.3., and FF.5.

(12) Environmental justice/at-risk communities (if applicable). 

(13) Light duty vehicle/fleet modernization projects (if applicable). 

D. The Rural District Assistance Program

1. Rural air districts may use the Rural District Assistance Program (RAP) which 

provides the ability to pool their project funds in order to streamline program 

administration. Funds dedicated to RAP are pooled to fund project grants from a 

statewide list of rural air district projects. 

2. Solicitation, initial project application review and ranking, and assignment of a 

project to an air district may be done by the California Air Pollution Control 

Officer’s Association (CAPCOA). Additionally, CAPCOA may contract with one 

or more third parties (RAP administrator) to conduct these tasks. CAPCOA is 

responsible for selecting the RAP administrator. Projects are assigned to 

recipient air districts prior to contract execution. Recipient air districts have the 

authority to refuse or accept projects offered through RAP within a time period

designated by CAPCOA. 

3. An air district whose annual Carl Moyer Program grant application dedicates the 

entire annual grant to RAP is not required to have a current approved Carl Moyer 

Program Policy and Procedure Manual, but the grant application must include a 

board resolution or minute order authorizing dedication of the funds to RAP. Air 

districts dedicating their entire grant are not obligated to submit a yearly report for 

the associated grant. 

4. An air district may dedicate funds to RAP after it has executed an annual grant 

with ARB, but must do so by March 1st prior to the end of the grant funding cycle, 

per the following example timeline:

Example: 

CMP Year 13 (Fiscal Year 2010-11)

January – June 2011 Air District executes Year 13 Grant Award

Funds may be dedicated to RAP

March 1, 2013 Deadline to dedicate funds to RAP

June 30, 2013 Deadline to expend Year 13 Grant Award

However, funds that have been disbursed to districts and subsequently returned 

to ARB will be treated as returned funds, and reallocated as specified in 

Section S. 
As of 7/11/14 3 - 5 PROGRAM ADMINISTRATION

5. An air district receiving RAP projects and funds must have a current approved 

Carl Moyer Program Policy and Procedures manual. Following project 

acceptance, the air district is fully responsible for all grant obligations, including 

eligibility verification, contract draft and execution, inspections, monitoring and 

reporting. RAP projects will be subject to review as part of the Incentives 

Program Review (“Program Review” or “review”) of the implementing air district.

E. ARB Review and Approval of Air District Funding Applications

1. ARB shall review an application immediately upon receipt and, if necessary, 

provide the air district with a written explanation of what is missing from the 

application within 10 working (business) days of its receipt. Complete 

applications that fulfill all criteria shall be approved no later than 60 business 

days after receipt as identified in Health and Safety Code section 44287(n). 

2. ARB may elect to approve an application that is missing a particular item and 

make the submittal of that item a stipulation of the Grant Agreement. For 

example, sometimes air district staff are unable to obtain a board resolution or 

minute order before the application deadline. In such a case, ARB may allow a 

board resolution or minute order to be submitted with the signed Grant 

Agreement or prior to the air district’s initial disbursement.

3. ARB shall review an air district’s Policies and Procedures Manual for minimum 

elements listed in Section C.2. of this chapter and within 30 days of its receipt

either approve the manual or describe what additional information or clarification 

is needed. ARB approval of an air district’s Policies and Procedures Manual 

shall be provided by email or in other written format. Once approved, the air

district must submit a statement that an updated version of their Policies and 

Procedures Manual is maintained on-site. In this case, an annual submittal of 

their Policies and Procedures Manual with the application for funding is no longer 

required. ARB approval of an air district’s Policies and Procedures Manual 

denotes approval of the air district’s policies and procedures as written. An air

district’s policies and procedures as implemented can only be fully evaluated 

during the Program Review process. 

4. ARB shall follow the formula identified in Health and Safety Code 

section 44299.2(c) to redistribute funds declined by air districts. See Section S. 

of this chapter regarding the return and reallocation of unexpended funds.

F. Final Grant Awards

1. Once air districts applications have been approved, ARB shall determine the final 

grant awards and corresponding amounts of required match funding. 

2. ARB shall prepare and submit two signed original copies of the Grant Award and 

Authorization Forms to qualifying air districts. 
As of 7/11/14 3 - 6 PROGRAM ADMINISTRATION

3. The APCO must sign both original copies of the Grant Award and Authorization 

Form. The air district retains one of the originally signed forms for their files and 

returns the other originally signed form to ARB. 

4. The deadline for acceptance of an annual grant award shall be specified in the 

award letter each year. The deadline for acceptance of a reallocation grant 

award shall be December 31 of each year.

5. Air districts have until June 30th of the second calendar year after funds are 

accepted from ARB to expend the allocation grant award.

6. For a reallocation grant award, air districts have one year from the date of 

allocation to expend the funds. See Section B of this chapter – Table 3-2.

G. Fund Disbursements to Air Districts 

1. In order to receive a disbursement, each air district must submit a Grant 

Disbursement Request to ARB. The Grant Disbursement Request form must be 

signed by a party authorized and designated by the air district’s Governing 

Board. 

2. If there are stipulations on the Grant Award and Authorization form, all 

stipulations must be met before ARB will disburse funds associated with the 

grant award. 

3. Protocol and minimum requirements for air districts to receive disbursements are 

as follows:

(A) Initial Disbursement: An air district may request an initial disbursement 

that includes all of its administrative funds and up to ten percent or 

$200,000 of its project funds, whichever is greater. Minimum allocation air 

districts may request up to their entire allocation of $200,000. An air

district has the option to request additional project funds to be included in 

the initial disbursement if they can meet and demonstrate all the criteria 

described in Section G.3.(B). 

(B) Additional Disbursements: Air districts may request any remaining portion 

of their project funds once the following criteria have been met and 

submitted to ARB:

(1) Preceding Yearly Report demonstrates on-time expenditures consistent 

with Health and Safety Code section 44287(k). 

 -or - 
As of 7/11/14 3 - 7 PROGRAM ADMINISTRATION

The unexpended funds identified in the preceding Yearly Report have been 

received by ARB. NOTE: ARB will not request a return of any funds under 

contract.

(2) Program staff submission of document(s) listing eligible projects in an 

amount equal to the disbursement request, and confirming the air district’s 

commitment of Carl Moyer Program funds to those projects. 

(3) Program staff certification that an executed contract will not be entered 

prior to project being approved by the APCO or Board approved designee 

(for those air districts not requiring Board action) or air district Board (for 

those air districts requiring Board approval of projects) as consistent with 

their Policies and Procedures Manual.

 

(4) Air districts will receive one check for both program administration and 

project funds, but must account for the administration and project funds 

separately. 

4. Due to the compressed timeframe for expending reallocated funds, air districts 

may receive the full reallocation grant award once the following has been 

submitted and approved by ARB:

(A) An original signed copy of the reallocation grant award. 

(B) A completed disbursement request form. 

H. AB 923 - $2 Motor Vehicle Fee

1. State law allows air districts to collect an additional $2 motor vehicle registration 

surcharge (MV Fee) (Health & Safety Code § 44223), which must be used to 

fund the following (Health & Safety Code § 44229(b)): 

(A) Projects eligible for grants under the Carl Moyer Program. 

(B) The Agricultural Assistance Program. 

(C) Purchase of new school buses pursuant to the Lower-Emission School 

Bus Program. 

(D) An accelerated vehicle retirement or repair program that is adopted by 

ARB.

(E) On-Board natural gas tank replacements in qualifying school buses.
As of 7/11/14 3 - 8 PROGRAM ADMINISTRATION

(F) Infrastructure improvements for deteriorating natural gas fueling 

dispensers.

(G) Retrofits for qualifying school buses.

2. $2 MV Fees used to meet the Carl Moyer Program match fund requirement (See 

Section I) are subject to the same eligibility, reporting, review and auditing 

requirements as State-provided Carl Moyer Program funds. $2 MV Fee funds 

used to meet the match requirement are not required to be expended within two 

years from the date of their collection. However, air districts must expend 

sufficient match funds to meet the obligations for the Carl Moyer Program funds 

received each year.

3. Reporting and oversight of the $2 MV Fee depends upon whether the fee is used 

to meet the Carl Moyer Program’s match requirement and whether the air district 

takes SIP credit for $2 MV Fee projects. Table 3-3 summarizes the various 

scenarios for treatment of $2 MV Fee funds and projects. Sections R and V.6. of 

this chapter, respectively, describe reporting and oversight on the $2 MV Fee in 

more detail.

Table 3-3 

Summary of $2 MV Fee Requirements and Oversight

Requirements/ Oversight $2 MV Fee

Used as 

Match

$2 MV Fee

Used for 

SIP Credit

$2 MV Fee

Not Match/ 

not SIP

Expenditure of funds within two years (1) -- --

Meet full and complete Carl Moyer Program

Guideline criteria √ -- --

Subject to ARB Program Review √ -- --

Subject to ARB project eligibility evaluation 

(e.g., cost-effective and surplus) √ √ √ 

Fiscal reporting to ARB

(list total funds expended in seven basic 

categories)2 √ √ √ 

Detailed reporting to ARB

(project specifics submitted in current 

database)2 √ √ --

1 Sufficient funds must be expended, regardless of their year of origin or source, to provide the required match by that 

year’s expenditure timeline. For example, for Year 9, air districts must expend their match by June 30, 2009. When 

those funds were received is not a factor in determining this deadline.

2 See Section R of this chapter for details.
As of 7/11/14 3 - 9 PROGRAM ADMINISTRATION

I. Air District Match Funds 

1. Health and Safety Code section 44287 requires air districts participating in the 

Carl Moyer Program to provide match funding. Air districts implementing the Carl 

Moyer Program must commit match funds equaling 15 percent of the State funds 

received. 

2. An air district receiving the minimum grant award of $200,000 is exempt from this 

match requirement. 

3. Air district match funds must be under the air district’s budget authority or 

fiduciary control, with the exception of port funds (Health & Safety Code § 

44287(e)) described in Section I.9. Funds allocated to an air district by the State 

of California, such as Lower Emission School Bus Program Funds or State bond 

funds, may not be used as Carl Moyer Program match funding. Air districts may 

meet their matching fund requirement on an overall program basis rather than a 

project-by-project basis. In other words, air districts do not need to provide 

match funds towards each project funded, but must fund enough projects (in total 

or in part) with match funds in order to meet the match requirement. 

4. An air district may include match funds spent on or after February 25, 1999 that 

would have qualified as matching funds but were not previously claimed as 

matching funds (Health & Safety Code § 44287(h)). 

5. Motor vehicle registration surcharge fees, including the AB 2766 $4 MV Fee, and 

the AB 923 $2 MV Fee, may be used as match funds subject to the following 

provisions:

(A) In order to qualify as match funds, MV Fees must fund motor vehicle 

projects that meet the Carl Moyer Program criteria. Consistent with Health 

and Safety Code section 44287(j), MV Fees may not be used as match 

funds on projects involving stationary or portable engines, locomotives, or 

marine vessels. Table 3-4 identifies the source categories that are 

considered motor vehicles for the purposes of match funding. 

Note that statute allows the $2 MV Fee to be used to fund any eligible 

Carl Moyer Program project – both motor vehicle and non-motor vehicle 

projects (Health & Safety Code § 44229(b)(1)). However, only motor 

vehicle projects funded with MV Fees may be counted as match projects. 
As of 7/11/14 3 - 10 PROGRAM ADMINISTRATION

Table 3-4 

Eligibility of Motor Vehicle Registration Surcharge Fee Projects

as Air District Match

Eligible Not Eligible

On-road* Locomotives Stationary or portable engines

Off-road mobile Marine vessels Agricultural Assistance projects

* Lower Emission School Bus Program projects must meet Carl Moyer Program 

cost-effectiveness and other criteria to count as match.

(B) Motor Vehicle Fees that pay for incremental fuel costs consistent with 

Section J.1.(B) and J.1.(C) of this chapter may be used as match funds. 

Fuel must be dedicated to a source category potentially eligible for Carl 

Moyer Program funds (such as heavy-duty trucks).

(C) MV Fees that pay for accelerated light-duty vehicle retirement and repair 

and lawn and garden programs that meet all Carl Moyer program criteria 

may be used as match funds.

(D) MV Fees used to fund Lower Emission School Bus Program projects may 

count towards the air district match requirement if they meet the Carl 

Moyer Program requirements and the current cost-effectiveness threshold. 

All air district or state incentive funds used to help pay for a school bus 

project must be included in this cost-effectiveness calculation.

(E) $2 MV Fees used to fund Agricultural Assistance Program projects may 

not be counted towards the Carl Moyer Program match requirement

(Health & Safety Code § 44287(j)).

6. Other (non-MV Fee) locally-generated funds may be counted as match if they 

fund projects that meet all Carl Moyer Program requirements and criteria, 

including those project types described in Section J.1.(A) through J.1.(C).

7. Air districts may use federal funds as Carl Moyer Program match if written 

confirmation is received from the administering federal agency (for example, the 

United States Environmental Protection Agency) that 1) the administering agency 

has no objection to the air district using those funds as match, and 2) the 

emission benefits obtained from those funds will not be used by the 

administrating agency in a State Implementation Plan. The air district must also

ensure that it will not use such funds as match for any other program and that the 

use of the funds as Carl Moyer Program match does not conflict with any State or 

local requirements regarding the funds. Also, like all match funds, such funds 

must meet all Carl Moyer Program Guideline requirements. If this option is used, 

supporting documentation must be included in all relevant project files. 
As of 7/11/14 3 - 11 PROGRAM ADMINISTRATION

8. Interest or other funds earned on Carl Moyer Program funds received from ARB 

must not be used for match funding. See Section K for more information on 

earned interest.

9. Funding provided by a port authority or a local government for a qualifying project 

or for infrastructure that serves a qualifying project may count toward the air 

district’s Carl Moyer Program matching fund requirement. However, in any air 

district granted more than $300,000 of the state board funds, no more than 30 

percent of an air district’s match obligation may come from a port authority or 

local government as identified in Health and Safety Code section 44287(e). Port 

authorities may participate through projects involving their own equipment, or by 

soliciting port tenants to apply for project funding.

10.Per Health and Safety Code section 44287(e), only an air district, or a port 

authority, or a local government teamed with an air district may provide matching 

funds. Private companies are not allowed to provide match funding to satisfy the 

air district's match funding obligation. 

J. Eligible Types of Match Projects

1. The types of projects that can be funded to meet the match funding requirement 

 Include:

(A) Carl Moyer Program Projects: Match funds may be used to pay for

any project that meets all Carl Moyer Program criteria and all other

statutory limitations on the funds such as those specified in Section

I.6. of this chapter. 

(B) Incremental Fuel Cost: Match funds may be used to pay for the 

incremental cost of liquid or gaseous fuel and electricity, other than 

standard gasoline or diesel, which serves a Carl Moyer Programeligible source category (such as heavy-duty trucks). 

(C) Infrastructure Projects: 

(1) Match funds may be used for electric and alternative fuel 

infrastructure projects that serve Carl Moyer Program qualifying

project categories. 

(2) Motor vehicle fees authorized under Assembly Bill (AB) 2766 and AB 

923 can be used to fund infrastructure projects that serve Carl Moyer

Program qualifying project categories. However, of these, only 

infrastructure projects that serve Carl Moyer Program qualifying motor

vehicle project categories can be counted towards the air district’s match 

requirements. Table 3-4 in Section I lists eligible and ineligible motor

vehicle project types.
As of 7/11/14 3 - 12 PROGRAM ADMINISTRATION

2. In-Kind Contributions: Up to 15 percent of an air district’s match requirement 

may be fulfilled through in-kind contributions (Health & Safety Code § 

44287(h)). Air districts may use any funds under their budget authority -- except 

for Carl Moyer Program administrative funds and interest or other funds earned

on Carl Moyer Program funds -- to cover their in-kind contribution. When using

air district funds for in- kind match, air districts must follow all relevant statute,

guidelines, and other legal requirements for expending such funds. In-kind

contributions have the same expenditure timeline as match funds. Air district 

in-kind match funds spent on program administration and outreach must meet 

the documentation requirements identified in Section L.

3. Air districts found by ARB to have funded ineligible projects must substitute 

eligible projects, using eligible match funds as describe in Section I, equal to

the amount found ineligible.

K. Earned Interest

1. Interest or other funds earned on Carl Moyer Program funds must be

reported to ARB. The funds earned must either be used to fund projects that

meet the current Carl Moyer Program Guidelines (including any revisions in 

effect at the time of contract execution) or be returned to ARB.

2. Calculation of Earned Interest: All air districts must maintain accounting records 

(e.g., general ledger) that track interest earned and expended on Carl Moyer 

Program funds.

(A) If an air district maintains its Carl Moyer Program funds in a nonsegregated account, the air district must maintain accounting records 

that track the revenue, expenditures, and interest earned by the Carl 

Moyer Program funds separately from other air district programs. 

(B) The calculation of interest must be based on an average daily balance 

or some other reasonable and demonstrable method of allocating the 

proceeds from the fund back into the program. 

(C) Each air district’s methodology for calculating Carl Moyer Program

interest must be consistent with how it calculates earned interest for its

other fiscal programs. 

3. Expenditures for Carl Moyer Program Projects: All projects funded with

interest or other funds generated through the Carl Moyer program must meet

all the Carl Moyer Program Guidelines current at the time of contract 

execution, including any revisions to those Guidelines in effect at the time of 

contract execution. 
As of 7/11/14 3 - 13 PROGRAM ADMINISTRATION

4. Expenditures for Program Administration: An air district can use up to five 

percent of earned interest or other funds generated through the Carl Moyer 

Program on administrative expenses if the air district has one million or more 

inhabitants and up to ten percent of earned interest on administrative expenses 

if the air district has less than one million inhabitants, in accordance with Health 

and Safety Code section 44299.1(a)(3)(c). 

5. Reporting Requirements: Each air district must report on interest and 

other funds generated through the Carl Moyer program in Yearly Reports 

to ARB using the format provided by ARB.

(A) Air districts must report on projects funded with earned interest or other 

funds earned through the Carl Moyer program the same way air districts 

report on Carl Moyer Program-funded projects (i.e., by entering projects in 

the CARL and in their Yearly Reports). The Carl Moyer Program does not 

specify that Air Districts perform any program actions in such a way that 

they generate proceeds or returns on Carl Moyer Program business. 

(B) In the 2010 Yearly Report, for the period of July 1, 1998, through 

June 30, 2010, air districts reported interest earned on Carl 

Moyer Program, Rural District Assistance Program, and Multidistrict fund balances by listing the following: 

(1) Earned interest that was liquidated on Carl Moyer Program projects. 

(2) Earned interest that was expended on Carl Moyer Program administration.

(3) Balance of earned interest held by the air district on June 30, 2010, 

including those interest funds committed to projects but not yet 

liquidated. For this balance, air districts were provided the following

options:

a. Spend that amount on Carl Moyer Program projects and

administration (consistent with Section K.3. and K.4.) on the same 

schedule as the air district’s Year 13 Carl Moyer Program grant 

award. For reporting purposes, such interest funds were added to the

Year 13 Carl Moyer Program funds and counted in the Year 13

cumulative contract execution and fund expenditure targets tracked

by clean air reporting log (CARL). 

-orb. Return unspent interest to ARB by October 31, 2010.

-orc. A combination of (a.) and (b.).
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(C) Beginning with the 2011 Yearly report (due on August 29, 2011), and

for each Yearly Report thereafter, air districts must report interest 

earned during the previous fiscal year (i.e. July 1 through June 30). 

Beginning with the 2014 Yearly report (due August 29, 2014), and for 

each Yearly Report thereafter, the same policy applies to any other 

funds generated through the Carl Moyer program. For such interest

and other funds earned the previous fiscal year, air districts may choose 

from the following options:

(1) Add the earned funds to the next funding year and spend it on Carl 

Moyer Program projects and administration (consistent with Section 

K.3. and K.4.) on the same schedule as other Carl Moyer Program

funds in that funding year. For example, funds earned during fiscal 

year 2010- 2011 (Moyer Year 13) may be added to an air district’s 

2011-2012 (Year 14) funds, placing those interest funds under the

same contract execution and expenditure schedule as other Year 14

funds.

-or- 

(2) Return the funds to ARB by October 31 of the same year as the relevant 

Yearly Report. For example, interest earned during fiscal year 2010-

2011 (Moyer Year 13) and reported in the 2011 Yearly Report should be 

returned to ARB by October 31, 2011.

-or- 

(3) A combination of (1) and (2). 

6. Interest and Other Earned Funds Documentation: Documentation of earned 

interest and other earned funds must be retained, at a minimum, until the 

liquidation deadline of the funding target with which it is associated (e.g., for 

funds earned from 6/30/2010 - 6/30/2011 and added to the Year 14 target, the 

funding year liquidation deadline is June 30, 2016). Documentation of projects 

funded with earned funds (i.e., the project files) must be retained for a minimum 

of two years after the end of the contract term or a minimum of three years after 

final payment, whichever is later. 

L. Program Administration and Outreach Funding

1. Air District Funding: Air districts with one million or more inhabitants may use up 

to five percent of their Carl Moyer Program funds on program outreach and 

administration (Health & Safety Code § 44299.1(c)), while air districts with under 

one million inhabitants may use up to ten percent of their Carl Moyer Program 

funds (Health & Safety Code § 44299.1(d)).

2. Allowable Costs: Administrative funds must be used for Carl Moyer Program 

administration and outreach such as: air district staff time; consultant fees; 
As of 7/11/14 3 - 15 PROGRAM ADMINISTRATION

printing, mailing, and travel costs; project monitoring and compliance expenses; 

and indirect costs such as general administrative services, office space, and 

telephone services.

3. Required Documentation: Air districts must maintain documentation of 

Carl Moyer Program funds used for administration and outreach. Air districts

must keep the following documentation:

(A) Personnel documentation must make use of timesheets or other labor 

tracking software. Duty statements or other documentation may also be 

used to verify the number of staff and actual hours or percent of time staff 

is devoted to Carl Moyer Program administration and outreach. 

(B) Consultant fees must be documented with copies of the consultant 

contract and invoices.

(C) Printing, mailing, and travel expenses must be documented with receipts 

and/or invoices.

(D) If travel and per diem expenses are used to document program 

administrative costs, allowable travel costs and per diem rates must be 

described in the air district’s Policies and Procedures Manual. Air district 

travel cost criteria must be consistent with the air district’s written travel 

policies for other air district programs. Alternatively, if these definitions are 

included in local administrative code or other documents, the air district 

may cite the document that governs its practices in the Policies and 

Procedures Manual. 

(E) Indirect cost calculation methodologies, if used to determine indirect costs 

of program administration, must be fully described or referenced in the air 

district’s Policies and Procedures Manual. Air districts must maintain 

documentation for all costs referenced in the indirect cost calculation 

formula.

4. The documentation, records, and referenced materials described in Section L.3. 

must be made available for review during ARB or other State agency monitoring 

visits, reviews and audits. Such administrative records for a given funding year 

must be retained, at a minimum, until the applicable funding year liquidation 

deadline [e.g., for Year 13 (fiscal year 2010-2011) funds, the funding year 

liquidation deadline is June 30, 2015].

5. Air districts that charge unallowable costs for program administration or outreach 

must substitute eligible administration and outreach expenses equal to the dollar 

amount found ineligible, or return the funds for the unallowable cost to ARB as 

mitigation or returned funds. 
As of 7/11/14 3 - 16 PROGRAM ADMINISTRATION

M. Commitment of Project Funds 

Funds are considered to be committed to a project when the air district officially selects 

an eligible project for funding through any of the following actions:

1. The contract between the air district and the owner is fully executed.

2. The air district’s governing board approves a project for funding through a 

resolution, minute order, letter or other written instrument.

3. The APCO or other Board-authorized representative sends the successful 

applicant a project offer letter.

4. The air district inputs into CARL project details from applications it has

determined are eligible for funding.

5. Program staff submits a list of eligible projects confirming the air district’s 

commitment to fund these projects.

N. Progress Tracking: Contract Execution 

1. Air districts shall make every effort to have all Carl Moyer Program funds 

associated with the funding year one calendar year prior as well as any other 

funds in the applicable funding target (see Section Q.2.) under executed contract 

by June 30th of each year. Thus, for example, all funds awarded Year 13 (fiscal 

year 2010-2011) should be under executed contract by June 30, 2012.

2. Match funds should be under executed contract by the same contract execution 

deadline as the Carl Moyer Program funds with which they are associated 

regardless of the date such funds were collected by the air district.

3. For Carl Moyer voucher programs, the voucher issue date will be used to gauge 

progress in contract execution. 

O. Progress Tracking: Fund Expenditure 

1. By June 30th of each year, air districts must have expended all Carl Moyer 

Program project funds associated with the funding year, two calendar years prior

(Health & Safety Code § 44287(k)), as well as any other funds in the applicable 

funding target (see Section Q.2.). For example, funds awarded Year 13 (fiscal 

year 2010-2011) must be expended by June 30, 2013. By this date, all 

administrative funds must be liquidated, as described in Section P.3.

2. Match funds must be expended by the same expenditure deadline as the Carl 

Moyer Program funds with which they are associated regardless of the date the 

match funds were collected by the air district. 
As of 7/11/14 3 - 17 PROGRAM ADMINISTRATION

3. All funds under a project’s contract are considered expended for the purposes of 

progress tracking under the following conditions: 

(A) The project is liquidated per Section P.2., or

(B) An invoice for the project has been fully or partially paid by the air district 

consistent with Section CC and such invoice payment covers the grant 

amount for at least one operational new engine, vehicle, or piece of 

equipment under the project’s contract. See Chapters 10 (Portable and 

Stationary Agricultural Sources) and 12 (Marine Vessels) for specific 

exemptions for electric agricultural irrigation pump motors and shore-side 

shore power projects, respectively.

4. Any funds associated with an engine, vehicle, or piece of equipment cancelled 

from a contract prior to the liquidation of the contract as a whole will no longer be 

considered expended beginning at the time of the cancellation. 

P. Progress Tracking: Fund Liquidation 

1. Funding Year Liquidation

By June 30th of each year, air districts must have liquidated all Carl Moyer 

Program funds associated with the funding year four calendar years prior as well 

as any other funds in the applicable funding target (see Section Q.2.). For 

example, funds awarded Year 13 (fiscal year 2010-2011) must be liquidated by 

June 30, 2015. The exception is funds awarded Year 8 (fiscal year 2005-2006); 

such funds must be liquidated by June 30, 2011. 

(A) Match funds must be liquidated by the same liquidation deadline as the 

Carl Moyer Program funds with which they are associated regardless of 

the date such funds were collected by the air district. 

(B) A funding year that has been liquidated by an air district and all associated 

projects will be removed from cumulative tracking. 

(C) At ARB’s discretion, a funding year adjustment to a later, un-liquidated 

funding year may be made to correct for errors discovered in an earlier, 

liquidated, funding year. 

(D) For purposes of progress tracking, ARB considers Years 1-7 (fiscal years 

1998-1999 through 2004-2005) to be liquidated. All projects associated 

with those funding years must remain associated with them; i.e., such 

projects are no longer available for use in cumulative tracking and can not 

be counted in later funding years. Any air district with knowledge of 

un-liquidated funds from such funding years must notify ARB and take 
As of 7/11/14 3 - 18 PROGRAM ADMINISTRATION

appropriate actions such as returning those funds to ARB or, at ARB’s 

discretion, make a funding year adjustment to a later, un-liquidated 

funding year. 

2. Individual Project Liquidation

(A) A project’s funds are considered to be liquidated for the purpose of 

progress tracking if all invoices associated with the project under contract 

have been paid. 

(B) For completed projects for which all invoices have been paid except for a 

small amount withheld for making progress payments, both the paid funds 

and the withheld funds will be considered liquidated for the purpose of 

progress tracking. Such progress payments, if used, must be covered in 

the project’s contract and in the air district’s policies and procedures 

manual. Withheld progress payments considered to be liquidated per this 

section that are not ultimately paid to the grantee due to non-performance 

must be treated like other recaptured funds consistent with 

Section P.2.(C).

(C) Funds that have been liquidated on a given project but are later returned 

to the air district are considered recaptured funds. For the purposes of 

progress tracking, such funds will still be considered to be liquidated with 

regard to the original project, but will be added to the contract execution, 

expenditure, and liquidation targets of the current funding year as a 

funding year adjustment when the funds are returned. 

For example, if Project X is liquidated in 2010 but in February 2012, the 

grantee opts to end the contract early and pays the air district back a 

prorated amount of the grant, for tracking purposes the funds associated 

with Project X are still considered to be liquidated in 2010. However, the 

amount paid back to the air district is added as an adjustment to the air 

district’s Year 14 (fiscal year 2011-2012) targets. 

(D) Per Section Z.5.(A), each project’s contract must be liquidated within four 

years from the original date of contract execution. Under no 

circumstances may the liquidation date be extended beyond four years 

from the original date of contract execution. 

3. Administrative fund liquidation. Administrative funds associated with a grant 

must be liquidated by the expenditure deadline requirement for the grant

consistent with Health and Safety Code section 44287(k). For example, 

administrative funds associated with funds awarded Year 13 (fiscal year 2010-

2011) must be liquidated by June 30, 2013.

Q. Cumulative Progress Tracking
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1. ARB shall track, cumulatively, an air district’s progress in meeting program 

milestones to execute contracts, expend funds, and liquidate funds. Funds 

associated with a given funding year must be fully accounted for; however, 

deadlines may be met on a cumulative basis. For example, an air district that 

must demonstrate expenditure of Year 8 funds by the two-year statutory deadline 

may utilize Year 9 funds expended early in place of Year 8 funds not yet 

expended.

2. To assist participating air districts with cumulative tracking, ARB shall maintain in 

the CARL database appropriate progress tracking targets for each participating 

air district for each funding year. These funding targets shall list the total funds 

required to meet given milestones such as contract execution, fund expenditure, 

and funding cycle liquidation. Such tracking targets shall include, as appropriate, 

Carl Moyer Program grant funds (including Multi-district funds awarded pursuant 

to Health and Safety Code section 44286, Rural District Assistance Program 

funds, and Carl Moyer voucher program funds), required match funds, interest 

funds, reallocated funds, recaptured funds, and any other relevant funds 

associated with the Carl Moyer Program.

3. ARB will adjust progress tracking targets to account for the movement of funds 

into and out of an air district’s account (i.e., funds donated to or received from 

RAP), for in-kind match, for interest spent on administration, or as otherwise 

needed.

R. Yearly Report

1. ARB shall send air districts a copy of the appropriate Yearly Report template to 

fill out, or make the report template available on ARB’s website. The Yearly 

Report template shall include instructions for the report’s completion and shall be 

made available to air districts by June 30.

2. Air districts must submit the Yearly Report on or before August 29th. This report 

must provide information regarding projects associated with funds received that 

are under executed contract as of June 30th of that year. Air districts that 

dedicate their full allocation to the Rural District Assistance Program are not 

required to report regarding those funds.

3. The Yearly Report must include the following information:

(A) Project details sufficient to populate the data fields in the CARL database 

for each Carl Moyer Program project, including match fund projects, 

projects funded with earned interest, and AB 923 $2 MV Fee projects 

claimed for State Implementation Plan credit. To provide such project 

details for the Yearly Report, air districts must update all of their project 

information in the CARL database and must ensure that all information in 
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CARL is complete, correct, and supported by relevant documentation 

(e.g., executed contracts and project invoices) maintained by the air 

district.

(B) Quantitative information regarding progress through June 30th on reaching 

program milestones such as contract execution, fund expenditure, and 

funding cycle liquidation, as tracked cumulatively. An air district may 

waive contract execution reporting requirements if the air district is 

covered by a contingency plan to move uncommitted funds to RAP or to a 

partnering air district no later than March 1 prior to the expenditure 

deadline of the funding cycle (e.g., by March 1, 2011, for Year 11 funds, 

which have a June 30, 2011, expenditure deadline). Contingency plans 

must receive air district board approval. Contingency plans involving 

participation of multiple air districts must be described in a memorandum 

of understanding (MOU) approved by all participating air district boards.

(C) The APCO, Chief Financial Officer (CFO), and Carl Moyer Program 

Administrator must sign and certify that the project and fiscal information 

contained within the Yearly Report is, to the best of their knowledge, 

accurate and complete. The air district Board may designate an alternate 

for the CFO; however, the designated alternate must be someone in 

addition to the APCO or Program Administrator, therefore ensuring 

certification of the report by more than one person. Submission of 

executed contracts and/or project invoices to ARB is not required. 

Physical documents are to be maintained at the air district office and 

made available to ARB upon request.

(D) A brief narrative specifying any enforcement actions taken and/or any 

funds recaptured from liquidated projects.

(E) Amount of interest accrued on State Carl Moyer Program funds. See 

Section K for more regarding earned interest.

4. Projects funded with the AB 923 $2 MV Fee that are not Carl Moyer Program 

match projects shall be reported as follows:

(A) Air districts claiming State Implementation Plan credit for AB 923 $2 MV 

Fee projects must report project-by-project details by entering them into 

CARL.

(B) Air districts not claiming SIP credit for AB 923 $2 MV Fee projects must 

report fund expenditures for each of the four allowed uses identified in 

Section H.1., but are not required to report project-by-project details. 

However, ARB recommends that air districts make project information 

publicly available in the interest of transparency. 
As of 7/11/14 3 - 21 PROGRAM ADMINISTRATION

5. Air districts that have not executed contracts to cover all project funds received 

during the previous calendar year must work with their ARB Carl Moyer Program 

liaison to ensure the air district is on target to expend all required program funds 

within two years (see Section Q). At a minimum, such air districts must provide 

an email or other written documentation briefly describing:

(A) The reason for the delay in executing contracts, and

(B) Their schedule for executing the remaining contracts, returning funds to 

ARB, contributing the funds to the Rural District Assistance Program, or 

other action(s) as needed to ensure project funds are expended within the 

two-year deadline. Air districts choosing to contribute funds to the Rural 

District Assistance Program must do so by the March 1 date preceding the 

applicable funding year expenditure deadline (e.g., by March 1, 2011, for 

Year 11 funds, which have a June 30, 2011, expenditure deadline) 

6. If the Yearly Report identifies an expenditure shortfall, the air district must submit 

and ARB must receive a check for the shortfall amount by August 29, concurrent 

with the deadline to submit the Yearly Report. No additional disbursements will 

be made to the air district until the returned funds have been received by ARB.

7. Receipt of a Yearly Report by ARB does not imply ARB approval of project 

eligibility. Air district staff is responsible for project approval and funding eligibility 

determinations. 

8. Air districts that are found to have funded ineligible projects will be required to 

substitute eligible projects equal to the amount found ineligible or return the 

ineligible amount to ARB as mitigation or returned funds. 

S. Return and Reallocation of Unexpended Funds

1. Any air district whose latest required Yearly Report does not demonstrate full 

expenditure of program funds within two years, must return the expenditure 

shortfall within 60 calendar days after the June 30th expenditure deadline (Health 

& Saf. Code § 44287(k)). Funds under executed contract, though not expended, 

do not need to be returned to ARB (Health and Safety Code § 44291(d)).

2. For returned funds (including funds that have been disbursed to districts that are 

subsequently returned to ARB prior to the expenditure deadline required under 

Health and Safety Code section 44287(k)) ARB shall reallocate those funds to air

districts per Health and Safety Code section 44299.2(c). Air districts may apply 

for any amount of the available funds. To be considered for funding, an air

district must apply for the funds and submit a list of eligible projects. The 

application must demonstrate the air district’s ability to expend the amount 

requested on eligible Carl Moyer Program projects expeditiously.
As of 7/11/14 3 - 22 PROGRAM ADMINISTRATION

3. If the total returned funds are less than $300,000, ARB shall determine how to 

reallocate the funds to air districts and/or projects identified in Section S.2. 

4. If the total returned funds are $300,000 or greater, ARB shall take the following 

steps to reallocate the funds:

(A) Using the air districts identified in Section S.2., use the allocation 

methodology per Health and Safety Code section 44299.2(a).

(B) Adjust the results from Section S.4.(A) using the project lists submitted in 

Section S.2. to best match the available funds while also attempting to 

provide up to 20 percent of funds to rural air districts.

5. No administrative funds are provided with reallocated funds.

6. No matching funds are required for reallocated funds.

7. For the timeline for reallocation and expenditure of returned funds, see 

Section B.2. of this chapter – Table 3-2. 

T. Program Non-Performance

1. Program non-performance is air district non-compliance with program Guidelines 

or statute that is not corrected by the air district in a timely or satisfactory fashion. 

As directed by Health and Safety Code section 44291(d), ARB shall monitor air 

district programs to ensure that participating air districts conduct their programs 

consistent with the criteria and guidelines established by the state board. ARB 

may become aware of possible air district non-performance through program 

reports, Program Reviews of air districts, or other means. Examples of program 

non-compliance with program Guidelines or statute include:

(A) Failure to return to ARB a check for the expenditure shortfall identified by 

the Yearly Report (Health & Safety Code § 44287(k)). 

(B) Misuse of Carl Moyer Program funds, including funding of ineligible 

projects.

(C) Insufficient or improper program oversight and enforcement, including 

widespread deficiencies in project contracting, inspections, reviews or 

audits.

(D) Insufficient, incomplete, or inaccurate project documentation.

(E) Failure to submit timely and accurate reports to ARB.
As of 7/11/14 3 - 23 PROGRAM ADMINISTRATION

2. ARB shall make every effort to assist any non-performing air district. 

3. When ARB determines that an air district program is non-compliant, ARB shall 

initiate a series of informal steps to assist the air district as follows: 

(A) The ARB air district liaison and manager shall work with the air district 

staff to understand and resolve the issue. 

(B) If the ARB Branch Chief determines that the non-performance issue has 

not been resolved, the ARB Branch Chief shall contact the air district 

APCO and continue the informal process to understand the issue and 

offer help to resolve the issue.

(C) If the ARB Branch Chief determines that the non-performance issue has 

not been resolved through Section T.3.(B), the ARB air district liaison shall 

send a Program Non-Performance Notification email to the air district’s 

program contact that contains the following:

(1) Description of the problem;

(2) Pertinent details, such as names of involved persons and projects, dates, 

dollar amounts, and citations of relevant guidelines sections, Health and 

Safety Code, and regulations;

(3) Possible solutions to the problem, if some have been identified, and/or 

offer ARB assistance; and

(4) Arrangements for a meeting between the ARB Branch Chief and the air 

district APCO to agree on a plan and timeline for resolving the problem. 

The plan and timeline shall be recorded by the ARB air district liaison and 

emailed to the air district APCO within five business days of the meeting.

4. Lacking satisfactory resolution of the issue(s) described above then in 

accordance with Health and Safety Code section 44291(d) the ARB Executive 

Officer shall determine if the non-performance issue(s) identified in 

Section U.3.(C)(1) warrants ARB’s recapture of funds that have been granted to 

the air district and not yet awarded to approved projects. If so, ARB will send a 

letter of Program Non-Performance to the air district APCO. The letter will set a 

public meeting to be held at the air district’s offices (or other appropriate facility 

within the air district). The purpose of the meeting will be to consider public 

comments prior to any recapture of funds. 

U. ARB Program Oversight 

1. State law assigns ARB the responsibility and authority to oversee Carl Moyer 

Programs and related emission reduction incentive programs as identified in 
As of 7/11/14 3 - 24 PROGRAM ADMINISTRATION

Health and Safety Code section 44291 and Health and Safety Code section 

39500. ARB conducts Program Reviews to ensure that air district programs 

achieve expected emission reductions and are implemented in a manner 

consistent with program guidelines and State law. ARB may also contract with 

the State Department of Finance to conduct fiscal compliance audits of air district 

records within the scope of the Program Review. ARB retains final authority with 

respect to corrective measures and follow-up. Besides identifying program 

deficiencies, Incentives Program Reviews also provide a mechanism for 

identifying the strengths of air district programs. ARB’s specific oversight 

procedures are described in more detail in the Carl Moyer and School Bus

Programs Auditing Policies and Procedures posted on the Carl Moyer Program 

website: http://www.arb.ca.gov/msprog/moyer/audits/audits.htm.

2. ARB shall review a sufficient number of air districts each year to ensure proper 

program implementation. 

3. To ensure objectivity and the efficient use of resources, ARB shall use a riskbased approach to select specific air districts for Program Review during a given 

year and to select specific air district projects to review. Consistent with this 

approach, air districts that demonstrate good performance when reviewed will 

likely be reviewed less frequently in the future than similarly-funded air districts

with poorer Program Review results.

4. ARB’s responsibilities during an Incentives Program Review include the 

following:

(A) Program Reviews shall be conducted in a manner that reflects the public 

responsibility and accountability entrusted to ARB. 

(B) ARB shall generally limit the scope of a Program Review to cover the two 

most recently-completed funding years and the two years currently in 

progress. For example, a Program Review initiated April 2010 would 

typically cover Year 8 (completed June 30, 2008), Year 9 (completed June 

30, 2009), and Years 10 and 11 (in progress).

(C) Once a given funding year is reviewed, ARB will typically not review it 

again unless warranted. ARB reserves the right to investigate possible 

fraud or misuse of funds in any program year. 

(D) ARB shall maintain open channels of communication with the air district 

under review. ARB’s Incentives Program Review procedures contain a 

number of provisions to enable open communications. Such provisions 

include fully explaining the review’s scope and procedure at the beginning 

of the process, discussing preferred channels of communication with the 

air district, informing the air district of potential issues as they unfold, 

affording numerous opportunities for air district input throughout the 
As of 7/11/14 3 - 25 PROGRAM ADMINISTRATION

review, thoroughly discussing any findings and recommendations with the 

air district during the exit interview, and allowing the air district an

opportunity to formally respond to the Incentives Program Review report. 

(E) To ensure objectivity and predictability, ARB shall base its findings and 

recommendations on materials such as State law, ARB’s Program 

Guidelines and Mail-Outs, Program Grant Award and Authorizations, 

email communications between ARB and the air district, an air district’s 

Policies and Procedures Manual, and an air district’s local requirements. 

(F) All Incentives Program Review reports, air district responses, and related 

documents shall be made available to the public via web posting at ARB’s 

Carl Moyer Program website. 

(G) ARB shall conduct sufficient follow-up activities, including assisting air 

districts and conducting follow-up reviews, to ensure that any identified 

deficiencies are promptly and effectively mitigated.

5. Air district responsibilities during an Incentives Program Review include the 

following:

(A) Air districts must ensure that program files and other requested 

information are readily available to Incentives Program Review staff. 

Unless otherwise specified for a specific source category, project files 

must be retained for a minimum of three years after the end of the contract 

term. In the event final payment has not been issued prior to the end of 

the contract term, the three-year clock is re-started upon final payment. 

Applications that were not selected for funding must be retained for a 

minimum of three years after receipt. Administrative records for a given 

funding year (including personnel documentation and records of various 

administrative expenses per Section L) must be retained, at a minimum, 

until the applicable funding year liquidation deadline (e.g., for Year 13 

(fiscal year 2010-2011) funds, the funding year liquidation deadline is June 

30, 2015).

(B) Air district management must, at a minimum, participate in the entrance 

and exit interviews and ensure that air district staff is cooperative with 

Incentives Program Review staff. 

(C) Air district staff must communicate fully with Incentives Program Review

staff and with air district management throughout the course of a review.

(D) If deficiencies are identified during the review, air districts must make 

every effort, including requesting assistance from ARB if necessary, to 

ensure that the identified deficiencies are fully mitigated. Air districts must 

report on their progress at specified intervals.
As of 7/11/14 3 - 26 PROGRAM ADMINISTRATION

6. AB 923 $2 MV Fee projects are subject to Program Review or evaluation as 

follows:

(A) A Carl Moyer Program match project funded with the AB 923 $2 MV Fee 

will be subject to the same review and oversight requirements and 

protocols as other Carl Moyer Program match projects.

(B) A non-match project funded with the AB 923 $2 MV Fee may be evaluated 

by ARB in conjunction with a Program Review. Evaluation of these 

projects shall be limited to project eligibility. Any irregularities regarding 

non-match AB 923 $2 MV Fee project eligibility must be reported 

separately from Carl Moyer Program Incentives Program Review findings.

V. Minimum Project Application Requirements

1. Air districts and ARB shall conduct outreach to inform potential project applicants 

of the availability of grants and the requirements and objectives of the 

Carl Moyer Program (Health & Safety Code § 44290).

2. Project applications must include all information needed to populate and 

calculate project cost-effectiveness in CARL. 

3. Information regarding previous years of existing engine usage (e.g. miles 

traveled, hours operated, or fuel consumed per year) must be documented and 

included in the project application. This information must be used to evaluate

project cost-effectiveness and the maximum grant award amount. At the air 

district’s option, minimum annual usage is not required to be specified in the 

contract for projects in which at least twenty-four (24) months of complete 

historical usage prior to the application date have been documented and verified 

by the air district. If an applicant has been on active military duty at any time 

during the previous twenty four (24) months, documentation prior to deployment 

and covering the same length of time as the deployment period may be used to 

meet the title, registration, usage, and operation in California requirements as 

applicable for each source category. The applicant must submit a copy of DD 

Form 214, Certificate of Release or Discharge from Active Duty to verify military 

service during the deployment period.

4. Applications must include a signature section for third parties. A third party may 

complete an application or part of an application on an owner’s behalf if the 

vehicle, engine, or equipment owner signs the application. The third party 

signature section must include signature and date lines, and blanks for the third 

party to indicate the amount and source of payment, if any. 

5. Project applications must include language informing the applicant that by 

signing and submitting the application, the applicant certifies under penalty of 
As of 7/11/14 3 - 27 PROGRAM ADMINISTRATION

perjury that the information in the application is accurate and true. In addition,

the application must include the following statements that the applicant or the 

applicant’s designee must certify as accurate and true:

(A) A disclosure statement.

(1) The disclosure statement must specify whether the applicant has

submitted an application for incentive funds to any other entity or program 

for the same equipment (for example, repowering of the same project 

engine). If so, the applicant must disclose to whom the other application 

was submitted, and whether funds have been awarded or may be 

awarded. If funds have been awarded or may be awarded, the funding 

amount must be disclosed.

(2) An applicant may re-apply for project funding if a previous application for 

the same project has been rejected by the air district and is no longer

being considered for funding.

(3) An applicant must disclose the value of any current financial incentive that 

directly reduces the project cost, including tax credits or deductions, 

grants, or other public financial assistance for the same engine. The 

incremental cost of the project will be reduced by the amount of the 

current financial incentive, except for projects, beginning July 1, 2011, in 

which the following funding sources are used to reduce greenhouse gas 

emissions:

a. Federal funding to reduce greenhouse gas emissions. 

b. Alternative and Renewable Fuel and Vehicle Technology Program.

(4) An applicant who is found to have applied for or received incentive funds 

from another entity or program for the same project without disclosing that 

information as required by Section W.5.(A)(1), shall at a minimum, be 

disqualified from funding for that project from all sources within the control 

of an air district or ARB. ARB and the air district may also seek civil 

penalties for such non-disclosure.

(B) A regulatory compliance statement form requiring the applicant to certify 

that they are currently in compliance with all federal, state, and local air 

quality rules and regulations at time of application submittal.

W. Application Evaluation and Project Selection

1. Air districts must review all applications for completeness upon receipt and notify 

the applicants within five working days of receipt if their application is not 

complete, consistent with Health and Safety Code section 44288(a). The air 
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district must make every effort to clearly state to the applicant what is required to 

make the application complete. The application and all correspondence with the 

applicant should be kept in the applicant’s project file. Additionally, the record of 

each project’s rating and ranking, receipt date, or other project selection criteria 

must be maintained with the project file. 

2. Air districts are responsible for determining that project applications are credible, 

made in good faith, and in compliance with the Carl Moyer Program and its 

objectives.

3. Air districts must ensure that the emission reductions provided by selected 

projects are eligible and surplus to adopted regulations and other legal 

requirements. This should include checking to ensure the project meets all of the 

minimum requirements outlined in the appropriate source category chapter:

(A) Documentation of historical vehicle, equipment, or engine usage;

(B) Documentation of project costs;

(C) Engine or retrofit device Executive Orders, if applicable;

(D) Proof of a vehicle compliance check, as needed, for on-road (which 

includes emergency vehicle) projects; and

(E) Other documentation identified in the relevant source category chapter.

4. Air districts must have a system for tracking applications. CARL may be used to 

satisfy this requirement if an air district enters the data from all applications 

received into this database, whether the application is provided funding or not. 

At a minimum, the tracking system shall include the minimum information needed 

to readily identify the project applicant, project type, and project eligibility, and to 

calculate project cost-effectiveness and maximum grant award in CARL. Air

districts that import project information into CARL are responsible for ensuring 

the accuracy of their calculations of cost-effectiveness and eligible funding 

amounts. Minimum allocation air districts and any other implementing air districts

receiving less than one-half percent of the current fiscal year total Carl Moyer 

Program Funds, or $450,000, whichever is less, are not required to maintain an 

application tracking system.

5. The following requirements apply to those air districts that do not operate and 

maintain their own databases:

(A) Information for projects selected for funding must be entered into CARL to 

ensure each project meets the emission reduction requirements and costeffectiveness criteria of the Carl Moyer Program. 
As of 7/11/14 3 - 29 PROGRAM ADMINISTRATION

(B) No project will be funded unless CARL indicates the emission reduction 

requirements and cost-effectiveness criteria of the Carl Moyer Program 

have been met. 

(C) If CARL indicates the project does not meet either the emission reduction 

requirements or the cost-effectiveness criteria of the Carl Moyer Program 

and the air district representative believes the project should actually 

qualify, the air district representative may contact his or her ARB liaison to 

further evaluate project eligibility.

6. The air district must maintain a copy of each application and a file for each 

project selected for funding. An air district may use a solely electronic file system 

only if the air district satisfactorily demonstrates to ARB that all documentation is 

maintained and can be easily accessed on demand. Unless otherwise specified 

for a specific source category, project files must be retained three years after the 

end of the contract term. In the event final payment has not been issued prior to 

the end of the contract term, the three-year clock is re-started upon final 

payment. 

7. Air districts must keep project applications until a minimum of three years after 

receipt for projects not selected for funding.

8. Projects approved for funding must meet all applicable requirements of these 

guidelines. Once an air district has checked the eligibility of projects, the air 

district must follow its Policies and Procedures Manual in selecting projects to 

fund.

9. Carl Moyer Program participants that received funding and are still under 

contract may not apply for funding for the same project through the Carl Moyer 

Program, the Voucher Incentive Program, the Goods Movement Emission 

Reduction Program, or any other program.

(A) If an air district chooses to amend a contract to reduce the term, the

amended project must be cost-effective during the reduced contract term, 

based on the cost-effectiveness values and limit that applied when the 

original contract was executed. If an air district agrees to accept a 

prorated repayment of the Carl Moyer Program grant, the repayment and 

amended contract execution must both occur prior to the execution of any 

new contract for funding. 

(B) Emissions reductions that were previously funded are part of the baseline 

and must not be included as emissions benefits of any subsequent project 

designed to achieve emission reductions, including the Carl Moyer 

Program, the Voucher Incentive Program, or the Goods Movement 

Emission Reduction Program. 
As of 7/11/14 3 - 30 PROGRAM ADMINISTRATION

10. An air district’s methodology for notifying applicants of their prospective award 

must be included in its Policies and Procedures Manual. 

11.Air districts with a population greater than one million inhabitants must select 

from their applicant pool in a way that ensures that 50 percent or more of their 

Carl Moyer Program funds (including the smog abatement fee and tire fee) are 

expended on projects that are located in/or operate in environmental justice/high 

risk communities (Health & Safety Code § 43023.5). Air districts may track this 

on a cumulative basis (see Section Q.1.).

12.ARB shall include a solicitation packet on its website for multi-district projects that 

are solicited and selected by ARB consistent with Health and Safety Code 

section 44286(d). The multi-district project solicitation packet shall include the 

application requirements and application due date, project eligibility criteria, and 

project selection criteria.

X. Case-by-Case Determination Process

1. An air district may request ARB review of a project or other Carl Moyer Program 

element that varies from the requirements of these Guidelines for a case-by-case 

determination. ARB Carl Moyer Program staff may approve such a project or 

other program element if the outcome of this approval would not adversely 

impact achievement of real, surplus, quantifiable, enforceable, and cost-effective 

emission reductions, would not significantly reduce program transparency, and is 

not prohibited by law.

2. An air district requesting a case-by-case determination for a project must submit 

the following to Carl Moyer Program staff (e.g., liaison and/or source category 

expert):

(A) A summary of the request and reference(s) to the pertinent area(s) of the 

Guidelines which the air district is asking for additional guidance and 

approval.

(B) Documents providing information essential to the request for approval 

including, but not limited to, baseline and new engine information, the 

associated ARB engine Executive Orders and/or United States

Environmental Protection Agency Certificate of Conformity for baseline 

and new engines, other related applicant information from a completed 

application.

(C) Other information and documents as requested by Carl Moyer Program 

staff.

Once the above information has been submitted, ARB staff will respond to the air 

district within 15 business days with a determination or estimated date of 
As of 7/11/14 3 - 31 PROGRAM ADMINISTRATION

determination.

3. The requested project or program element submitted for review shall be deemed:

(A) Approved: Approval of a project does not imply or equate to “blanket 

approval” of other similar projects.

(B) Not Approved: Non-approval of a project does not imply or equate to 

“blanket non-approval” of other similar projects.

(C) No Action / CBC approval not required: ARB evaluation concludes that a 

case-by-case determination is not required as the request already 

conforms to the requirements or intent of the Guidelines.

4. Air districts are required to request a case-by-case determination even if they 

believe a project is similar to previously-approved case-by-case projects. ARB 

may initiate a guideline modification under the Executive Officer’s authority to 

establish general approval. Subsequent requests for ARB approval would not be 

required for a project or program element covered by a general case 

determination.

5. All case-by-case determinations submitted for review and all general case 

determinations will be made available to the public via web posting at ARB’s Carl 

Moyer Program website. 

6. Air districts must keep a copy of the determination, either approved or not 

approved, in the project file. Written case-by-case approval for other program 

elements must be kept by an air district with the air district Policies and 

Procedures manual and be readily available for ARB Program Review staff.

7. All attempts should be made to request a case-by-case determination prior to 

contract execution. However, in rare circumstances in which an unforeseen 

event, subsequent to contract execution, leads to a project or program element 

that varies from the requirements of these Guidelines, a request for case-by-case 

determination as outlined in Section Y.2. will also be required.

Y. Minimum Contract Requirements

1. General Requirements. Air districts participating in the Carl Moyer Program must 

execute contracts with prospective grantees who will receive funds under the 

Carl Moyer Program. All Carl Moyer Program project contracts must include the 

elements described in this section. Projects funded by the Carl Moyer Program 

may not be used to generate a compliance extension or credit for determining 

regulatory compliance. All executed project contracts and contract amendments 

must be kept in the air district’s project file. 
As of 7/11/14 3 - 32 PROGRAM ADMINISTRATION

2. Party Names and Date. All contracts must state the name of the air district and 

the grantee as parties to the contract. Contracts must include signature blocks 

with an area for the dates the contract is signed, or the execution date must 

otherwise be clearly indicated in the contract.

3. Notices. All contracts must include contact information for both parties to the 

contract, including how to send and receive notices.

4. Funds from Other Sources. 

(A) Grantees must certify that they have disclosed all other public funds that 

they have applied for or received for a project. 

(B) A grantee may receive Carl Moyer Program funding from multiple air

districts for the same project if these entities are coordinating to jointly 

fund portions of the project. The contract must list the entities involved 

and funding provided. 

(C) The contract must prohibit the grantee from applying for or receiving other 

public funds for the same project except in the following situation. Starting 

July 1, 2011, grantees may apply for and receive additional funding for the 

same project from federal programs to reduce greenhouse gas emissions 

(GHG) or funding provided by the Alternative and Renewable Fuel and 

Vehicle Technology Program to reduce GHG. These funds are not 

required to be included in the cost-effectiveness calculations (See 

Appendix C), but they are subject to the disclosure requirements. The 

total public funds received by the grantee during the term of the Carl 

Moyer Program contract cannot exceed 85 percent of the project cost (see 

Chapter 2: General Criteria).

5. Contract Term. All contracts must specify the term of the contract. The contract 

term shall include two time frames − “project completion” and “project 

implementation” − to ensure that the air district and ARB can fully enforce the 

contract during the life of the Carl Moyer Program-funded project. 

(A) Project Completion. Project completion is the time frame starting with the 

date of execution of the contract to the date the project post-inspection 

confirms that the project has become operational. This includes the time 

period when an engine or vehicle is ordered, delivered and installed. The 

contract must include a specified time frame in which project completion 

will occur so that the contract is liquidated within four years from the 

original date of contract execution. Under no circumstance may the 

liquidation date be extended beyond four years from the original date of 

contract execution.

(B) Project Implementation. The project implementation time frame is the 
As of 7/11/14 3 - 33 PROGRAM ADMINISTRATION

second part of the contract term, and must equal the project life used in 

the project cost-effectiveness calculation. The contract must specify that 

the grantee is required to operate and maintain their Carl Moyer Programfunded project according to the terms of the contract for the full project 

implementation period.

6. Project Specifications. All contracts must include detailed information on the 

baseline and new vehicles, equipment, and/or engines that were used in the 

project cost-effectiveness calculation. This requirement may be met by including 

the project application as an attachment to the contract as long as the application 

is accurate and complete.

(A) A program-eligible replacement vehicle, piece of equipment and/or engine 

that is verified or certified to achieve equivalent or greater reductions than 

the original project replacement vehicle, piece of equipment and/or engine 

may be substituted with prior approval of the air district. 

(B) All contracts must specify the amount the engine is to operate within 

California (or the air district) each year based on hours, miles, or fuel 

usage. 

(1) For projects for which at least twenty-four (24) months of complete 

historical usage are documented and verified by the air district, minimum 

annual usage is not required to be specified in the contract. Such 

historical usage must be documented for at least the twenty-four (24) 

consecutive months immediately prior to the application date. 

(2) The types of acceptable documentation for establishing historical annual 

usage will be clearly defined in each air district’s policies and procedures 

manual and will be subject to ARB approval at ARB’s request. 

(3) Additional forms of documentation to verify historical annual usage that

are not included in an air district’s policies and procedures manual can be 

evaluated and approved by ARB on a case-by-case basis.

(C) Contracts must also contain a statement that the project complies with the 

Carl Moyer Program Guidelines and that the grantee will meet the 

following requirements: 

(1) Certify that the grantee’s fleet, engine(s), or equipment/vehicle is in 

compliance with all applicable federal, state, and local air quality rules and 

regulations at time of contract execution. 

(2) Maintain compliance with all applicable federal, state, and local air quality 

rules and regulations for the full contract term. 
As of 7/11/14 3 - 34 PROGRAM ADMINISTRATION

(3) For repower projects, the installation of the engine must be completed in a 

manner such that it does not void the engine warranty provided by the 

manufacturer and any remaining warranty provided by the 

equipment/vehicle manufacturer.

(D) Contracts must specify the following : 

(1) Projects funded by the Carl Moyer Program must be included when 

defining the size of the fleet for determining regulatory requirements.

(2) Throughout the contract term, projects funded by the Carl Moyer Program 

must not be used to generate credits or compliance extensions, and must 

be excluded when determining regulatory compliance.

7. Maintenance. All contracts must require the grantee to maintain the vehicle, 

equipment and/or engine according to the manufacturer’s specifications for the 

life of the project, and include a prohibition on engine tampering. The grantee

must maintain a working hour meter for projects that use hours of operation as a 

means of calculating emission reductions and cost-effectiveness. If the hour 

meter fails, the grantee must immediately notify the air district, and remain

responsible for validating any hours not recorded by the hour meter. The grantee

must either repair or replace the non-operating meter or provide other 

documentation of equipment operating hours acceptable to the air district.

8. Payment. Before a Carl Moyer Program payment may be made to a project 

participant, the project contract must be executed, an eligible invoice must be 

received by the air district, and the project post-inspection must be successfully 

completed to document the completion of the work specified in the invoice. The 

equipment must be operational before the final payment is issued. All contracts 

must include the following payment terms:

(A) Maximum Contract Amount. The maximum contract amount must not 

exceed the maximum funding level corresponding to the current program 

cost-effectiveness limit, nor may the maximum contract amount exceed 

the project incremental cost. The maximum contract amount must also 

comply with any funding caps and other criteria for the specific project 

category as identified in these Guidelines.

(B) Itemized Invoices. Payment terms must require itemized invoices from the 

engine supplier for repowers or paid invoices from the vehicle owner for 

new vehicles and satisfactory post-inspection by the air district prior to 

payment of the owner’s invoice. An invoice payment for a specific vehicle, 

engine, or piece of equipment may not exceed the amount indicated on 

the project contract for that vehicle, engine, or piece of equipment. The 

contract should be clear that the air district will pay the lower of the 

contract amount or the final invoice amount. Invoices must meet the 
As of 7/11/14 3 - 35 PROGRAM ADMINISTRATION

minimum requirements of Section CC to be eligible for Carl Moyer 

Program funding.

9. Reporting. All contracts must include a provision for grantees to submit annual 

reports commencing no later than 18 months after project post-inspection and 

continuing annually thereafter throughout the project implementation phase of the 

contract. The air district must include the dates the grantee Annual Report is 

due. 

(A) If the air district monitoring phase (i.e. project implementation phase) of 

the contract term exceeds five years, the grantee’s reporting responsibility 

may be reduced to once every other year after the initial five years of 

reporting. 

(B) If the project is a zero-emission technology, reporting may be reduced to 

biennially for the first six years of the contract term. No Annual Reports 

are required thereafter. 

(C) During the project implementation phase, the air district is responsible for 

monitoring the project to assure the project is operational and the project 

emissions reductions are realized. 

(D) The contract must inform the grantee that noncompliance with the 

reporting requirements will require on-site monitoring or inspection(s). 

10.On-Site Inspections and Audits. All contracts must include language that allows 

the air district, ARB, or their designee to conduct a fiscal audit of the project 

and/or to inspect the project engine, vehicle, and/or equipment and associated 

records during the contract term. Contracts must require the owner to maintain 

and retain the project records for at least three years after contract expiration. 

11.Repercussions for Nonperformance. Air districts must include repercussions for 

non-compliance with the obligations of the contract. 

(A) The contract must specify that by executing the contract, the grantee

understands and agrees to operate the vehicle, equipment, and/or engine 

according to the terms of the contract and to cooperate with the air district 

and ARB in implementation, monitoring, enforcement, and other efforts to 

assure the emission benefits are real, quantifiable, surplus, and 

enforceable.

(B) The contract must describe the repercussions to the grantee for 

noncompliance with contract requirements, including but not limited to 

cancelling the contract and recapturing project funds in proportion to any 

loss of emission reductions as agreed to in the contract (Health & Safety

Code § 44291(c)).
As of 7/11/14 3 - 36 PROGRAM ADMINISTRATION

(C) The contract must inform the grantee that ARB and the air district have the 

authority to seek any remedies available under the law for noncompliance 

with Carl Moyer Program requirements and nonperformance with the 

contract. Air districts may consider unforeseen circumstances beyond the 

grantee’s control in determining repercussions for nonperformance. 

(D) The contract must state that ARB, as an intended third party beneficiary, 

reserves the right to enforce the terms of the contract at any time during 

the contract term to ensure emission reductions are obtained.

Z. Project Pre-Inspection

1. Once an application is deemed eligible, the air district must complete a preinspection. Air districts may choose to allow public agencies (e.g. public works 

departments, transit organizations, and school districts) to provide documentation 

of the engine(s) and its use in lieu of a pre-inspection. 

2. The pre-inspection form and information to be documented must include, at a 

minimum, the following:

(A) Information regarding the baseline engine, vehicle, or equipment as 

needed to uniquely identify, establish eligibility, provide a basis for 

emission calculations, populate the CARL database, and ensure contract 

enforceability. Such information includes (as applicable) make, model, 

year, horsepower, fuel type, engine family, engine tier, serial number, 

vehicle identification number (VIN), and any additional information 

pertinent to the project. Engines without a visible and legible serial 

number must be uniquely identified by having the engine block stamped 

with a Carl Moyer Program number or alternative permanent marking such 

as an engine tag.

(B) The project usage (hours or miles) meter reading if used in the project 

cost-effectiveness calculation. The inspector must verify that stated 

project usage is reasonable given the usage meter reading. 

(C) Verification that the engine is operational (with a start-up) and that the 

engine is working as described in the application (document function and 

use). 

(D) Photo documentation of the engine, vehicle, or equipment information. 

The photos must include the legible serial number of the engine (if 

available) and/or any other identifying markings. Air districts must include 

in their Policies and Procedures Manual a method for cataloging, 

referencing, storing and easily retrieving project-specific photos. These 

methods may include electronic filing for digital photos, the inclusion of 
As of 7/11/14 3 - 37 PROGRAM ADMINISTRATION

project-specific information (applicant name, date, project number, etc.) 

within each photograph or inscribing each photo with pertinent projectspecific information. ARB approval of the air district’s Policies and 

Procedures Manual shall indicate approval of the photo documentation 

methodology.

(E) Other relevant information including, but not limited to: 

(1) Name of inspector;

(2) Date of inspection;

(3) Name and contact information of engine or equipment owner; and

(4) Location of the engine or equipment.

3. Either at the time of application, or no later than the time of pre-inspection the 

district must obtain certification and submission of supporting documentation 

from the applicant that their engine(s), vehicle/equipment, or project fleet is 

currently in compliance with the applicable rules or regulations affecting the 

engine(s), vehicle/equipment for which they are requesting funding. 

4. The air district must maintain a hard copy of the completed pre-inspection form in 

the air district’s project file. 

5. All projects other than on-road retrofit projects must be pre-inspected personally 

by air district staff. An air district may enter into a contract with a vehicle or 

equipment dealer to pre-inspect on-road retrofit projects. An air district that

enters into such a contract must ensure the following:

(A) The vehicle or equipment dealer must complete and sign the appropriate 

inspection forms and provide photographic evidence that the equipment is 

correctly identified on the form. Photographic evidence must include the 

engine tag and emissions information.

(B) The air district must define in its Policies and Procedures Manual its 

protocol for ensuring the correct verified project retrofit will be properly 

installed on the eligible project vehicle.

(C) The air district must define the consequences of fraud in the contract with 

the dealer. 

(D) The air district must randomly inspect at least ten percent of 

vehicles/equipment that have been pre-inspected by the dealer pursuant 

to the agreement. 
As of 7/11/14 3 - 38 PROGRAM ADMINISTRATION

6. The project pre-inspection must be completed prior to a project contract 

execution and the information in the contract must be consistent with the 

information gathered during the pre-inspection. An air district may apply to ARB 

for approval to conduct pre-inspections after contract execution on a case-bycase basis. Case-by-case approval of such a procedure shall depend upon the 

following conditions being met: 

(A) The air district describes the program benefits it would achieve by 

conducting pre-inspections after contract signature. 

(B) The project contract includes language to indicate contract terms may be 

adjusted or the contract may be deemed void based upon information 

collected during the pre-inspection. The air district must also include a 

process for informing the prospective grantee of such.

(C) The air district’s Policies and Procedures Manual clearly specifies the 

process for conducting pre-inspections after contract execution and any 

additional procedures enacted to ensure the project achieves real, 

surplus, enforceable, and quantifiable emission reductions. Work on the 

project engine, vehicle, or equipment may not commence until after the 

pre-inspection.

7. Minimum allocation air districts and any other implementing air district receiving 

less than one-half of one percent of the current fiscal year total Carl Moyer 

Program Funds, or $450,000, whichever is less, may reduce their required 

project pre-inspections to a minimum of 25 percent of the total number of projects 

associated with the current fiscal year funds. Projects must be selected from 

each source category funded.

AA. Project Post-Inspection

1. An air district must gather and document post-inspection information on all 

projects funded under the Carl Moyer Program. 

(A) The air district must conduct a post-inspection after it receives an invoice

for a project from the grantee or otherwise receives notice the project is 

complete. If the post-inspection occurs before the air district receives the 

project invoice, the invoice must be reviewed for consistency with the new 

engine, vehicle, or equipment information from the post-inspection form.

(B) For public fleets such as transit organizations where more than 20 of the 

vehicles in the fleet are included in the project, the air district may choose 

to inspect a statistically significant random sample of the vehicles included 

in the project. 

(C) The inspector must record, at a minimum, information regarding the new 
As of 7/11/14 3 - 39 PROGRAM ADMINISTRATION

project engines, vehicles/equipment, and retrofit devices as needed to 

uniquely identify, establish eligibility, provide a basis for emission 

calculations, populate the CARL database, and ensure contract 

enforceability. Such information includes (as applicable), make, model, 

year, horsepower, fuel type, engine family, engine tier, serial number, VIN 

number, retrofit device certification level, and any additional information 

pertinent to the project. Submersible pump inspections may have the 

applicant take a picture of the motor name plate information including, 

make, model, and serial number prior to installation inside the irrigation 

well. The district will verify the make, model and horsepower rating 

information with the project invoice.

(D) The engine must be operational in the equipment or vehicle as stated in 

the contract. The inspector must visually witness all engine start ups and 

operation of all mobile projects. 

(E) The engine, vehicle/equipment, and retrofit information must be 

documented with photos. The photos must include the serial number of 

the engine or retrofit (if legible) and/or any other identifying markings. 

Photos of the scrapped or destroyed engine must be included. Air districts

must include in their Policies and Procedures Manual a method for 

cataloging, referencing, storing and easily retrieving project-specific 

photos. These methods may include electronic filing for digital photos, the 

inclusion of project-specific information (applicant name, date, project 

number, etc.) within each photograph or inscribing each photo with 

pertinent project-specific information. ARB approval of the air district’s 

Policies and Procedures Manual shall indicate approval of the photo 

documentation methodology.

(F) The post-inspection form must also contain other relevant information 

including, but not limited to: 

(1) Name of inspector;

(2) Date of inspection;

(3) Name and contact information of engine or equipment owner; and

(4) Location of the engine or equipment.

(G) The air district must maintain a hard copy of the completed post-inspection 

form in the air district’s project file.

2. Post-inspection of a retrofit device requires the collection of additional information 

from the labels affixed on both the retrofit device and the engine. The air district 

may make payment once post-inspection confirms the retrofit device and the 
As of 7/11/14 3 - 40 PROGRAM ADMINISTRATION

engine are properly labeled with the manufacturer name, family name, and serial 

number. Retrofit projects that do not have the proper retrofit labels containing 

the required information on both the device and the engine are non-compliant 

with ARB retrofit verification and labeling requirements. The post-inspection form 

must note any missing information and a dated record of the notification must be 

kept in the project file. Potential scenarios are summarized below, which air 

district staff must address prior to payment: 

(A) The retrofit device is properly labeled but the engine lacks a label: An 

engine label should be readily obtainable from the retrofit manufacturer by 

reference to the serial number. The air district may make payment once 

the grantee has been informed that the engine must also be labeled. 

(B) The retrofit device is labeled but the label does not have the required 

items: The air district must contact the manager of the In-Use Control 

Measures section or their Carl Moyer Program liaison to determine if an

alternate label has been approved. The air district may make payment 

once it gets approval from ARB or a compliant label has been installed on 

the retrofit device. 

(C) The engine is properly labeled but the retrofit device lacks a label: The air 

district may make payment once a compliant label has been installed on 

the retrofit device.

(D) No label is found on either the engine or the retrofit device: The air district 

may make payment once a compliant label has been installed on both the 

engine and the retrofit device.

3. Post-inspection of a new electric motor on an agricultural pump must also include 

recording of the serial number of the variable frequency device if the project 

includes one.

4. The air district must verify that the existing (old) engine is destroyed and 

rendered permanently unusable and irreparable. 

(A) Air district staff must verify and document through photographic or video 

evidence that the destroyed engine serial number matches that on the 

project contract.

(B) Air district staff must verify that engines without a visible and legible serial 

number are uniquely identified by the correct air district stamp or other 

permanent marking prior to engine destruction, as per Section AA.2.(A). 

(C) Methodology for verifying engine destruction must be identified in the air 

district’s Policies and Procedures Manual. ARB approval of the Policies 

and Procedures Manual shall indicate ARB approval of the air district’s 
As of 7/11/14 3 - 41 PROGRAM ADMINISTRATION

methodology for verifying engine destruction.

(D) Destruction methods and requirements specific to the on-road fleet 

modernization category, off-road equipment replacement, and the light 

duty vehicle category are described in those chapters. 

5. The air district must verify that the information collected in the post-inspection is 

consistent with the project contract.

BB. Project Invoice and Payment

1. With the exception of some progress payments as described in Section CC.6.

and consistent with Section O of this chapter, an itemized invoice for a project (or 

a completed portion of a project if a partial payment is being made) must be 

received by the air district and a post-inspection of the project must indicate the 

project is in-place and operational before the air district may make a payment. 

See Chapters 10 (Portable and Stationary Agricultural Sources) and 12 (Marine 

Vessels) for specific exemptions for electric agricultural irrigation pump motors 

and shore-side shore power projects, respectively. A project invoice must 

include enough detail to ensure only eligible project costs are being reimbursed, 

yet clear and concise enough to be understandable. The air district must review 

the itemized invoice and only pay for eligible expenses.

2. Equipment and parts on engine repower projects are eligible for funding only if 

they are required to ensure the effective installation and functioning of the new 

engine, but are not part of typical vehicle or equipment maintenance or repair. 

Ineligible repower costs include tires, axles, paint, brakes, and mufflers. 

Ineligible marine vessel repower costs are described in the marine vessel

chapter of these Guidelines.

3. In order to be eligible for Carl Moyer Program funding, labor expenses must be 

included in the project invoice, which must detail the number of hours charged 

and the hourly wage. 

4. Taxes, installation costs for eligible hardware, and transport costs for eligible 

hardware are eligible for Carl Moyer Program funding at the air district’s 

discretion.

5. A potential grantee may not order or make a down payment on a new engine, 

piece of equipment, or vehicle prior to air district approval of the project, either 

via contract execution or approval by the governing board or board designee. 

Dealers ordering engines, equipment, or vehicles prior to air district approval of 

grant applications assume all financial risk and are in no way ensured program 

funds. A grantee may not receive engines, equipment, or vehicles, nor may work 

begin on a repower or retrofit project, until the project contract is fully executed, 

unless the air district has provided the potential grantee with a written notification 
As of 7/11/14 3 - 42 PROGRAM ADMINISTRATION

that any work performed is not guaranteed funding until a contract is executed. 

6. Partial payments, including progress payments, may be made only if the 

payment process and requirements have been reviewed and approved by the air 

district, are described in the air district’s Policies and Procedures Manual, and 

are described in the contract. If multiple engines, vehicles or pieces of 

equipment comprise a project under one contract, all the funds under the 

project’s contract may be counted as expended consistent with Section O.3. of 

this chapter as long as the air district has paid the approved grant amount of one 

or more units that are invoiced and ascertained by post-inspection to be in place 

and operational.

7. Progress payments (for example, providing partial payment for an engine prior to 

its installation and operation) will only be made after the grantee provides the air 

district with sufficient evidence of completing predetermined milestones such as 

engine delivery. The air district must maintain a clear record of progress 

payments in the file and in the administration or fiscal unit of the air district. 

Funds under a contract for which progress payments are being made may not be 

counted as expended until such time that the air district pays the incremental 

cost of an invoiced engine, vehicle, or piece of equipment that has been 

ascertained by post-inspection to be in place and operational consistent with 

Sections O.3. and P.2.(B) of this chapter. Progress payments include final 

payments that are withheld until all reporting requirements are met (also known 

as “withhold payments”).

8. Payments typically will be made directly to the grantee. However, payments may 

be made directly to the dealer or distributor only if such payment arrangements 

are specified in the contract.

9. Additional project invoicing requirements may also be included in the source 

category chapters. 

10.For all on-road and emergency vehicle projects, should a compliance check 

indicate that there is an outstanding violation with any vehicle in the applicant’s 

fleet, no disbursement may be made until the applicant provides proof to the 

district that each violation has been corrected and each fine has been paid. 

11.Where a contract requires a grantee to demonstrate that specific regulatory 

compliance requirements have been met, in order to receive funding (such as

engines subject to the Portable Equipment ATCM), air districts may not pay 

invoices until the grantee has provided documentation that the requirements 

have been met. A project participant may demonstrate this via a detailed letter 

signed by the vehicle or equipment owner or legal representative or, if the 

regulation requires ARB (or the air district) to certify compliance, through ARB (or 

air district) certification. For more information, see the associated category 

chapter. Air districts are not to be held liable if a grantee falsifies this 
As of 7/11/14 3 - 43 PROGRAM ADMINISTRATION

documentation.

12.Invoices received after the project post-inspection has been complete must be 

evaluated for consistency with the information gathered during the project postinspection (See Section BB.1.).

13.The air district must maintain copies of all invoices and documentation of 

payment in the project file or otherwise keep copies on-site at the air district

office and be readily available. 

CC. Grantee Annual Reporting

1. Air districts must require all grantees to submit annual reports commencing no 

later than 18 months after the project post-inspection and annually thereafter for 

the term of the contract, with the following exceptions:

(A) If the air district’s monitoring phase of the contract term exceeds five 

years, the grantee’s reporting responsibility may be reduced to once every 

other year after an initial five years of satisfactory reporting. 

(B) If the project involves a zero-emission technology, grantee reporting may 

be reduced to biennially for the first six years. No annual reports are 

required thereafter. 

2. The annual report must be in a format prescribed by the air district and must

contain all of the following information:

(A) Grantee’s name, address, and telephone number.

(B) Information needed to uniquely identify the project engine, vehicle, or 

equipment, such as engine make, model, horsepower, and serial number. 

(C) Estimated percentage of time the vehicle or equipment has been operated 

in California since the previous annual report.

(D) Readings of the usage meter (hour meter, odometer, electronic monitoring 

unit (EMU), etc.). 

(E) Except for projects in which usage is not required to be specified in the 

contract (as allowed per Section Z.6.(B)(1) above), if usage is more than 

30 percent below that identified in the project application, the grantee must 

describe any conditions (such as weather, permits, major maintenance, 

etc.) that significantly impacted project usage. In instances where annual 

usage is significantly lower than the contracted level due to unforeseen 

circumstances beyond the control of the grantee, the grantee may request 

a waiver from the air district per Section FF.4.(D).
As of 7/11/14 3 - 44 PROGRAM ADMINISTRATION

3. The air district must review the annual report for completeness, accuracy, and 

usage. A hard copy of the annual report, initialed and dated by the reviewing 

staff, must be maintained in the project file. An air district choosing an alternative 

method to indicate its review and approval of annual reports must identify such 

alternative method in its Policies and Procedures Manual.

4. If an annual report is incomplete, inaccurate or not received from the grantee on 

schedule, the air district will make a reasonable attempt to obtain a complete and 

accurate report from the grantee. If the air district is unable to obtain the report, 

the air district must review all of the engines in that project, as per Section EE. 

5. Air districts must keep a list of the grantee(s) from whom any reports are more 

than six months late. Grantees with reports that are more than six months late 

will not be granted any additional Carl Moyer Program funds until all reports are 

satisfactorily submitted.

DD. Air District Audit of Projects

1. Each calendar year, air districts must conduct audits of projects funded with Carl 

Moyer Program Funds (see definitions, including project funds, earned interest, 

and match funds). The audits must, on an annual basis, include at least five 

percent or 20 active projects (whichever is less): the district may include in this 

total the audits of the projects whose owners fail to submit their most recently 

required project annual report. The requirements of Section CC of this chapter to 

audit all such projects also apply, even if the total projects audited exceed five 

percent of, or 20, active projects.

2. Audits must be completed by air district staff and, at a minimum, include an 

inspection that verifies that the engines and emission control devices paid for are 

still owned by the grantee named in the contract, operational in the same 

equipment, and meet the mileage, fuel usage, or hours of operation indicated in 

the executed contract. This must be performed by checking the serial number of 

the engine; witnessing the operation of the engine; and checking the odometer, 

hour meter/usage device, fuel receipts, or EMU. 

3. Audits of multi-equipment/engine projects of up to 25 pieces must include 

inspection of at least two pieces, and for projects of 25 pieces or more must

include inspection of at least five pieces.

EE. Nonperforming Projects

1. An air district must work with nonperforming project grantees to ensure

Carl Moyer Program project requirements are met and emission reductions are 

achieved.
As of 7/11/14 3 - 45 PROGRAM ADMINISTRATION

2. Off-road construction contracts for which the usage requirements are not being 

met may be extended to capture the required usage, even if the contract

extension overlaps the required compliance date. This revision only applies to 

off-road construction contracts that have been executed prior to August 15, 2008, 

and does not modify similar Moyer policy for other eligible categories. 

3. An air district must make all reasonable efforts to recoup Carl Moyer Program 

funds from nonperforming grantees as needed to ensure funded emission 

reductions are achieved. An air district’s efforts to recoup funds may be guided 

by circumstances such as:

(A) The existence of fraud or intentional misuse of funds; or

(B) The amount of Carl Moyer Program funding involved; or

(C) The ability of the grantee to repay the funds. 

4. The air district must take appropriate action to ensure contracted emission 

reductions are realized per engine, equipment, or vehicle. Except for projects in 

which usage is not required to be specified in the contract (as allowed per 

Section Z.6.(B)(1) above), should the average usage over a three year period a 

contracted engine, equipment, or vehicle be less than 70 percent of the activity 

required in the contract, the air district may choose, but is not limited to, the 

options below to address the underutilization. In cases of projects which may 

have a contracted project life of less than three years, the same activity threshold 

of less than 70 percent applies, averaged over the project life. 

(A) Extend the project contract for additional years (precluding overlap with an 

applicable rule implementation requirement).

(B) Return funds in proportion to the loss in emission reductions.

(C) Transfer ownership of the engine, vehicle, or equipment to another entity 

committed to complying with the contract terms.

(D) Grant a waiver, without penalty, to the grantee for a defined time period. 

The grantee must demonstrate to the air district Air Pollution Control 

Officer’s satisfaction that the engine, vehicle, or equipment is not being 

underutilized in favor of operating other, higher-polluting equipment and 

the underutilization was due to unforeseen conditions beyond the 

grantee’s control.

(1) The conditions under which a waiver may be issued include, but are not 

limited to, the following:

a. A decrease in usage due to the economic recession;
As of 7/11/14 3 - 46 PROGRAM ADMINISTRATION

b. Unforeseen fluctuations in water allocations or pumping needs for 

agricultural irrigation pump engines; or

c. Significant land fallowing for off-road agricultural equipment and 

agricultural irrigation pump engines.

(2) To be considered for a waiver, the grantee must provide a written request 

to the air district along with documentation that substantiates the need for 

the waiver and verifies that higher-polluting equipment is not consequently 

receiving more use. The types of acceptable documentation must be 

clearly defined and incorporated into each air district’s policies and 

procedures manual, and will be subject to ARB approval at ARB’s request. 

Such documentation may include, but is not limited to, documentation 

from appropriate governmental agencies regarding surface water 

deliveries and fallow land, relevant logs regarding the amount of 

groundwater pumped in lieu of surface water deliveries, agricultural pump 

engine registration or permit information, records that show that idled 

vehicles or equipment are still owned by the grantee, relevant information 

from ARB’s Diesel Off-Road On-Line Reporting System, or other pertinent 

records. Additional forms of documentation that are not included in an air

district’s policies and procedures manual can be evaluated and approved 

by ARB on a case-by-case basis.

a. The air district must specify the length of time for which the waiver is 

valid. The waiver will not exempt the grantee from any contract 

requirement to provide annual usage reports. 

b. The waiver must be documented in writing, signed by the Air Pollution 

Control Officer or designee, and be included in the project file. 

Appropriate notations to indicate that a waiver has been granted must

also be included in the “comments” field of the CARL database for 

each relevant project, if applicable.

(E) Recalculate a project’s cost-effectiveness based on the reported decrease 

in usage. Based on this recalculation, if the project is still below the costeffectiveness cap, consistent with the cap and methodology in effect on 

the date of contract execution and prior to the end of the contract, the air 

district must continue to monitor the project over the next year to 

determine if additional actions are necessary. A waiver is not required in 

this event.

5. An air district must describe its procedures for dealing with nonperforming 

grantees in its Policies and Procedures Manual.
As of 10/30/2013 4 - 1 ON-ROAD 

HEAVY-DUTY VEHICLES

Chapter 4: ON-ROAD HEAVY-DUTY VEHICLES

This chapter describes the minimum criteria and requirements for Carl Moyer Memorial

Air Quality Standards Attainment Program (Carl Moyer Program) on-road heavy-duty 

vehicle projects, excluding Fleet Modernization and On-Road Voucher Incentive 

Program (On-Road VIP) projects (see Chapter 5 and the On-Road VIP Guidelines for 

more information about these programs). Local air quality management or air pollution 

control districts may set more stringent requirements based upon local priorities. 

A. Projects Eligible for Funding

The Air Resources Board (ARB) has adopted many fleet rules that affect on-road 

heavy-duty diesel-fueled vehicles (see Section E of this chapter). There are limited 

funding opportunities for vehicles subject to these rules and regulations. 

Table 4-1 

Summary of On-Road Heavy-Duty Funding Opportunities

Vehicle Type Subject to ARB 

Fleet Rule

Moyer Funding Opportunities1

Urban Buses Fleet Rule for Transit 

Agencies2

Very limited opportunity

Transit Fleet Vehicles

Solid Waste 

Collection Vehicles, 

excluding transfer 

trucks

Solid Waste 

Collection Vehicle 

Regulation3

Very limited opportunities for oxides of 

nitrogen (NOx)

Transport 

Refrigeration Units 

(TRU)

TRU Air Toxic 

Control Measure 

(ATCM)4

Very limited opportunity 

Auxiliary Power Units 

(APU)

Idling ATCM5 Very limited opportunity; zero emission 

projects only

Municipal Vehicles 

and Utility Vehicles

Fleet Rule for Public 

Agencies and 

Utilities6

Low-population counties - some opportunity 

through 2017

High-population counties – very limited 

opportunity

Drayage Trucks Drayage Truck 

Regulation7

Very limited opportunity

Most other On-Road 

Heavy-Duty Vehicles

Statewide Truck & 

Bus Regulation8

Limited opportunity 

1 Limited opportunities means a fleet’s compliance status with the ARB regulation must be determined.

Contact air district Carl Moyer Program staff or consult fleet rule Carl Moyer Implementation Charts at: 

http://www.arb.ca.gov/msprog/moyer/guidelines/supplemental-docs.htm in addition to these guidelines. 2 Fleet Rule for Transit Agencies: http://www.arb.ca.gov/msprog/bus/bus.htm 3 Solid Waste Collection Vehicle Regulation: http://www.arb.ca.gov/msprog/SWCV/SWCV.htm 4 TRU Air Toxic Control Measure (ATCM): http://www.arb.ca.gov/regact/trude03/fro1.doc 5 Idling ATCM: http://www.arb.ca.gov/regact/hdvidle/frorev.pdf 6 Fleet Rule for Public Agencies and Utilities: http://www.arb.ca.gov/msprog/publicfleets/publicfleets.htm 7 Drayage Truck Regulation: http://www.arb.ca.gov/msprog/onroad/porttruck/porttruck.htm 8 Statewide Truck & Bus Regulation: http://www.arb.ca.gov/msprog/onrdiesel/onrdiesel.htm
As of 10/30/2013 4 - 2 ON-ROAD 

HEAVY-DUTY VEHICLES

Project Types: Taking the above table into consideration, the following categories may 

be eligible for funding:

1. Truck Replacement Projects (Fleet Modernization and On-Road VIP): The 

replacement of an older, dirtier truck with a newer, cleaner one. Most funding 

opportunities for on-road heavy-duty trucks are available for trucks in small fleets 

of three or fewer trucks through Fleet Modernization or On-Road VIP. Please 

see Chapter 5 for Fleet Modernization guidelines or the On-Road VIP Guidelines 

at www.arb.ca.gov/msprog/moyer/voucher/voucher.htm . 

2. New Vehicle Purchase: The purchase of new vehicles with engines cleaner than 

those required by law. Funding opportunities in this source category will be 

limited due to the lack of availability of new vehicles with engines certified below 

the 0.20 grams per brake horsepower (g/bhp-hr) NOx emissions standard. 

3. Repower Existing Vehicle: Repower with an engine cleaner than that currently in 

the vehicle. Due to technological constraints presented with newer engines 

fitting into older chassis, funding opportunities are limited.

4. Retrofit Purchase: The installation of a verified diesel emission control strategy. 

Diesel particulate filters are required for most on-road heavy-duty diesel vehicles 

in California, either as original equipment manufacturer (OEM) equipment in new 

trucks or through phased compliance schedules for older trucks complying with 

ARB rules and regulations. Funding is limited to retrofits that provide early or 

extra emission reductions to the regulations. 

5. Transport Refrigeration Units (TRU): Due to the Air Toxic Control Measure 

(ATCM) that sets in-use performance standards for TRUs, projects available for 

funding are limited. 

6. Idling Reduction: Idling reduction projects include electric auxiliary power units 

(APU), as well as truck stop electrification for both on-board and off-board 

infrastructure. Funding is limited to projects that provide emission reductions 

beyond what is required by regulation, such as zero emission technologies.

Please see Section D (Project Criteria) for detailed minimum eligibility requirements.

B. Maximum Eligible Funding Amounts

Table 4-2 summarizes the maximum eligible funding for each project type. All projects 

are also subject to the cost-effectiveness threshold defined in Appendix G. 
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HEAVY-DUTY VEHICLES

Table 4-2 

Maximum Funding Amounts for Carl Moyer On-Road Vehicle Projects

Project Type Maximum

New Vehicle Purchase 25 percent

Repower $30,000

Retrofit: Highest Level particulate 

matter (PM)+ NOx $10,000

Retrofit:

2007 Engine Standard Equivalent* $20,000

TRU Retrofit 100 percent

Idling Reduction Retrofit 100 percent

* Including ARB verified selective catalytic reduction retrofits

C. Emission Standards

Table 4-3 lists the NOx and PM emission standards for new on-road heavy-duty 

engines. Urban buses have a separate set of emission standards which are now 

aligned with those for heavy-duty vehicles.

Table 4-3 

Emission Standards for On-Road Heavy-Duty Diesel Engines

(g/bhp-hr1)

Model Year NOx PM

2007-2009 1.202 0.01

2010 and later 0.20 0.01

1 gram per brake horsepower-hour

2 Between 2007-2009, U.S. EPA requires 50 percent of heavy-duty 

diesel engine family certifications to meet the 0.20 g/bhp-hr NOx 

standard. Averaging is allowed, and it is expected that most engines 

will conform to the fleet NOx average of approximately 1.20 gbhp/hr.

D. Project Criteria

The minimum qualifications for on-road heavy-duty vehicles are listed below. All 

projects must also conform to the requirements in Chapter 2: General Criteria and in 

Chapter 3: Program Administration. Participating air districts retain the authority to 

impose additional requirements in order to address local concerns.

1. General On-Road Heavy-Duty Vehicle Project Criteria

(A) Maximum project life for on-road projects:

(1) Buses > 60,001 gross combined weight or 12 years

gross vehicle weight (GVW) – New 

(2) School buses ≥ 33,001 GVW – New 20 years

(3) Other On-road - New 10 years

(4) Repower Only (No Retrofit) 7 years

(5) Repowers + Retrofits 5 years
As of 10/30/2013 4 - 4 ON-ROAD 

HEAVY-DUTY VEHICLES

(6) Retrofits 5 years

(7) Fleet Modernization See Chapter 5

A longer project life may be approved on a case-by-case basis if 

applicants provide justifying documentation. 

The maximum project life does not consider regulatory requirements that 

may reduce actual project life below these maximum values.

(B) On-road heavy-duty diesel vehicles with a gross vehicle weight rating

(GVWR) between 8,501 and 14,000 pounds may be considered for Carl 

Moyer Program funding for new, repower and retrofit projects on a caseby-case basis.

(C) On-road heavy heavy-duty (HHD) vehicles (with GVWR over 

33,000 pounds) must be powered by an engine certified to the HHD 

intended service class as shown on the engine certification Executive 

Order. Engines certified to the medium heavy-duty (MHD) service class 

(over 14,000 pounds and up to 33,000 pounds) may not be installed in 

HHD vehicles. However, MHD engines may be installed in a vehicle with 

a GVWR up to 39,601 pounds (20 percent higher than 33,000 pounds 

GVWR) with written warranty verification by the engine and chassis 

manufacturer. A copy of the written warranty verification must be 

maintained in the air district project file.

(D) To receive funding for a retrofit, a fleet owner/operator must have the 

retrofitted vehicle that is eligible for a low NOx software upgrade (reflash) 

reflashed within 60 days of receipt of payment. The fleet owner/operator 

may self-certify to the air district that the reflash has been performed by 

submitting receipts of reflash completed or a picture of the “Low NOx 

Reflash Label” from the reflashed engine to the air district. Most HHD, 

and some MHD engines manufactured between 1993 through 1998 are 

eligible for reflash. A list of engines eligible for reflash is available at: 

http://www.arb.ca.gov/msprog/hdsoftware/hdsoftware.htm.

(E) Except as provided below, on-road calculations shall be based on 

projected annual mileage instead of fuel usage or engine hours, due to the 

fact that the mileage-based exhaust emission factors are more robust. 

Fuel-based calculations may be used only if documentation of previous 

fuel use and mileage records submitted to the air district with the 

application show the project to be at least 30 percent more cost-effective 

when using fuel-based calculations. If using the fuel-based calculations, 

usage must be based on two years of historical fuel usage documentation 

specific for the equipment being funded. Documentation may include fuel 

logs, purchase receipts or ledger entries. Fuel-based analyses are 
As of 10/30/2013 4 - 5 ON-ROAD 

HEAVY-DUTY VEHICLES

appropriate for projects that involve extended idling, including but not 

limited to street sweepers and solid waste collection vehicles.

(F) The emission factors in Appendix D, Tables D-3 and D-4 are based on 

in-use dynamometer testing data. All other on-road emission factors in 

Appendix D are converted emissions standards based on the engine 

certification level. On-road cost-effectiveness calculations shall use the 

same quantification methodology for the baseline calculation and the 

reduced emission calculation.

(1) Mileage-based calculations must use mileage-based emission factors in 

Appendix D, Tables D-3 and D-4, for the baseline and reduced emission 

calculation. 

(2) Fuel-based calculations must use converted emissions standards for the 

baseline and reduced emission calculation. Converted emissions 

standards are found in Appendix D, Tables D-1a, D-1b, D-2a, D-2b, D-5 

and D-6.

(3) Other calculation methods will be considered by ARB on a case-by-case 

basis.

(G) Cost-effectiveness calculations for projects with power take-off (PTO) will 

be considered by ARB on a case-by-case basis. Hours of PTO operation 

must be documented through hour meter records or data from the 

emission control module.

(H) The engine model year, not the vehicle model year, must be used to 

determine the appropriate emissions factors. 

(I) Although electronic monitoring units are not required by the ARB, when an 

EMU is required by an air district, it is an eligible expense for any 

category.

(J) Refuse vehicles and street sweepers often have two engines, one for 

motive power and one for auxiliary operations. Since only the main 

engine is eligible for funding, emission benefits are calculated individually 

for each engine using fuel consumption rates for each unit if available. If 

individual engine fuel consumption information is not available, the 

applicant must provide and document an estimate for the typical activities 

of each engine based on best engineering judgment so that eligible 

surplus emissions reductions can be determined. The estimate must 

include factors such as fuel economy, typical operating loads, and hours 

of operation for each engine. 
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HEAVY-DUTY VEHICLES

(K) Surplus requirements are determined by the regulation to which a project 

is subject. Any vehicle with an off-road engine that is subject to an onroad regulation must comply with the on-road surplus requirements 

described in this chapter. For example, a yard truck with an off-road 

engine that is subject to the Statewide Truck & Bus Regulation must 

comply with all off-road eligibility and funding criteria described in 

Chapters 7 and/or 9, as well as all on-road surplus criteria described in 

Section E.(2) of this Chapter.

(L) Glider kits are not an eligible expense for Carl Moyer Program funding.

(M) Case-by-case projects must receive approval from ARB prior to contract 

execution. These projects must follow the requirements as described in 

Chapter 3, Section Y.

2. Compliance Check

After the district receives an application for any on-road project but before contract 

execution, the district must submit information regarding the project to ARB to check 

for outstanding violations and previous project funding.

(A) The district shall email its ARB district liaison the registered owner’s name, 

vehicle identification number, California Highway Patrol number, 

Department of Transportation number or Interstate Commerce 

Commission number for each vehicle to be repowered or retrofitted in the 

project, as well as all other vehicles in the applicant’s fleet. Due to the 

large number of vehicles that could require compliance checks, air districts 

are encouraged to submit this data as soon as possible after receipt of the 

application.

(B) The liaison will forward that information electronically to the responsible 

parties at ARB. The liaison will email the air district the results of the 

compliance check within 10 business days.

(C) If the compliance check indicates that the vehicle has already received 

funding and is still under contract, the air district will be notified and the 

application must be rejected.

(D) If the compliance check indicates there is an outstanding violation with any 

truck in the applicant’s fleet, the air district shall inform the engine owner in 

writing that no disbursement may be made until the owner provides proof 

that each violation has been corrected and each fine has been paid. 

(E) If the outstanding violation is based on problems with the baseline engine 

(e.g., gross polluter), then a new engine must be installed instead of fixing 

the old engine. The engine owner must pay the fine for each violation and 
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HEAVY-DUTY VEHICLES

submit documentation of violation correction with, or before submitting, the 

invoice.

3. New Purchase: New purchase projects must be 30 percent cleaner than the 

current NOx emissions standard. Based on the 2010 NOx standard of 

0.20 g/bhp-hr, engines that are certified to a NOx standard of 0.14 g/bhp-hr or 

lower and a PM standard of 0.01 g/bhp-hr or lower are eligible for new purchase 

funding. Vehicles with engines certified to a family emissions limit (FEL) are not 

eligible for new purchase funding. The maximum grant amount is 25 percent of 

the new purchase cost. Due to tighter emissions standards, new purchase 

projects are not a common funding category. 

4. Repower

A replacement engine for a repower project must be an ARB certified engine 

meeting emissions levels of 0.50 g/bhp-hr NOx and 0.01 g/bhp-hr PM or lower. 

Repowers with replacement FEL engines that meet these emissions levels must be 

based on emission factors for model year 2007-2009 engines.

However, due to technological constraints presented with the limited feasibility of 

newer engines with advanced emissions control equipment fitting into older chassis 

and maintaining durability, single vehicle repower projects are not eligible for Moyer 

funding, except as described below.

There are a limited number of cases where the technical repower constraints 

described above do not apply. 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 OEM 

package. In these cases, a prototype vehicle (or vehicles) 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. Air districts may approve repower projects that 

meet the above described OEM quality assurance process, subject to the following:

(A) Carl Moyer Program funding may not be used for any costs associated 

with the prototype vehicle or vehicles.

(B) Repower contracts may not be executed until the prototype testing 

specified by the engine manufacturer is successfully completed.

(C) Written documentation from the engine manufacturer confirming that the 

prototype was successful must be maintained in the project file.
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5. Retrofits 

A list of currently verified retrofits may be found at

http://www.arb.ca.gov/diesel/verdev/verdev.htm. A searchable database of verified 

retrofits is available at http://arb.ca.gov/diesel/verdev/vdb/vdb.php. Please refer to 

Appendix E for more details on retrofit verification. 

(A) The maximum retrofit grant amount is:

(1) $10,000 or the total retrofit cost, whichever is less, for the highest level 

retrofit verified to achieve Level 3 PM reductions of 85 percent, and NOx 

reductions if available for the specific engine.

(2) $20,000 or the total retrofit cost, whichever is less, for retrofit devices 

verified to reduce NOx and PM emissions equivalent to 2007 engine 

standards of 1.20 g/bhp-hr NOx and 0.01 g/bhp-hr PM.

(B) Only ARB-verified retrofits are eligible for funding. 

(C) Retrofit projects that reduce NOx emissions must be verified by ARB to a 

NOx reduction level of at least 15 percent from the baseline engine to 

claim NOx reductions from the project.

(D) Retrofit projects must use the highest level technically feasible technology 

verified for the engine being retrofitted. ARB considers the retrofit device 

that achieves the highest level of PM reductions (Level 3 - 85 percent) and 

the highest level of NOx reductions to be the highest level retrofit.

(E) Fleets/agencies affected by fleet regulations may be able to use Carl 

Moyer Program funding for retrofit projects if the project life expires prior to 

the final compliance date or achieves reductions beyond the regulatory 

requirements. See applicable criteria below for each fleet regulation.

(F) If the retrofit device reduces both NOx and PM emissions and is being 

installed to comply with a PM requirement, only the costs of the NOx 

reductions are eligible for Carl Moyer Program funding. 

(G) The full cost of a retrofit kit, up to the maximum incentive amount 

described above, and maintenance of the retrofit during the project life 

may be funded subject to the weighted cost-effectiveness limit.

(H) Only the minimum ARB verified levels of NOx and PM emission reductions 

will be used to calculate cost-effectiveness for retrofit projects.
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E. Funding Eligibility for Projects Subject to In-Use Regulations 

Most on-road vehicles are subject to an in-use regulation. Funding is available for 

emissions reductions that are early or extra to regulatory requirements. In addition, 

fleets that have achieved compliance with the final regulatory deadline may be eligible 

for funding. For detailed information on eligible emissions reductions and calculation 

methodology, please see the 2011 on-road supplemental guidance located at: 

http://www.arb.ca.gov/msprog/moyer/guidelines/current.htm.

1. Drayage Trucks

(A) Current Drayage Trucks: Carl Moyer Program funding is available for the 

incremental NOx benefit between 1.20 g/bhp-hr and 0.20 g/bhp-hr for all 

drayage trucks, as defined in California Code of Regulations, title 13, 

section 2027(c)(15). Beginning on January 1, 2017, drayage trucks will be 

subject to, and must be surplus to, the Statewide Truck and Bus 

Regulation. No other funding opportunities are available for drayage

trucks that access the Ports of Long Beach or Los Angeles. Drayage 

trucks outside the Ports of Long Beach or Los Angeles with model year 

2006 or older engines in fleets of 1-3 vehicles are eligible for limited 

funding through December 31, 2011.

(B) Former Drayage Trucks: The following requirements apply for vehicles 

that previously operated as a drayage truck, as defined in California Code 

of Regulations, title 13, section 2027(c)(15): 

(1) Vehicles that operated one or more times as a drayage truck in the 

previous two years, but no longer operate as a drayage truck, are not 

restricted by drayage truck surplus criteria.

(2) Vehicles that previously operated as a drayage truck must be contractually 

prohibited from drayage operations that are regulated by California Code 

of Regulations, title 13, section 2027 throughout the contract term.

(3) To help ensure that the replacement vehicle does not operate as a 

drayage truck during the contract term, replacement vehicles will be added 

to the Drayage Truck Registry as non-compliant until the contract end 

date.

2. Private Fleets (Statewide Truck & Bus Regulation)

For vehicles that are subject to the Statewide Truck & Bus Regulation (Regulation), 

the following final funding deadlines apply. Please note that the following sections 

include final funding dates for all engine model years. The actual final funding date 

for specific projects will vary depending on fleet size, regulatory compliance status, 

GVWR, engine model year, pollutant type, and other factors. 
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HEAVY-DUTY VEHICLES

(A) Fleet size of 1-3 trucks: Funding for the first, second, and third vehicle 

must be provided no later than two years before the applicable compliance 

deadline for each pollutant. The final funding date for PM and NOx is 

January 1, 2021.

Table 4-4 

Final Funding Dates for Fleets of 1-3 Vehicles

Fleet Type PM NOx

1-3 vehicles 1/1/2021 1/1/2021

(B) Fleet size of 4-10 vehicles: Funding is available for fleets with 4-10 

vehicles subject to the Regulation. Funding must be provided no later 

than three years before the applicable compliance deadline. The final PM 

funding date for trucks with a GVWR over 26,000 pounds is 

January 1, 2014, and for trucks from 14,001 through 26,000 pounds the 

final PM funding date is January 1, 2020. The final NOx funding date is 

January 1, 2020. Projects that receive funding for retrofits are not eligible 

for the compliance extension to meet the 2010 model year emission 

equivalent requirement as described in California Code of Regulations, 

title 13, sections 2025 (f)(4) and (g)(4). 

Table 4-5 

Final Funding Dates for Fleets of 4-10 Vehicles

Fleet Type GVWR PM NOx

4-10 

vehicles

over 26,000 1/1/2014 1/1/2020

14,001 - 26,000 1/1/2020 1/1/2020

(C) Agricultural Vehicles: Eligibility for agricultural vehicles as defined in 

California Code of Regulations, title 13, section 2025(d)(5) depends on 

annual mileage accrual and engine model year. Funding for agricultural 

vehicle projects must be provided no later than three years before the 

applicable compliance deadline. The final funding date for PM and NOx is 

January 1, 2020. 

Table 4-6 

Final Funding Dates for Agricultural Vehicles

Fleet Type PM NOx

Agricultural Fleets 1/1/2020 1/1/2020

(D) Low-Mileage Construction Trucks & Vehicles That Operate Exclusively in 

NOx Exempt Areas: Low-mileage construction trucks, as defined in 

California Code of Regulations, title 13, section 2025(d)(40), and vehicles 

that operate exclusively in NOx exempt areas of the state as defined in 

California Code of Regulations, title 13, section 2025(d)(46) are eligible for 
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HEAVY-DUTY VEHICLES

PM funding through January 1, 2014 and NOx funding through 

January 1, 2020. Funding must be provided no later than three years 

before the applicable compliance deadline. Participant contracts for NOx 

exempt vehicles must include a provision that requires the vehicle to

operate exclusively in NOx exempt areas of the state as defined in

California Code of Regulations, title 13, section 2025(d)(46).

Table 4-7 

Final Funding Dates for Low-Mileage Construction Trucks

and Vehicles in NOx Exempt Areas

Fleet Type PM NOx

Low-Mileage Construction 

and

NOx Exempt Vehicles

1/1/2014 1/1/2020

(E) Log Trucks: Log trucks as defined in California Code of Regulations, 

title 13, section 2025(d)(39) are eligible for funding through 

January 1, 2020. Funding for log trucks must be provided no later than 

three years before the applicable compliance deadline. Log truck fleets do 

not have a fleet size eligibility limit for funding. No more than 10 log trucks 

under common ownership may be funded per year. 

3. Public Agency and Utility Fleets

Due to low mileage, public agency and utility vehicle projects are generally eligible 

only for minimal grant amounts.

(A) All public agency and utility vehicle projects must submit total fleet 

compliance records as described in the Fleet Rule for Public Agencies and 

Utilities showing that the funds will not be used to meet rule requirements.

(B) Fleets that have achieved all applicable final compliance requirements are 

eligible for NOx and ROG funding for retrofit, repower, and new purchase 

projects.

(C) Low-Population County fleets must declare with submittal of their 

application which compliance schedule they will follow. Fleets that follow 

the regular compliance path have limited PM funding opportunities through 

December 31, 2014 with a three year surplus life. Fleets that follow the 

accelerated turn-over compliance path have limited PM funding 

opportunities through December 31, 2022.
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4. School Buses

Public school buses are eligible for Carl Moyer Program funding if they meet the 

general program criteria above; however, their relatively low annual miles usually 

allow only for minimal grant amounts.

(A) School buses are eligible only for NOx and ROG reductions. 

(B) School bus calculations must use the MHD vehicle emission factors and 

conversion factors to calculate cost-effectiveness. 

5. Solid Waste Collection Vehicles (SWCV)

Solid waste collection vehicles are eligible for limited funding opportunities, but 

emission benefits are generally low because older vehicles have already been 

replaced or retrofitted to comply with regulatory requirements.

(A) SWCV fleets that have achieved compliance with the final regulatory 

deadline are eligible for NOx and ROG funding. 

(B) Solid waste transfer trucks are subject to the Statewide Truck & Bus 

Regulation, and must meet applicable eligibility criteria identified above.

6. Transit Vehicles (Urban Buses and Transit Fleet Vehicles)

Transit vehicles are eligible for limited funding opportunities, but emission benefits 

are generally low because most older vehicles have already been replaced or 

retrofitted to comply with regulatory requirements.

(A) Transit Fleet Vehicles: Transit Fleet vehicles that have achieved 

compliance with the final regulatory deadline are eligible for funding. 

(B) Urban Buses: Urban Bus fleets that have achieved compliance with the 

final regulatory deadline are eligible for funding. 

(C) The Federal Transit Administration (FTA) provides up to an 80 percent 

grant for new urban bus purchases and repowers. For projects receiving 

FTA or other public funding, the incremental cost must be reduced by the 

publicly funded grant amount. See Chapter 2: General Criteria for more 

information.

7. Idling Reduction

Idling reduction projects are eligible for limited funding opportunities, but emission 

benefits are generally low because heavy-duty trucks are already required by 

regulation to limit idling emissions.
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HEAVY-DUTY VEHICLES

(A) Heavy-duty trucks are eligible for zero-emission technologies for APUs. 

The baseline for these projects would be an ARB certified Tier 4 engine

with a level 3 diesel emission control strategy. 

(B) An hour meter or other means to measure usage must be installed with an 

idling reducing project to track operation. The participant shall provide this 

information to ARB or the air district upon request during the life of the 

project. 

(C) The installation of electric power infrastructure at truck stops and 

distribution centers is eligible for funding through an air district’s 

Carl Moyer Program match funds.

(D) Advanced truck stop electrification - Carl Moyer Program funds may be 

used for installing advanced truck stop electrification, such as external 

systems that provide heating, cooling, and other energy needs. In these 

cases, a partial payment would be made upfront to help offset the initial 

capital investment. The remainder of the grant amount would be paid out 

in installments based on system utilization. The amount of the initial 

payment and subsequent installments will be determined on a case-bycase basis. 

(E) Other idling reducing projects may be considered on a case-by-case 

basis.

8. Transport Refrigeration Units (TRU)

Transport refrigeration units projects are eligible for limited funding opportunities, but 

emission benefits are generally low because many older TRUs have already been 

replaced to meet regulatory requirements.

(A) Funding opportunities may exist for a zero emission new purchases or 

repowers on a case-by-case basis.

(B) Alternative technologies such as electric standby and pure cryogenic 

systems are not required to be verified, but ARB must review and approve 

such systems in writing on a case-by-case basis. 

(C) The participant shall install an hour-meter or other means to measure 

usage on the TRU to track operating hours, and shall provide this 

information to ARB or the air district upon request. 

 
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Chapter 5: ON-ROAD HEAVY-DUTY VEHICLES FLEET MODERNIZATION

This chapter describes the minimum criteria and requirements for the Carl Moyer 

Memorial Air Quality Standards Attainment Program (Carl Moyer Program) On-Road 

Heavy-Duty Vehicles (HDV) Fleet Modernization projects. 

A. Projects Eligible for Funding

All funding eligibility provisions as described in Chapter 4, Section E. also apply 

in this chapter.

Fleet modernization provides incentives to replace old high-polluting heavy-duty 

vehicles with newer, lower-emission replacement vehicles, providing real emission 

benefits earlier than would have been expected through normal attrition. 

Please see Section C (Project Criteria) for detailed minimum eligibility requirements. 

Most on-road vehicles are subject to more stringent requirements as described in 

Section C. (1).

The following HDV fleet modernization projects may be eligible for funding. Note: the 

existing old vehicle engine must be model year 2002 or older. Existing old school buses 

and log trucks may have an engine of any model year.

1. New Replacement Vehicle Purchase: The purchase of a new vehicle or school 

bus with an engine certified to the 2007 or newer emission standards to replace 

an existing vehicle that is to be scrapped.

2. Used Replacement Vehicle Purchase: The purchase of a used vehicle or school 

bus with an engine certified to the 2007 or newer emission standards to replace 

an existing vehicle that is to be scrapped.

B. Maximum Eligible Funding Amounts

Table 5-1 summarizes the maximum eligible funding for each fleet modernization 

project. All projects are also subject to the cost-effectiveness threshold defined in 

Appendix G. 
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Table 5-1 

Maximum Funding Amounts for Fleet Modernization Projects

Oxides of Nitrogen (NOx) Certification Level

1

grams per brake horsepower hour (g/bhp-hr) Maximum

0.20 g/bhp-hr (Heavy Heavy-Duty (HHD)) $60,000

0.50 g/bhp-hr (HHD) $50,000

0.20 g/bhp-hr (Medium Heavy-Duty (MHD)) $40,000

1.20 g/bhp-hr (HHD) $40,000

0.50 g/bhp-hr (MHD) $30,000

1.20 g/bhp-hr (MHD) $25,000

School bus (used) 100% of vehicle value

School bus (new) 100% of invoice 1 applies to new or used vehicles unless otherwise noted

C. Project Criteria

The minimum qualifications for fleet modernization projects are listed below. All 

projects must also conform to the requirements in Chapter 2: General Criteria and in 

Chapter 3: Program Administration. Participating air districts retain the authority to 

impose additional requirements in order to address local concerns.

1. General Criteria

(A) For vehicles that are subject to in-use regulations, please see the eligibility 

requirements in Section E of Chapter 4: On-Road Heavy-Duty Vehicles.

(B) Any fleet modernization project that would replace an existing vehicle with 

an off-road engine that is subject to an on-road regulation must comply 

with the on-road surplus requirements. For example, a yard truck with an 

off-road engine that is subject to the Statewide Truck & Bus Regulation 

(including yard trucks used primarily in agricultural operations) must 

comply with all off-road Carl Moyer Program criteria described in Chapters 

7 and/or 9, as well as all surplus criteria described in Section E of 

Chapter 4. 

(C) Existing glider kit vehicles are eligible. The replacement vehicle must be a 

complete original equipment manufacturer vehicle and not a glider kit. 

2. Participant Requirements

Participants must meet the following requirements: 

(A) The participant must provide conclusive documentation of annual mileage 

or vehicle usage in California.

(B) The participant must currently own and have operated the old vehicle for 

the previous twenty-four (24) months, documented through a copy of the 
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FLEET MODERNIZATION

old vehicle title. If it is unclear whether a vehicle is owned or leased by a 

participant, the air district will determine whether the vehicle is eligible.

(C) The participant must submit documentation of annual miles traveled or 

gallons of fuel consumed for the previous twenty-four (24) months to 

determine cost-effectiveness. Examples of documentation include

logbooks, fuel records, and maintenance records or tax records.

(D) The participant must provide copies of California registration as specified 

in Section 3 below.

(E) The participant must provide copies of proof of insurance for the old 

vehicle for the previous twenty-four (24) months. 

(F) The participant must be in compliance with all applicable air quality laws

and regulations; all outstanding citations must be paid.

(G) The participant must be the registered owner of the replacement vehicle 

for the project life. 

(H) The participant must maintain replacement value insurance coverage for 

the project life. 

(I) Throughout the contract term, the participant must complete the following 

minimum reporting requirements:

(1) Provide registration and proof of insurance to the air district annually.

(2) Provide annual reports that include information such as hours of 

operation, miles driven in the air district and California, the amount of fuel 

consumed in the twelve months preceding the report date, details 

regarding maintenance and servicing, and any other items specified by the 

air district. 

(3) If the replacement vehicle is involved in an accident, report the accident to 

the air district within 10 business days. The participant must provide a 

police report of the accident, a letter from the insurance company 

regarding the accident and any other additional information requested by 

the air district. The participant must repair the vehicle and return it to 

operation, if possible. If the vehicle is totaled, the participant and the air 

district staff must come to an agreement regarding any requirements that 

still need to be met. 

3. Existing Vehicle Requirements

All existing vehicles must meet the following conditions: 
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(A) The existing vehicle must have an engine of model year 2002 or older, 

except for school buses and log trucks which may have an engine and 

chassis of any model year. 

(B) The existing vehicle must either be 1) currently registered and have been 

registered in California for the past twenty-four (24) months; or 2) must 

have been registered in California for the previous eight (8) consecutive 

months supplemented by alternate documentation showing California 

operation for the past twenty-four (24) months.

If the existing vehicle operates seasonally, then the existing vehicle may 

be eligible to participate if it has been registered in California for at least 

three (3) months per twelve (12) month period for the previous twenty four 

(24) months. DMV registration documentation for each month the vehicle 

was registered must be included with the application. 

(C) The existing vehicle must meet the criteria for either a MHD vehicle or a 

HHD vehicle, as defined below:

(1) MHD vehicles must have a manufacturer Gross Vehicle Weight Rating 

(GVWR) of 19,501 through 33,000 pounds. 

(2) HHD vehicles must have a manufacturer GVWR of 33,001 pounds or 

greater.

(3) GVWR may be documented with a photo of the vehicle manufacturer tag 

or a copy of the manufacturer build sheet. Air districts may request ARB 

approval of alternate GVWR documentation on a case-by-case basis.

(D) The existing vehicle must be in operational condition, as determined

through a California Highway Patrol (CHP) Biennial Inspection of 

Terminals (BIT) or equivalent air district-approved inspection. If the air 

district does not conduct a pre-inspection, the following methods may be 

used: 

(1) The vehicle owner may submit a completed CHP 90-Day Safety 

Inspection Form documenting an inspection that occurred within 90 days 

of the application date; 

-or- 

(2) An air district approved contractor may conduct the inspection of the old 

vehicle and provide pictures verifying that the vehicle is in operational 

condition. The participant will pay the cost of the inspection.
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(E) All existing school buses must have a current CHP safety certification as 

of December 31, 2008, and at the time funding is awarded to replace the 

bus (i.e., the school bus may not have a lapsed CHP safety certification), 

and must be currently registered with the DMV. 

(F) If the old vehicle engine tag is missing, then verification of the engine 

information can be satisfied with the engine serial number. The participant 

must provide verification of the engine make, model, model year, engine 

serial number, and horsepower from the manufacturer. The participant 

may also verify the horsepower with the results of a dynamometer test. 

The dynamometer test will take into account a 15 percent loss in actual 

horsepower, accounting for transmission loss. Verification can include a 

letter or a printout from an engine manufacturer or dealership. On a caseby-case basis, the Air Resources Board (ARB) may approve other means 

of obtaining the information. 

4. Replacement Vehicle Requirements

All replacement vehicles must meet the following conditions:

(A) Emission Standards: Replacement vehicles with a 2007 model year or 

later engine certified to a particulate matter (PM) emission standard of 

0.01 g/bhp-hr and a NOx family emission limit or NOx standard level of 

1.20 g/bhp-hr or lower are eligible for funding. 

(B) Mileage: A used HHD replacement vehicle must have less than 

500,000 miles and a used MHD replacement vehicle must have less than 

250,000 miles, with odometer verification to occur at the post inspection.

(C) Horsepower: If the replacement engine horsepower is more than 

25 percent greater than the existing engine horsepower, it must be derated (reduced) to not exceed a 25 percent increase. In limited situations, 

the air district may approve a greater than 25 percent increase in 

horsepower.

(D) Weight Class: The replacement vehicle must be in the same weight class 

as the existing vehicle (either MHD or HHD).

(E) Body and Axle Configuration: The replacement vehicle must have the 

same axle and body configuration as the old vehicle. The air district may 

allow slight changes based on the latest technology. Changes must be 

requested and approved prior to the purchase of the replacement vehicle. 

(F) Warranty Requirements: The following warranty requirements apply:
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(1) Except for school buses, all participants must purchase a minimum of a 

one-year or 100,000-mile major component engine warranty for the 

replacement new or used vehicle. The warranty must cover parts and 

labor. If the purchase of a new or used replacement vehicle already 

includes a minimum one year or 100,000 mile warranty as specified 

above, a separate supplemental warranty is not required. However, it is 

recommended that the highest grade warranty be purchased in order to 

avoid expensive repairs in the future.

(2) No Carl Moyer Program funds will be issued for maintenance or repairs 

related to the operation of the vehicle. The participant takes sole 

responsibility for ensuring that the vehicle is in operational condition 

throughout the agreement period.

(G) Replacement vehicles may be purchased from a private party provided all 

required documentation is submitted. This includes warranty 

requirements and all other fleet modernization requirements. 

(H) Engine and Emission Control Modifications: Emission controls on the 

replacement vehicle engine cannot be modified except as permitted by 

law. Unauthorized modification to engine performance including, but not 

limited to, changes in horsepower, emission characteristics, engine 

emission components (not including repairs with like-original equipment 

manufacturers replacement parts), and modifications to the engine’s 

emission control function or the electronic monitoring unit are not allowed. 

(I) Agricultural Vehicle Reporting: Replacement Agricultural Vehicles must 

comply with the Reporting Requirements for Agricultural Fleets as 

specified in California Code of Regulations, title 13, sections 2025(r) 

and (s).

5. Determining Grants

Grant award determinations must be made with the following considerations:

(A) Grant awards are based on the average usage during the previous twentyfour (24) months. Fleet averages cannot be used. Participants must 

submit conclusive documentation of mileage or fuel consumed including 

logbooks, fuel records, and maintenance records maintained for individual 

vehicles.

 

(B) The emission benefit of the project is calculated based on the difference in 

emission factors of the replacement, new vehicle engine (new emission 

factors) and the baseline vehicle engine (baseline emission factors).

(C) The grant amount will be the lesser of the following:
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(1) The cost-effective value of the project based on the weighted emission 

benefits;

or, 

(2) The maximum grant amount shown in Table 5-1.

(D) The replacement of two old, like trucks with one replacement truck is 

eligible for funding. Each old truck and the replacement truck must 

comply with all of the applicable guidelines. To determine costeffectiveness, the annual emissions of the two old trucks are determined 

using emissions factors that correspond to the model year of each truck. 

The usage of the two old trucks is summed to establish projected 

replacement truck usage. The maximum allowable combined mileage is 

60,000 miles per year (or 30,000 miles per truck per year). Replacement 

trucks are eligible for only one grant based on the combined usage – the 

amount of the grant award is not doubled.

(E) The eligible project life for cost-effectiveness calculations is as follows:

(1) For fleets of three or fewer vehicles that are subject to the Statewide Truck 

& Bus Regulation, the minimum project life is two years and the maximum 

project life is five years. 

(2) Fleets in a targeted vocation category of agriculture, construction, mining, 

forestry, and public fleet vehicles in low-population areas have a maximum 

project life of five years.

(3) For all other fleets, the maximum project life is three years. 

(4) The maximum project life for 1977 and newer school buses is 11 years.

(5) The surplus period may be less than the maximum project life due to 

compliance deadlines specified in the Statewide Truck & Bus Regulation 

(California Code or Regulations, title 13, § 2025). See Chapter 4 

Section E.4. of these Guidelines for school bus surplus criteria.

(F) Grant funding can only be used to pay for items essential to the operation 

of the vehicle. 

(G) The participant may obtain financing to assist in the purchase of a 

replacement vehicle.

6. Air District Administrative Requirements
As of 10/30/2013 5 - 8 ON-ROAD

FLEET MODERNIZATION

(A) Air districts must include fleet modernization as a funding option in the air 

district’s Carl Moyer Program Policies and Procedures before funding fleet 

modernization projects. The Policies and Procedures must include the 

administrative tools that are needed to manage fleet modernization 

projects, including memorandum of understandings (MOU) or agreements 

with vehicle dealerships and dismantlers, reimbursement procedures, 

inspections, monitoring and enforcement, contract development, etc. Air 

districts are not required to submit the initial fleet modernization policies 

and procedures to ARB for approval, but it must be available upon 

request.

(B) Air districts may fund fleet modernization projects through a regional 

program administered by one designated air district. The designated air 

district may be located within the region, or may be a large air district

located outside the region.

(C) The air district may make full payment at the time the new vehicle is 

delivered to the applicant under the following framework:

(1) Air district staff or an air district approved contractor must complete the 

pre-inspection of the old vehicle and new vehicle to make sure the 

vehicles comply with program requirements. 

(2) Air districts must sign a separate MOU with the dealer and the dismantler 

that contain, at a minimum, the program requirements (including, but not 

limited to, the requirement that the dealer delivers the existing vehicle to a 

qualified dismantler within 30 calendar days of the date that the old vehicle 

was turned in to the dealer by the applicant) that are expected of each 

entity and the repercussions for non-compliance with the terms of the 

MOU for each entity.

(3) Air districts must ensure the vehicle and engine are scrapped within 60 

calendar days of the dismantler’s receipt of the vehicle. This must be 

confirmed through post-inspection by the air district or an air district 

approved contractor. The destruction of the old vehicle and engine must 

be properly documented in accordance with the Carl Moyer fleet 

modernization program requirements.

7. Dealer Requirements

(A) Air districts are encouraged to establish contracts with dealers that sell

replacement vehicles to fleet modernization participants. Reimbursement 

cannot be issued until all forms are submitted and approved by the air 

district. 

(B) Vehicle dealers must: 
As of 10/30/2013 5 - 9 ON-ROAD

FLEET MODERNIZATION

(1) Provide basic information to vehicle owners about the fleet modernization

program. 

(2) Help participants complete the application, if necessary. It is important to 

make sure that all information is filled out correctly and that the participant 

understands the meaning of the program and the contract. Once 

complete, the dealer submits the application package to the air district. 

8. Reimbursement: To ensure that an application package is complete, the

following items must be included and complete prior to reimbursement: 

(A) Signed and complete application and fully executed contract.

(B) Documentation showing that the existing vehicle is roadworthy. This 

includes documentation showing that the old vehicle has passed a CHP 

BIT inspection in the past 90 days or conduct an equivalent vehicle 

inspection and sign as appropriate. If documentation is provided by a 

dealership, the air district reserves the right to audit the dealership’s 

record of inspection.

(C) Invoices of all work performed on the replacement vehicle. The invoices 

must include all engine, transmission, engine horsepower derating, body 

and other work performed on the replacement vehicle.

(D) Digital photographs of the existing vehicle and the replacement vehicle. 

The air district will specify the required digital format. Reimbursement will 

not be processed until all photographs are received and verified by the air 

district. All photographs must be clear, and all VIN and engine serial 

numbers must be legible. 

(1) Photographs of the old vehicle must include the following views:

a. Right Side - hood down

b. Front - hood down

c. Left Side - hood down

d. VIN Tag - inside vehicle or on frame rail

e. Engine - left side

f. Engine - right side

g. Engine Serial Number - either tag or stamp on block 

h. License plate

i. Rear

(2) Photographs of the replacement vehicle must include the following views:

a. Right Side - hood down

b. Front - hood down

c. Left Side - hood down
As of 10/30/2013 5 - 10 ON-ROAD

FLEET MODERNIZATION

d. VIN Tag - inside vehicle

e. VIN Tag - on frame rail

f. Engine - left side

g. Engine - right side

h. Engine Serial Number and Engine Information – tag

i. License plate

j. Rear

k. Diesel Emission Control Device (if available)

l. Odometer Reading

(E) Certification that the old vehicle will be delivered to a qualified dismantler

within 30 calendar days of receipt of the old truck. The certification must 

include the make, model, year, vehicle identification number (VIN), engine 

make, engine serial number, and the date the vehicle is expected to be 

delivered to the dismantler.

(F) Documentation of replacement vehicle warranty and registration.

(G) Proof of replacement vehicle financing. The financing package will enable 

the air district to determine the reimbursement costs that may be accrued 

in case the participant defaults on the contracted performance 

requirements.

(H) Dealerships must possess pre-inspection documentation of the existing 

and replacement vehicles prior to releasing the replacement vehicle to the 

participant. Upon request of the air district, ARB may waive inspection 

requirements. 

(I) Proof of replacement vehicle sale after the application and all required 

documentation have been approved by the air district. 

(J) A third party (e.g., engine dealer or distributor) may complete an 

application or part of an application on an owner’s behalf only if the vehicle 

owner signs and agrees to the application. Applications must include a 

signature section for third parties. The third party signature section must 

include signature and date lines, and sections for the third party to 

disclose how much they are being paid, if anything, to complete the 

application and the source of funds used to pay them. To make the Carl 

Moyer Program accessible to all potential applicants, including those that 

cannot afford to hire third party assistance, air districts are encouraged to 

provide assistance to applicants. 

9. Compliance Checks: Fleet modernization projects must complete the compliance 

check process described in Chapter 4, Section D.2. 
As of 10/30/2013 5 - 11 ON-ROAD

FLEET MODERNIZATION

10.Inspections: Air districts may enter into a contract, written agreement, or 

memorandum of understanding with a contractor to perform project inspections

(pre-inspections, post-inspections, or dismantle inspections). If an air district 

chooses to use contractors to perform inspections, air district staff must conduct 

and document at least one inspection on each project without the use of a 

contractor. Air districts must ensure all inspection requirements are met and 

shall retain legal responsibility for full compliance with the inspection provisions 

of these Guidelines, regardless of the use of contractors. 

11.Dismantler Requirements

(A) Fleet modernization requires that the existing truck be dismantled. This 

requirement has been established to ensure that emission reductions are 

real, preventing the truck from continuing to emit high levels of pollutants. 

Destruction of the existing vehicle chassis and engine permanently 

removes the old, high emitting vehicle from service. The existing vehicle 

and engine specified in the application must be dismantled, and may not 

be substituted with a different vehicle.

(B) To participate in the fleet modernization program, dismantlers must:

(1) Enter into an agreement with the air district. 

(2) Be licensed by DMV as an auto-dismantler. 

(3) Possess a current, valid California Environmental Protection Agency 

Hazardous Materials Generators Permit. 

(4) Be in compliance with all local, state and federal laws and regulations.

(C) The dismantler must do the following for each vehicle: 

(1) Dismantle the old vehicle in accordance with program guidelines within 60 

calendar days of receipt. Upon dismantler request, the air district may 

approve an extension. 

(2) Destroy and render useless the existing vehicle engine as specified in 

Chapter 3: Program Administration. 

(3) Completely sever the frame rails of the old vehicle to ensure that the 

vehicle will not be used again.

(4) Air district staff or the dismantler must take photographs of the destroyed 

engine and severed frame rails. Dismantler photographs of the destroyed 

engine block and severed frame rails must be provided to the air district
As of 10/30/2013 5 - 12 ON-ROAD

FLEET MODERNIZATION

within ten (10) business days of dismantling the vehicle. The following 

picture views must be taken: 

a. Front of vehicle with hood down

b. Right side of vehicle with hood down

c. Left side of vehicle with hood down

d. Serial number printed either on the tag inside in the cab or on the 

frame rail

e. Engine side view

f. Engine serial number either stamped on the block or on the tag

g. Destroyed engine block either in-frame or out of frame as specified in 

Chapter 3: Program Administration

h. Completely severed frame rails

(5) Prepare and submit to DMV either a “Non-Repairable Vehicle Certificate”

using an “Application for Salvage Certification or Non-Repairable Vehicle 

Certification” (REG 488C), or a Notice of Acquisition/Report of Vehicle To 

Be Dismantled (REG 42) ensuring the VIN can never be registered again 

in California. 

(6) Upon request of the air district, ARB may approve an alternative 

disposition for the old vehicle.

12.Recovery of Grant Funds

(A) The air district must establish a mechanism to assure the participants fulfill

all contractual obligations, including owning and operating the 

replacement vehicle for the project life. The air district will determine 

noticing requirements and the method to achieve fund recovery. Air 

districts may consider the following option: 

(1) List the air district as co-lien holder on the title of the replacement vehicle 

for the term of the agreement. The participant must submit a completed 

Uniform Commercial Code-1 Financing Statement Form to the California 

Secretary of State, with a copy sent to the air district, within 30 days of the 

purchase of the replacement vehicle. The financing statement must have 

the air district as the secured party and the vehicle should be listed as 

collateral. 

(2) If the replacement vehicle is sold during the project life, the new owner 

must assume the obligations under the participant’s contract with the air 

district and comply with the terms and conditions of the contract. The air 

district must approve the change in ownership prior to the sale. 

 
As of 7/11/14 6 - 1 EMERGENCY VEHICLES

FIRE APPARATUS

Chapter 6: EMERGENCY VEHICLES (FIRE APPARATUS)

This chapter describes the minimum criteria and requirements for Carl Moyer Memorial 

Air Quality Standards Attainment Program (Carl Moyer Program) fire apparatus 

projects.

A. Projects Eligible for Funding

This chapter specifically focuses on fire apparatus including, but not limited to, pumpers, 

ladder trucks, and water tenders. These fire apparatus can go by different names 

regionally; however, this chapter will use the terms “fire apparatus” and “fire trucks” 

interchangeably to refer to fire-related emergency vehicles collectively. Medium heavyduty (MHD) or heavy heavy-duty (HHD) diesel fire apparatus are eligible for funding 

under this chapter. 

Eligible 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 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. See Section C (Project Criteria) below for detailed minimum 

eligibility requirements. 

B. Maximum Eligible Funding Amounts

Table 6-1 summarizes the maximum eligible funding amount for all project types in this 

category. All projects are also subject to the cost-effectiveness threshold defined in 

Appendix G. 

Table 6-1 

Maximum Funding Amount for Carl Moyer Emergency Vehicle Projects

Project Maximum

Fire Apparatus Replacement 80 percent

C. Project Criteria

1. General Criteria

The minimum qualifications for fire apparatus replacement are listed below. All 

projects must also conform to the requirements in Chapter 2: General Criteria, and in 

Chapter 3: Program Administration. Participating air districts retain the authority to 

impose additional requirements in order to address local concerns.

(A) Eligible Vehicles: Authorized emergency vehicles as described in the 

California Vehicle Code, sections 27156.2 and 165 including, but not 

limited to pumpers, ladder trucks, and water tenders are eligible for 

funding.
As of 7/11/14 6 - 2 EMERGENCY VEHICLES

FIRE APPARATUS

(B) Eligible Weight Class: Heavy-duty diesel fire apparatus with a gross 

vehicle weight rating (GVWR) greater than 14,000 pounds are eligible for 

funding. 

(C) Engine Certification: An engine Executive Order (EO) must be provided 

for both the existing old engine and the replacement engine. The intended 

service class will be used to determine if the engine is certified as a MHD 

or HHD engine. If the baseline engine EO is not available, case-by-case 

approval is necessary to determine the weight class of the old vehicle.

 

(D) Intended Service Class Flexibility: Engines certified to the MHD service 

class (i.e., GVWR between 14,000 and 33,000 pounds) must be installed 

in a MHD vehicle as shown on the engine certification EO. However, 

MHD engines may be installed in a vehicle with a GVWR up to 33,600 

pounds (10 percent higher than 36,300 GVWR) with written warranty 

verification by the engine and chassis manufacturer. A copy of the written 

warranty verification must be maintained in the air district project file. 

Engines certified to the HHD service class (i.e., GVWR greater than 

33,000 pounds) may be installed in a vehicle no less than GVWR 29,701 

pounds (10 percent lower than 33,001 GVWR).

 

(E) Auxiliary Engine: The main engine providing motive power to the fire 

apparatus is eligible for funding. Any auxiliary engine is ineligible.

(F) Eligible Project Cost: A Carl Moyer Program grant for a fire apparatus 

project shall not exceed a maximum of 80 percent of the eligible project 

cost. Eligible project costs include the cost of the cab and chassis 

including parts that are integrated into the vehicle and not bolted on and 

movable, such as the tank on the water tender. The cab and chassis cost 

may include but is not limited to the following: 

(1) The capital cost of the cab 

(2) The capital cost of the chassis which may include but is not limited to:

a. Engine

b. Transmission

c. Suspension system

d. Steering system

e. Frame 

f. Electrical system 

g. Cooling System 

h. Fuel system

i. Emission system
As of 7/11/14 6 - 3 EMERGENCY VEHICLES

FIRE APPARATUS

(3) Tax and transport for eligible parts or costs.

(4) Labor for installation of or modification to parts eligible for funding.

(G) Municipal Lease: For municipal leases, incremental lease costs such as 

the lease acquisition fee may be included as an eligible project cost. 

Documentation must be provided to the air district.

(H) Project Life: The maximum project life available for fire apparatus is 

14 years and represents the average remaining useful life of the vehicle. 

(I) Engine Model Year: If the vehicle model year and the engine model year 

are different, the engine model year will be used to determine the baseline 

emissions for calculations.

(J) Emission Factors: Cost-effectiveness calculations will use emission 

factors in Appendix D, Tables D-9a and D-9b (new grams/gallon and 

grams/mile tables) depending on the vehicle weight class and 

documented usage. 

(1) Fuel-based and mileage-based calculations must use fire apparatus 

emission factors in Appendix D, Tables D-9a and D-9b for the baseline 

and reduced emission calculations. 

(2) Hour-based calculations will be considered by the Air Resources Board 

(ARB) on a case-by-case basis.

(K) Case-by-Case: A project for which a case-by-case determination is 

requested must receive approval from ARB prior to contract execution. 

These projects must follow the requirements as described in Chapter 3: 

Program Administration, Section Y.

2. Compliance Check

After the district receives an application for any fire-related emergency vehicle 

project but before the district pays for a project, the district must submit information 

regarding the project to ARB to check for outstanding violations and previous project 

funding.

(A) The district shall email its ARB district liaison the registered owner’s name, 

vehicle identification number, California Highway Patrol number, and the 

Department of Transportation number or Interstate Commerce 

Commission number for each vehicle to be replaced in the project as well 

as all other vehicles in the applicant’s fleet. Due to the large number of 
As of 7/11/14 6 - 4 EMERGENCY VEHICLES

FIRE APPARATUS

vehicles that could require compliance checks, air districts are encouraged 

to submit these data as soon as possible after receipt of the application.

(B) The liaison will forward that information electronically to the responsible 

parties at ARB. The liaison will email the air district the results of the 

compliance check within 10 business days.

(C) If the compliance check indicates that the vehicle has already received 

funding and is still under contract, the air district will be notified and the 

application must be rejected.

(D) If the compliance check indicates there is an outstanding violation with any 

truck in the applicant’s fleet, the air district shall inform the engine owner in 

writing that no disbursement of Carl Moyer Program grant funds may be 

made until the owner provides proof that each violation has been 

corrected and each fine has been paid. 

3. Participant Requirements

Participants must meet the follow requirements: 

(A) Own and Operate: The participant must currently own and operate the old 

vehicle, documented through a copy of the old vehicle title.

(B) Usage: Participant must submit documentation of the annual gallons 

consumed or miles traveled for the previous two years to determine costeffectiveness. Examples of acceptable documentation include: fuel logs, 

fuel receipts, or maintenance records. Other methods of documenting 

usage may be considered on a case-by-case basis. 

(C) Warranty Requirements: All participants must purchase, at a minimum, a 

one-year or 100,000 mile major component engine warranty for the 

replacement vehicle. The warranty must cover parts and labor. It is 

recommended that the highest grade warranty be purchased in order to 

avoid expensive repairs in the future. No Carl Moyer Program funds will 

be issued for maintenance or repairs related to the operation of the 

vehicle. The participant takes sole responsibility for ensuring that the 

vehicle is in operational condition throughout the project life.

(D) Insurance: The participant must maintain replacement value insurance 

coverage for the project life. 

(E) Accident Report: If the replacement vehicle is involved in an accident, the 

participant must report the accident to air district staff within 14 days. The 

participant must provide a police report of the accident, a letter from the 

insurance company regarding the accident, and any additional information 
As of 7/11/14 6 - 5 EMERGENCY VEHICLES

FIRE APPARATUS

requested by the air district. The participant must repair the vehicle and 

return it to operation, if possible. Down time due to an accident will be 

credited toward the performance requirements as long as the information 

is reported as requested and the repairs are made as soon as possible. If 

the vehicle is totaled, the participant and the air district staff must come to 

an agreement regarding any requirements that still need to be met. 

4. Existing Old Vehicle Requirements

An existing old vehicle, also referred to as the baseline vehicle, must meet the 

following conditions before funding is awarded to the participant:

(A) Registration: The old vehicle must have been registered in California for

the previous twenty-four (24) months. The old vehicle must be based in 

California. 

(B) Two-for-One Replacement: The replacement of two old, like trucks with 

one replacement truck is eligible for funding, under the following 

conditions: 

(1) All trucks must be the same type of fire apparatus. 

(2) Each old truck and the replacement truck must comply with all of the 

applicable guidelines. 

(3) To determine cost-effectiveness, the annual emissions of the two old 

trucks are determined using emissions factors that correspond to the 

model year of each truck. 

(4) The usage of the two old trucks is summed to establish projected 

replacement truck usage. 

(5) Replacement trucks are eligible for only one grant based on the combined 

usage; the amount of the grant award is not doubled. 

5. Replacement Vehicle Requirements

All replacement vehicles may be either new or used and must meet the following 

conditions before funding is awarded to the participant:

(A) Engine Certification: New or used replacement vehicles with a 

2007 model year or later engine, certified to a particulate matter (PM) 

emission standard of 0.01 g/bhp-hr and a oxides of nitrogen (NOx) family 

emission limit (FEL) or NOx standard (STD) level of 1.20 grams per brake 

horsepower hour (g/bhp-hr) or lower are eligible for funding. 
As of 7/11/14 6 - 6 EMERGENCY VEHICLES

FIRE APPARATUS

(B) Function: The replacement vehicle must perform the same function as the 

baseline vehicle.

(C) Used Replacement: A used HHD replacement truck must have less than 

500,000 miles and a used MHD replacement truck must have less than 

250,000 miles, with odometer verification to occur at the post inspection.

(D) Engine and Emission Control Modifications: Emission controls on the 

replacement vehicle engine cannot be modified in any manner. 

Unauthorized modification to engine performance (including changes in 

horsepower), emission characteristics, engine emission components (not 

including repairs with like-original equipment manufacturers replacement 

parts), or any other modifications to the engine’s emission control function 

are not allowed. 

6. Air District Requirements

Air districts are responsible for completing a pre-inspection of the old vehicle, postinspection of the replacement vehicle, and ensuring the destruction of the old

vehicle.

(A) Pre-Inspection: 

(1) Pre-inspection must include clear photographs of the old vehicle and 

engine showing the following:

a. Vehicle Identification Number (VIN) label – inside vehicle or on frame 

rail.

b. Engine – left side

c. Engine – right side 

d. Engine Serial Number – either label or stamp on block. If the engine 

label is missing, then the participant must provide verification of the 

engine make, model, model year, engine serial number, and 

horsepower from the manufacturer. Verification can include a letter or 

a printout from an engine manufacturer or dealership. On a case-bycase basis, ARB may approve another means of obtaining the required 

information.

e. License Plate 

(2) Air districts may allow fire departments to provide documentation that is 

consistent with the minimum requirements in lieu of a pre-inspection as 

described in Chapter 3: Program Administration, Section AA. 

(B) Post-Inspection: Post-inspection must include clear photographs of the 

replacement vehicle and engine showing the following:
As of 7/11/14 6 - 7 EMERGENCY VEHICLES

FIRE APPARATUS

(1) Same as pre-inspection listed above, Section (A)(1)

(2) Diesel Emission Control Device (if applicable)

(3) Odometer

(4) Additional modifications (if applicable)

(C) Vehicle Destruction: 

(1) Air districts must enter into an agreement with a dismantler.

 

(2) Carl Moyer funding is not available for the dismantling of the old vehicle.

(3) Upon request of the air district, ARB may approve an alternative 

disposition for the old vehicle on a case-by-case basis.

(4) Upon request of the dismantler, the air district may approve an extension 

to the required timeframe for vehicle destruction.

7. Reuse Option 

On a case-by-case basis, the truck reuse option is available in lieu of destroying the 

baseline vehicle, called the first baseline fire truck. The reuse program would allow 

the first baseline fire truck to replace an even older second baseline fire truck. 

Minimum requirements for a reuse project include: 

(A) Project Criteria: The reuse option is subject to Section C (Project Criteria) 

requirements listed above.

(B) Emission Reductions: The emission reductions and grant amount are 

based on the first baseline fire truck covered in the project contract with 

the fire department that will receive the replacement truck. 

(C) Reuse First Baseline Truck: If the contracted fire department chooses to 

participate in the reuse option, the first baseline fire truck must be 

transferred to another fire department. The first baseline truck may not be 

sold, traded, or considered a charitable contribution.

(D) Five Year Difference: The second baseline fire truck must be at least five 

years older than the first baseline fire truck. 

(E) Destruction Requirement: The second baseline fire truck must be 

destroyed. The air district may allow an extension in the destruction 

schedule outlined below in the Dismantler Requirements section to 

provide time for the fire department to find a reuse partner and process a 

reuse transaction. 
As of 7/11/14 6 - 8 EMERGENCY VEHICLES

FIRE APPARATUS

8. Dismantler Requirements

These requirements have been established to ensure that emission reductions are 

real. It prevents the old trucks from being moved into another locale to continue 

emitting high levels of pollutants. Dismantlers must enter into an agreement with the 

air district and must meet the following requirements: 

(A) Be licensed by the DMV as an auto-dismantler have a current, valid 

Cal/EPA Hazardous Materials Generators Permit and be in compliance 

with all local, state and federal laws and regulations.

 

(B) Destroy the old vehicle and engine within 60 calendar days from receipt. 

(C) The old vehicle’s engine must be destroyed and rendered useless as 

specified in Chapter 3: Program Administration.

(D) Cut the frame rails of the old vehicle to ensure that the vehicle will not be 

used again.

(E) File a “Non-Repairable Vehicle Certificate” with DMV using an “Application 

for Salvage Certification or Non-Repairable Vehicle Certification”.

(F) Take the following photographs and provide to the air district within 

10 business days of destroying the vehicle: 

(1) Vehicle from left side

(2) Vehicle from right side

(3) Vehicle from front

(4) Vehicle from back

(5) VIN Tag – inside vehicle or on frame rail

(6) License Plate

(7) Odometer Reading

(8) Cut in frame rails

(9) Engine – left side

(10) Engine – right side

(11) Engine Serial Number – either tag or stamp on block

(12) Hole in engine block (at least 3 inches wide)
As of 7/11/14 7 - 1 OFF-ROAD COMPRESSIONIGNITION EQUIPMENT

Chapter 7: OFF-ROAD COMPRESSION-IGNITION EQUIPMENT

This chapter describes the minimum criteria and requirements for Carl Moyer Program 

mobile, self-propelled, off-road compression-ignition (CI) projects such as construction 

and agricultural equipment. This chapter also describes criteria for non-agricultural 

portable equipment.

This chapter does not cover portable and stationary agricultural equipment (see 

Chapter 10). Criteria and requirements for the off-road equipment replacement 

category can be found in Chapter 9. Air districts may set more stringent requirements 

based upon local priorities.

A. Projects Eligible for Funding

The Air Resources Board (ARB) has adopted in-use fleet rules affecting off-road CI 

equipment: the Regulation for In-Use Off-Road Diesel-Fueled Fleets (Off-Road 

Regulation) and the Cargo Handling Equipment at Ports and Intermodal Rail Yards 

Regulation (CHE Regulation). Portable engines are regulated under the Portable 

Airborne Toxic Control Measure (ATCM). There are limited funding opportunities for 

equipment subject to these rules. 

Table 7-1 

Summary of Off-Road CI Engine Funding Opportunities

Equipment Type Subject to ARB Fleet 

Rule

Moyer Funding Opportunities1

Mobile agricultural 

equipment

No Funding opportunities exist for engine repowers 

and retrofits.

Cargo handling 

equipment at ports/ 

intermodal rail yards

Cargo Handling

Equipment Regulation2 

Very limited opportunities.

Most other off-road 

equipment (e.g. 

construction, mining, 

rental, airport ground 

support and other 

industries)

Off-Road Regulation3 Small fleets: Opportunities exist through

Dec. 31, 2025, after which fleet must show

100% compliance with the regulation

Medium fleets: Opportunities exist through 

Dec. 31, 2019, after which fleet must show 

100% compliance with the regulation

Large fleets: Opportunities exist through

Dec. 31, 2016, after which fleet must show

100% compliance with the regulation. After 

Dec. 31, 2012, only filter-based projects eligible

for funding

Portable diesel Engines Portable Engine ATCM4 Limited opportunities exist ahead of the fleet 

average requirements

Limited opportunities means a fleet’s compliance status with the ARB regulation must be determined. Contact air 

district Moyer Program staff or consult fleet rule Carl Moyer Implementation Charts at: 

http://www.arb.ca.gov/msprog/moyer/guidelines/supplemental-docs.htm in addition to these guidelines. 2 Regulation for Mobile Cargo Handling Equipment at Ports and Intermodal Rail Yards:

http://www.arb.ca.gov/ports/cargo/cargo.htm

3 Regulation for In-Use Off-Road Diesel-Fueled Fleets http://www.arb.ca.gov/msprog/ordiesel/ordiesel.htm 4 Regulation for Portable engine ATCM: http://www.arb.ca.gov/diesel/peatcm/peatcm.htm
As of 7/11/14 7 - 2 OFF-ROAD COMPRESSIONIGNITION EQUIPMENT

Project Types: Taking the above table into consideration, the following categories are 

eligible projects:

1. Repower of Existing Equipment

2. Retrofit Purchase

3. New Equipment Purchase: Requires case-by-case approval by ARB.

4. Equipment Replacement: Purchases of new or used CI equipment replacing an 

uncontrolled, fully functional CI piece of equipment may be eligible. For these 

projects, refer to Chapter 9 or the Off-Road Voucher Incentive Program.

Please see Section D (Project Criteria) for detailed minimum eligibility requirements for 

all off-road CI project categories.

B. Maximum Eligible Funding Amounts

Table 7-2 summarizes the maximum eligible funding for each project type. All projects 

are also subject to the cost-effectiveness threshold defined in Appendix G. 

Table 7-2 

Maximum Percentage Eligible for 

Carl Moyer Off-Road Compression-Ignition Projects

Project Maximum

Tier 1 Repower 75 percent

Tier 2 Repower 80 percent

Tier 3 and Tier 4 Repower 85 percent

Retrofit 100 percent

C. Engine Emission Standards

ARB and the United States Environmental Protection Agency (U.S. EPA) have adopted 

regulations for exhaust emission standards for new off-road engines and equipment. 

For reference, Tables 7-3 and 7-4 below summarize the hydrocarbon (HC), oxides of 

nitrogen (NOx), and particulate matter (PM) standards in grams per brake-horsepowerhour (g/bhp-hr) for Tier 1, 2, 3, and 4 engines. The actual standards, in grams per 

kilowatt-hour (g/kW-hr), may be found in California Code of Regulations, title 13, 

sections 2449, et seq.

 
As of 7/11/14 7 - 3 OFF-ROAD COMPRESSIONIGNITION EQUIPMENT

Table 7-3 

ARB and U.S. EPA Tier 1, 2, and 3 Exhaust Emission Standards for

New Off-Road Diesel Engines ≥ 25 hp 

(g/bhp-hr)

Maximum Rated 

Power 

hp

(kW)

Tier Model Year NOx HC NOx+NMHC PM

25≤hp<50

(19≤kW<37)

Tier 1 1999-2003(a) — — 7.1 0.60

Tier 2 2004-2007 — — 5.6 0.45

50≤hp<75

(37≤kW<56)

Tier 1 1998-2003(a) 6.9 — — —

Tier 2 2004-2007 — — 5.6 0.30

Tier 3(b) 2008-2011 — — 3.5 0.30

75≤hp<100

(56≤kW<75)

Tier 1 1998-2003(a) 6.9 — — —

Tier 2 2004-2007 — — 5.6 0.30

Tier 3 2008-2011 — — 3.5 0.30

100≤hp<175

(75≤kW<130)

Tier 1 1997-2002(a) 6.9 — — —

Tier 2 2003-2006 — — 4.9 0.22

Tier 3 2007-2011 — — 3.0 0.22

175≤hp<300

(130≤kW<225)

Tier 1 1996-2002 6.9 1.0 — 0.40

Tier 2 2003-2005 — — 4.9 0.15

Tier 3(c) 2006-2010 — — 3.0 0.15

300≤hp<600

(225≤kW<450)

Tier 1 1996-2000 6.9 1.0 — 0.40

Tier 2 2001-2005 — — 4.8 0.15

Tier 3(c) 2006-2010 — — 3.0 0.15

600≤hp≤750

(450≤kW≤560)

Tier 1 1996-2001 6.9 1.0 — 0.40

Tier 2 2002-2005 — — 4.8 0.15

Tier 3(c) 2006-2010 — — 3.0 0.15

hp>750

(kW>560)

Tier 1 2000-2005 6.9 1.0 — 0.40

Tier 2 2006-2010 — — 4.8 0.15

(a) EPA model year. ARB model year for Tier 1 starts at 2000 for 25 hp ≤ to <175 hp. (b) Engine families in this power category may meet the Tier 3 PM standard instead of the Tier 4 interim PM standard 

in exchange for introducing the final Tier 4 PM standard in 2012. (c)

Caterpillar, Cummins, Detroit Diesel Corporation, and Volvo Truck Corporation agreed to comply with these 

standards by 2005.
As of 7/11/14 7 - 4 OFF-ROAD COMPRESSIONIGNITION EQUIPMENT

Table 7-4 

ARB and U.S. EPA Tier 4 Exhaust Emission Standards for

New Off-Road Diesel Engines ≥ 25 hp 

(g/bhp-hr)

Maximum Rated 

Power

hp

(kW)

Tier Model Year NOx HC NOx+NMHC PM

25≤hp<50

(19≤kW<37)

Tier 4 Interim 2008-2012 — — 5.6 0.22

Tier 4 Final 2013 and later — — 3.5 0.02

50≤hp<75

(37≤kW<56)

Tier 4 Interim(a) 2008-2012 — — 3.5 0.22

Tier 4 Final 2013 and later — — 3.5 0.02

75≤hp<100

(56≤kW<75)

Tier 4

Phase-In

2012-2014

0.30 0.14 — 0.01

Tier 4

Phase-Out

— — 3.5 0.01

Tier 4 

Alternate 

NOx(b)

2.5 0.14 — 0.01

Tier 4 Final 2015 and later 0.30 0.14 — 0.01

100≤hp<175

(75≤kW<130)

Tier 4

Phase-In

2012-2014

0.30 0.14 — 0.01

Tier 4

Phase-Out

— — 3.0 0.01

Tier 4 

Alternate 

NOx(b)

2.5 0.14 — 0.01

Tier 4 Final 2015 and later 0.30 0.14 — 0.01

175≤hp<750

(130≤kW<560)

Tier 4

Phase-In

2011-2013

0.30 0.14 — 0.01

Tier 4

Phase-Out

— — 3.0 0.01

Tier 4 

Alternate 

NOx(b)

1.5 0.14 — 0.01

Tier 4 Final 2014 and later 0.30 0.14 — 0.01

hp>750

(kW>560)

Tier 4 Interim 2011-2014 2.6 0.30 — 0.07

Tier 4 Final 2015 and later 2.6 0.14 — 0.03

 (a) Engine families in this power category may meet the Tier 3 PM standard instead of the Tier 4 interim PM standard 

in exchange for introducing the final Tier 4 PM standard in 2012. (b) The implementation schedule shown is the three-year alternate NOx approach. Other schedules are available. 
As of 7/11/14 7 - 5 OFF-ROAD COMPRESSIONIGNITION EQUIPMENT

D. Project Criteria

The minimum qualifications for off-road compression-ignition projects are listed below. 

All projects must also conform to the requirements in Chapter 2: General Criteria and in 

Chapter 3: Program Administration. Participating air districts retain the authority to 

impose additional requirements in order to address local concerns.

1. General Off-Road CI Equipment Project Criteria

(A) Maximum project life:

(1) Repower only (no retrofit) 7 years

(2) Repower + retrofit 5 years

(3) Retrofit 5 years

(4) Farm equipment* (all projects) 10 years* 

*Air districts are required to offer a 10 year project life for farm equipment; 

however, applicants may request a project life less than 10 years.

A longer project life may be granted case-by-case approval if an applicant 

provides justifying documentation. The maximum project life does not consider 

regulatory requirements that may shorten the eligible project life. Regulatory 

requirements may reduce actual project lives below these maximum values.

(B) Engines greater than 25 horsepower on mobile and portable off-road 

equipment are eligible for funding.

(C) Air Districts have discretion to use good engineering judgment to 

determine the project horsepower for an engine based on the engine 

label, manual, and engine records or other verifiable records. For projects 

in which the actual engine horsepower cannot be determined based on 

information listed above the engine horsepower can be estimated by the 

following formula: Engine hp = Power Take Off hp X 120 percent.

(D) The certification emission standards and Tier designation for the engine 

must be determined from the Executive Order or U.S. EPA Certificate of 

Conformity (for federally preempted engines) issued for that engine. ARB 

Executive Orders for off-road engines may be found at 

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

(E) Engines that are participating in the “Tier 4 Early Introduction Incentive for 

Engine Manufacturers” program, as detailed in California Code of 

Regulations, title 13, section 2423(b)(6), are eligible for Carl Moyer 

Program funding provided that they are certified to the final Tier 4 

emission standards. The ARB Executive Order for these engines 

indicates that the engines are certified under this provision. The emission 

rates for these engines used to determine cost-effectiveness shall be 
As of 7/11/14 7 - 6 OFF-ROAD COMPRESSIONIGNITION EQUIPMENT

equivalent to the emission factors associated with Tier 3 engines. Air 

districts must retain this documentation in the project file.

(F) Interim Tier 4 engines between 75 and 750 horsepower certified to the 

Phase-In, Phase-Out, and Alternate NOx standards as detailed in 

California Code of Regulations, title 13, section 2423(b)(1)(B), are eligible 

for funding. The appropriate emission factors for calculating emission 

reductions and cost-effectiveness are listed in Appendix D, Table D-12.

(G) For equipment with baseline engines manufactured under the flexibility 

provision, detailed in California Code of Regulations, title 13, section

2423(d), baseline emission rates shall be determined by using the 

previous applicable Tier emission standard for that engine model year and 

horsepower rating. Alternatively, the baseline emission rates may be 

determined based upon the standard or Tier associated with the actual 

reference family listed on the emission control information label of the 

baseline equipment. The ARB Executive Order for these engines 

indicates that the engines are certified under the flexibility provision. Air 

districts must retain this documentation in the project file.

(H) Notwithstanding section D.2.(C), interim Tier 4 (interim Tier 4, Tier 4 

Phase-Out, Tier 4 Phase-in/Alternate NOx) and Tier 4 Final engines 

participating in the averaging, banking and trading program that are 

certified to family emission limits (FEL) higher than the applicable 

emission standards are eligible to participate in the Carl Moyer Program. 

The appropriate emission factor for calculating emission reductions and 

cost-effectiveness shall be equivalent to the emission factors associated 

with the Tier 3 for engines 50 to 750 horsepower and Tier 2 for engines 

less than 50 horsepower or greater than 750 horsepower.

(I) Interim Tier 4 and Tier 4 engines participating in the averaging, banking 

and trading program that are certified to family emission limits (FEL) below 

the applicable emission standards are eligible to participate in the Carl 

Moyer Program. The appropriate emission factor for calculating emission 

reductions and cost-effectiveness shall be the emission factor associated 

with the applicable interim Tier 4 (interim Tier 4, Tier 4 Phase-Out, Tier 4 

Phase-in/Alternate NOx) or Tier 4 Final emission standard.

(J) New replacement engines manufactured under the “replacement engine” 

provisions of CCR, Title 13, Section 2423(j) and/or the provisions of 40 

CFR 1068.240 are eligible for Carl Moyer Program funding.

(K) The criteria of this chapter are applicable to portable off-road engines that 

are not covered by the definition of agricultural source under Health and 

Safety Code section 39011.5. However, portable equipment owned by 

agricultural service companies, rental companies, public agencies, and 
As of 7/11/14 7 - 7 OFF-ROAD COMPRESSIONIGNITION EQUIPMENT

non-agricultural service companies meet the definition of farm equipment 

per this chapter and are subject to the eligibility criteria outlined in 

Chapter 10.

(L) Cost-effectiveness calculations must use the hour-based formula as 

discussed in Appendix C. Fuel usage may only be used with 

case-by-case approval from ARB. If using the fuel based formula, usage 

must be based on two years historical fuel usage documentation specific 

for the equipment being funded. Documentation may include fuel logs, 

purchase receipts, or ledger entries. 

(M) Future annual hours of equipment operation for determining emission 

reductions must be based upon readings from an installed and fully 

operational hour meter. If equipment does not have a functioning hour 

meter at the time of the project, the hour meter must be installed, repaired, 

and/or replaced. If during the project life the hour meter fails for any 

reason, the hour meter must be repaired or replaced as soon as possible 

at the owner’s cost. If case-by-case approval was provided by ARB to use 

fuel usage for determining emission reductions, then future annual fuel 

usage must be based on fuel logs, purchase receipts, or ledger entries 

specific to the funded equipment.

(N) Project load factors for calculating emission reductions and 

cost-effectiveness are listed in Appendix D, Table D-10. Load factors 

shall be selected by first choosing the equipment category (i.e., Airport 

GSE, Mobile Agriculture, Construction, etc.), then by selecting the 

equipment type within the category. This is consistent with how the 

equipment category and load factor inputs are selected in CARL. 

2. Repower 

A repower is the replacement of the existing engine with a newer emission-certified 

engine instead of rebuilding the existing engine to its original specifications. These 

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. 

(A) Funding is not available for projects where a spark-ignition engine (i.e., 

natural gas, gasoline, etc.) is replaced with a diesel engine. 

(B) Equipment manufactured under the “Flexibility Provisions for Equipment 

Manufacturers” as detailed in California Code of Regulations, title 13, 

section 2423(d), are ineligible for Carl Moyer Program funding as a 

replacement engine.

(C) Engines eligible for repowers must meet the current applicable standard or 

Tier. If repowering with an engine meeting the current applicable standard 
As of 7/11/14 7 - 8 OFF-ROAD COMPRESSIONIGNITION EQUIPMENT

is technically infeasible, unsafe, or not available when the air district

commits to the proposed project, the replacement engine must meet the 

most practicable previously applicable emission standard. For purposes 

of this section, air district’s commitment to a proposed project shall be 

consistent with that stated in their policies and procedures manual. The 

air district shall determine eligibility of a repower project using an engine 

certified to a previous emission standard using the criteria listed below: 

(1) At the applicant’s request, confirmation of availability of an engine meeting 

the most recent emission standards or Tier may be limited to the same 

manufacturer as the existing engine.

(2) If the air district and the applicant do not execute a contract for the project

within six months of project commitment, then the air district must recheck 

for the availability of engines meeting the current standard.

(3) Documentation that engines meeting the current applicable standards are 

unavailable must be provided to the air district. Acceptable documentation 

that engines meeting the most recent emission standards are unavailable 

include:

a. Verifiable information from the engine manufacturer, engine distributor, 

and/or engine dealer regarding the unavailability of engines meeting 

the current emission standards or Tier.

b. Confirmation (a written declaration by the air district is acceptable) that 

engines from a specific manufacturer meeting the current emission 

standards or Tier are not certified (Executive Order is not available on 

ARB website). Executive Orders for off-road engines may be found at 

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

c. A written statement of reason(s) provided by the engine manufacturer 

verifying that a particular piece of equipment cannot accommodate an 

engine meeting current standards without major modifications or safety 

risks. The letter must include information on the equipment being 

repowered, the engine being replaced, the reason why an engine 

meeting the currently applicable standard cannot be used (including 

applicable supporting documentation), and the proposed replacement 

engine. Air districts must retain the written statement of reasons in the 

project files.

d. The engine manufacturer has provided ARB with sufficient information 

on engine and/or equipment models for which repowers are available, 

and engine and/or equipment models for which repowers are not 

available or feasible. Engine manufacturers who are interested in 

pursuing this option should contact ARB. ARB staff will maintain a list 
As of 7/11/14 7 - 9 OFF-ROAD COMPRESSIONIGNITION EQUIPMENT

of such engines and/or equipment models and make that list available 

to air district staff. 

(D) Notwithstanding Section D.2.(C), repower to Tier 1 is eligible for funding 

only in the following cases:

(1) In a fleet meeting the small fleet definition or a fleet meeting the captive 

attainment area fleet definition of the Off-Road Regulation until 

January 1, 2016. After this date, Tier 1 engines cannot be installed and 

are no longer eligible.

(2) Equipment specifically exempted from the performance requirements of 

the Off-Road Regulation, California Code of Regulations, title 13, 

section 2449(e).

(3) Equipment that is not subject to the Off-Road Regulation.

(E) Notwithstanding Section D.2.(C), repower to a Tier 2 is eligible for funding 

only in the following cases: 

(1) In a fleet meeting the large or medium fleet definition of the Off-Road 

Regulation until January 1, 2018. After this date, Tier 2 engines cannot be 

installed and are no longer eligible.

(2) In a fleet meeting the small fleet definition or a fleet meeting the captive 

attainment area fleet definition of the Off-Road Regulation until 

January 1, 2023. After this date, Tier 2 engines cannot be installed and 

are no longer eligible.

(3) Equipment specifically exempted from the performance requirements of 

the Off-Road Regulation, California Code of Regulations, title 13, 

section 2449(e).

(4) Equipment that is not subject to the Off-Road Regulation.

(F) For repower plus retrofit projects, the cost of datalogging the replacement 

engine can be included in the total project cost.

(G) If an ARB-verified retrofit is available for the replacement engine at the 

time an air district reviews the application for eligibility, the applicant must 

install the highest level verified retrofit, as discussed in Section D.3.(A) of 

this chapter. 

(1) If the additional cost of the retrofit causes the cost-effectiveness to be 

above the cost-effectiveness limit as defined in Appendix G, then the 

retrofit is not required. 
As of 7/11/14 7 - 10 OFF-ROAD COMPRESSIONIGNITION EQUIPMENT

(2) If documentation can be provided to the air district or ARB that the retrofit 

is not technically feasible, available, or safe, then the retrofit is not 

required. Documentation of retrofit unavailability for mobile cargo handling 

equipment must follow the process set out in the Regulation for Mobile 

Cargo Handling Equipment at Ports and Intermodal Rail Yards, California

Code of Regulations, title 13, section 2479 (f)(2). Documentation for a 

retrofit that impairs the safe operation of a vehicle must follow the process 

set out in the Off-Road Regulation, California Code of Regulations,

title 13, section 2449(e)(8). A determination that a retrofit is not required 

due to safety concerns must be made prior to the retrofit installation phase

of a project. 

(3) If offered by an air district, an applicant may opt-out of the default retrofit 

requirement. Applicants must sign a waiver acknowledging that due to 

current or future regulations, the applicant may be required to install a 

retrofit on the funded equipment at their own cost. Air districts have the 

option to not offer this additional flexibility and are encouraged to evaluate 

individual projects based on the near-source health impacts. Large fleets 

subject to the Off-Road Regulation have additional requirements per 

section E.4.(D) below.

(4) Equipment that has been issued an exemption from retrofit installation 

from specific manufacturers may be found at: 

http://www.arb.ca.gov/msprog/moyer/retrofit/exemptions.htm. 

(H) For repower projects with new off-road compression-ignition engines 

equipped with original engine manufacturer aftertreatment devices, 

addition of a retrofit is ineligible due to issues with engine warranty and 

anti-tampering provisions.

(I) All engines replaced as part of an off-road repower project must be 

destroyed and rendered useless, in accordance with the requirements of 

Chapter 3: Program Administration, Section BB.4. 

3. Retrofit

Retrofit is the installation of an ARB-verified diesel emission control system on an 

existing engine. Examples include, but are not limited to, particulate filters and 

diesel oxidation catalysts. More information on retrofits may be found at 

http://www.arb.ca.gov/diesel/verdev/verdev.htm. 

(A) Retrofit projects that control PM must use the highest level technically 

feasible technology available for the equipment being retrofitted. ARB 

considers the retrofit device that achieves the highest level of PM 
As of 7/11/14 7 - 11 OFF-ROAD COMPRESSIONIGNITION EQUIPMENT

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

to be the highest level retrofit. 

(B) The cost of the retrofit, filters, and maintenance of the retrofit device 

needed during the project life is eligible for incentive funding, provided its 

inclusion in the project cost still is within the weighted cost-effectiveness 

limit. The datalogging cost of a retrofit-only project cannot be included in 

the eligible project cost. 

(C) Off-road compression ignition engines equipped with original engine 

manufacturer aftertreatment devices are ineligible for retrofit funding due 

to issues with engine warranty and anti-tampering provisions.

4. New Purchase: New purchase of equipment with engines meeting the Blue Sky 

Standards, certified on-road engines, and electric motors will be considered by 

the air district and ARB on a case-by-case basis. These projects are seldom 

technically feasible or practical and very few have been funded up to this time. 

E. Projects Subject to the Regulation for In-Use Off-Road Diesel-Fueled Fleets

1. Fleets must be in compliance with the Off-Road Regulation in order to be eligible 

for and receive funding.

(A) Applicants must submit information regarding fleet size and compliance 

status. All documentation submitted must be signed and dated by the 

applicant and include language certifying that the fleet list provided is 

accurate and complete. Air districts are not required to validate submitted 

information and will not be held liable if fleet owners falsify fleet 

information.

(1) The following information must be submitted at the time of application:

a. The Diesel Off-Road On-line Reporting System (DOORS) ID of the 

fleet.

b. The DOORS Equipment Identification Number (EIN) of the funded 

equipment.

c. Fleet size information (total horsepower) as reported to DOORS.

1. Prior to 1/1/2014, large fleets are not required to show compliance 

with the Off-Road Regulation.

2. Prior to 1/1/2017, medium fleets are not required to show 

compliance with the Off-Road Regulation.

3. Prior to 1/1/2019, small fleets are not required to show compliance 

with the Off-Road Regulation.

(2) Applicants are not required to submit information on exempted equipment. 

Information on exempted off-road equipment can be found in the Off-Road 

Regulation (California Code of Regulations, title 13, § 2449). 
As of 7/11/14 7 - 12 OFF-ROAD COMPRESSIONIGNITION EQUIPMENT

2. No emission reductions achieved from a funded project can count towards a 

fleet’s regulatory requirements for the duration of the project life.

3. Eligibility for a project is based on the best available control technology (BACT) 

requirements of the Regulation for In-Use Off-Road Diesel-Fueled Fleets. 

(A) Any equipment funded through the Moyer program and that is still under 

contract must be deducted from the amount of equipment eligible for 

funding. For instance, a fleet that is eligible for funding to reduce 

emissions for 50 percent of its horsepower, but that has already received 

funding in previous years to reduce emissions from 20 percent of its 

horsepower, is only eligible for funding to reduce emissions from 

30 percent of its horsepower.

(B) Equipment funded through the Moyer program must be included in the 

fleet’s total horsepower from which the BACT requirements of the 

regulation are calculated.

4. Large Fleets

(A) Eligible projects for large fleets, as defined in the Off-Road Regulation

must provide at least 3 years of surplus emission reductions to the 

regulation, with a corresponding minimum project life of at least 3 years. 

 

(B) Projects must be installed and in operation at least 3 years before the 

BACT requirements become effective for the funded equipment.

(C) The first compliance date for large fleets in the Off-Road Regulation is 

January 1, 2014. The final compliance date is January 1, 2023. Funding 

for large fleets is available through December 31, 2016. 

 

(D) Eligible projects for large fleets must include a particulate matter filter

beginning January 1, 2013, for engines 75 horsepower and greater and 

January 1, 2014, for engines less than 75 horsepower. The retrofit waiver 

option in section D.2.(G)(3) is no longer available to projects involving 

large fleets after the dates specified above.

(1) Eligibility shall be determined at the time the air district commits to the 

proposed project. For purposes of this section, an air district’s 

commitment to a project shall be consistent with that stated in its policies 

and procedures.

(2) If the air district and the applicant do not have an executed contract within 

six months of project commitment, then the project must include a 

particulate matter filter in order to be eligible. Alternatively, engines which 
As of 7/11/14 7 - 13 OFF-ROAD COMPRESSIONIGNITION EQUIPMENT

are certified to the Tier 4 final particulate matter standard or which are 

certified to an FEL at or below the Tier 4 final particulate matter standard 

numerical level remain eligible after the dates in E.4.(D) above. 

 

(E) Large fleets may have additional requirements per subsection E.7. below.

5. Medium Fleets

(A) Eligible projects for medium fleets, as defined in the Off-Road Regulation, 

must provide at least 3 years of surplus emission reductions to the 

regulation, with a corresponding minimum project life of at least 3 years. 

(B) Projects must be installed and in operation at least 3 years before the 

BACT requirements become effective for the funded equipment.

(C) The first compliance date for medium fleets, as defined in the Off-Road 

Regulation, is January 1, 2017. The final compliance date is 

January 1, 2023. Funding for these fleets is available through 

December 31, 2019. 

6. Small Fleets (includes Captive Attainment Area Fleets)

(A) Eligible projects for small fleets, as defined in the Off-Road Regulation, 

must provide at least 2 years of surplus emission reductions to the 

regulation, with a corresponding minimum project life of at least 2 years. 

(B) Projects must be installed and in operation at least 2 years before the 

BACT requirements become effective for the funded equipment.

(C) The first compliance date for small fleets, as defined in the Off-Road 

Regulation, is January 1, 2019. The final compliance date is 

January 1, 2028. Funding for these fleets is available through 

December 31, 2025. 

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

(A) Fleets located in air districts that have opted into the SOON program and 

that are subject to the SOON provisions, are eligible for funding in 

accordance with the Off-Road Regulation (California Code of Regulations, 

title 13, §2449.2) and must meet the applicable criteria in section A, B, C, 

and or D above. 

(B) Projects funded under SOON are not subject to Section E of this chapter, 

except for the requirements of this subsection E.7. 
As of 7/11/14 7 - 14 OFF-ROAD COMPRESSIONIGNITION EQUIPMENT

8. For more information on eligibility of off-road diesel equipment, please see the

Regulation for In-Use Off-Road Diesel-Fueled Fleets Carl Moyer Program 

Implementation Chart available at 

http://www.arb.ca.gov/msprog/moyer/guidelines/supplemental-docs.htm. 

F. Projects Subject to the Regulation for Cargo Handling Equipment at Ports and 

Intermodal Rail Yards

1. Eligible projects must provide at least 3 years of surplus emission reductions to 

the regulation, with a corresponding minimum project life of at least 3 years. 

Much of the applicable cargo handling equipment must already be in compliance 

with the regulation. Therefore, very limited funding opportunities exist. 

2. For more information on eligibility of cargo handling equipment, please see the 

Regulation for Cargo Handling Equipment at Ports and Intermodal Rail Yards 

Carl Moyer Program Implementation Chart available at 

http://www.arb.ca.gov/msprog/moyer/guidelines/supplemental-docs.htm. 

G. Projects Subject to the Portable Engine ATCM

1. Portable engines under this chapter are subject to the Portable Engine ATCM

and must be surplus to the Portable Engine ATCM in order to be eligible. 

Funding is available for achieving reductions required by the regulation at least 

three years prior to regulatory compliance deadlines and for reductions not 

required by the regulation. The first compliance deadline for engines subject to 

the Portable Engine ATCM was January 1, 2010; therefore only limited funding 

opportunities exist for projects in advance of the fleet average compliance 

deadlines specified in the regulation.

2. Diesel engines regulated under the Portable Engine ATCM must be registered 

(or permitted) in an air district to be eligible for repower project unless 

documentation from the air district is included in the project file stating that a 

registration (or permit) is not required to operate in their district.

3. Uncontrolled engines subject to the Portable Engine ATCM are not eligible for 

repowers.

4. An existing Tier 1 or Tier 2 engine subject to the Portable Engine ATCM and 

subject to SBx2_3 may use a 10 year project life and may be eligible for funding 

up to the compliance date of an applicable in-use rule.

5. Portable equipment with a Tier 2 engine repowered with a Tier 3 engine must 

also be equipped with a verified retrofit in order to be eligible for funding.

6. Retrofit projects for engines regulated under the Portable Engine ATCM that 

control particulate matter (PM) must use the highest level technically feasible 
As of 7/11/14 7 - 15 OFF-ROAD COMPRESSIONIGNITION EQUIPMENT

technology available for the equipment being retrofitted. ARB considers the 

retrofit device that achieves the highest level of PM reductions (level 3 – 85 

percent) and the highest level of NOx reductions to be the highest level retrofit.

7. For more information on eligibility of engines used in portable equipment, please 

see the Portable Engine Airborne Toxic Control Measure Implementation Chart 

available at: http://www.arb.ca.gov/msprog/moyer/guidelines/supplementaldocs.htm

H. Projects Subject to the Statewide Truck and Bus Regulation

This regulation impacts the eligibility of all on-road heavy-duty diesel-fueled and 

alternative diesel-fueled vehicles operated in California with a manufacturer’s gross 

vehicle weight rating greater than 14,000 pounds. Although this regulation primarily 

affects vehicles with on-road engines, some vehicles with off-road engines are also 

covered. Any application for Carl Moyer Program funding to replace a vehicle with an 

off-road engine that is subject to an on-road regulation must comply with the applicable 

surplus requirements described in Chapter 4. For example, a yard truck with an 

off-road engine that is subject to the Statewide Truck and Bus Regulation (including 

yard trucks used primarily in agricultural operations) must meet the applicable on-road 

surplus requirements described in Chapter 4, Section E, and must also comply with all 

off-road project criteria described in this chapter. 
As of 4/28/2011 8 - 1 OFF-ROAD LARGE-SPARK 

IGNITION EQUIPMENT 

Chapter 8: OFF-ROAD LARGE-SPARK IGNITION EQUIPMENT 

This chapter describes the minimum criteria and requirements for Carl Moyer Program 

off-road large spark-ignition engine (LSI) projects. Criteria and requirements for the 

off-road equipment replacement category can be found in Chapter 9. Air districts may 

set more stringent requirements based upon local priorities. 

 

A. Projects Eligible for Funding 

The Air Resources Board (ARB) has adopted in-use LSI Engine Fleet Requirements 

(LSI Fleet Rule). There are limited funding opportunities for equipment subject to this 

rule. 

Table 8-1 

Summary of Off-Road LSI Equipment Funding Opportunities 

Equipment Type Subject to ARB 

Fleet Rule

Moyer Funding Opportunities1

Forklifts, sweeper/ 

scrubbers, industrial 

tow tractors, airport 

ground support 

equipment (GSE)

LSI Engine Fleet 

Requirements2

Small fleets: Not limited by regulation.

Large/Medium fleets: Very limited opportunities.

Agricultural crop 

preparation services 

(forklifts only)

LSI Engine Fleet 

Requirements2

Pre-1990 model year forklifts: Not limited by 

regulation.

1990 and later model year forklifts: Very limited 

opportunities.

All other equipment 

(e.g., aerial lifts, 

construction, mining, 

other industrial )

No Not limited by regulation.

1

Limited opportunities mean a fleet’s compliance status with the ARB regulation must be determined. Contact air 

district Moyer Program staff or consult fleet rule Carl Moyer Implementation Charts at: 

http://www.arb.ca.gov/msprog/moyer/guidelines/supplemental-docs.htm in addition to these guidelines. 

2

Large Spark Ignition (LSI) Engine Fleet Requirements: http://www.arb.ca.gov/msprog/offroad/orspark/orspark.htm 

Project Types: 

1. Equipment Replacement: Purchases of new or used LSI equipment replacing a 

fully functional LSI piece of equipment may be eligible. For these projects, refer 

to Chapter 9. 

2. Retrofit Purchase. 

3. New Electric Purchase. 

4. Other Project Types: New purchases of LSI equipment certified to optional lowemission standards and repowers with cleaner engines have not been typical LSI 

projects, but may be funded on a case-by-case basis only with prior ARB 

approval. 
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IGNITION EQUIPMENT 

Please see Section D (Project Criteria) for detailed minimum eligibility requirements for 

all off-road LSI project categories. 

B. Maximum Eligible Funding Amounts 

Table 8-2 summarizes the maximum eligible funding for each project type. All projects 

are also subject to the cost-effectiveness threshold defined in Appendix G. 

Table 8-2 

Maximum Percentage Eligible for 

Carl Moyer Off-Road Large Spark-Ignition Engine Projects 

Project Maximum

New Electric Equipment Purchase 30 percent

Retrofit 100 percent

C. Engine Emission Standards 

New and in-use standards have substantially reduced emissions for large spark-ignition 

equipment over time. ARB and United States Environmental Protection Agency 

(U.S. EPA) have adopted regulations for exhaust emission standards for new off-road 

LSI engines and equipment. These engine exhaust emission standards are 

summarized in Table 8-3. The project criteria in Section D detail the availability of 

funding for engines manufactured under these provisions. 

Table 8-3 

Exhaust Emission Standards for 

New Off-Road LSI Engines >1.0 liter 

grams per brake horsepower-hour (g/bhp-hr) 

Model Year NOx+ Non-Methane 

Hydrocarbons 

(NMHC)

2001-2006(1) 3.0

2007-2009 2.0

2010 and later 0.6

 (1) Standards phased in from 2001 – 2004 

 

LSI Fleet Rule: This regulation established fleet-average hydrocarbons plus oxides of 

nitrogen (HC + NOx) emission requirements, which become more stringent over time. 

The compliance dates shown in Table 8-4 below, with the fleet average requirements, 

are for the impacted fleets of forklift equipment, sweepers/scrubbers, industrial tow 

tractors, and/or pieces of airport ground support equipment. 
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IGNITION EQUIPMENT 

Table 8-4 

Fleet Average Emission Level Requirement 

(g/bhp-hr HC + NOx) 

Fleet Type Compliance Dates

1/1/2009 1/1/2011 1/1/2013

Large Forklift Fleet (26+) 2.4 1.7 1.1

Medium Forklift Fleet (4-25) 2.6 2.0 1.4

Non-forklift Fleet 3.0 2.7 2.5

D. Project Criteria 

The minimum qualifications for off-road large spark-ignition projects are listed below. All 

projects must also conform to the requirements in Chapter 2: General Criteria and in 

Chapter 3: Program Administration. Participating air districts retain the authority to 

impose additional requirements in order to address local concerns. 

1. General Off-Road LSI Equipment Project Criteria 

(A) Maximum project life:

(1) New electric purchase 10 years

(2) Retrofit 5 years

(3) Farm equipment* (all projects) 10 years* 

*Air districts are required to offer a 10 year project life for farm equipment; 

however, applicants may request a project life less than 10 years.

A longer project life may be granted case-by-case approval by ARB if an 

applicant provides justifying documentation. The maximum project life does not 

consider regulatory requirements and may be shorter. Regulatory requirements 

may reduce actual project lives below these maximum values.

(B) LSI equipment with propulsion engines greater than 25 horsepower (hp) 

and electric equipment that is greater than 19 kilowatts (kW) are eligible 

for funding.

(C) LSI equipment with an engine displacement of less than or equal to one 

liter may be eligible for funding on a case-by-case basis only with prior 

ARB approval. 

(D) Auxiliary engines on mobile equipment and portable engines may be 

eligible on a case-by-case basis with prior ARB approval. 

(E) The following industries are not eligible for funding under this chapter: 

food retail stores, cold storage, and confined space operations (such as 

freezers). 
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IGNITION EQUIPMENT 

(F) Project emission reductions must be based upon readings from an 

installed and fully operational hour meter. If equipment does not have a 

functioning hour meter at the time of the project, the hour meter must be 

installed, repaired and/or replaced. If during the project life the hour meter 

fails for any reason, the hour meter must be repaired or replaced as soon 

as possible at the owner’s cost. 

(G) Projects that include leased-to-own equipment are eligible provided the 

signed contract with the air district specifies that the applicant will keep 

and use the equipment for the entire project life. 

(H) The certification emission standard for the engine must be determined 

from the Executive Order or U.S. EPA Certificate of Conformity (for 

federally preempted engines) issued for that engine. ARB Executive 

Orders for off-road engines may be found at: 

http://www.arb.ca.gov/msprog/offroad/cert/cert.php?eng_id=LSIE

(I) Case-by-case projects must receive approval from ARB prior to funding. 

These projects must follow the requirements as described in Chapter 3, 

Program Administration. 

2. Retrofits 

Retrofit is the installation of a verified emission control system on an existing engine. 

For LSI equipment, this generally involves the addition of a stoichiometric air/fuel 

controller and a three-way catalyst. Information on LSI verified retrofit systems may 

be found at: http://www.arb.ca.gov/msprog/offroad/orspark/verdev.htm

(A) For forklifts only, Classes 4, 5, and 6, are eligible for retrofit project 

funding. 

 

(B) The retrofit kit must be verified by ARB to the highest level available for 

the engine being retrofitted. 

(C) Eligible costs include purchase and installation of a verified retrofit kit and 

an hour meter if none exists on the equipment. 

3. New Purchase 

(A) Electric Equipment 

(1) Electric forklift equipment that is less than 19 kW may be eligible for 

funding if manufacturer documentation (e.g., manufacturer specification 

sheet) is submitted verifying that electric forklift capacity is equal to or 
As of 4/28/2011 8 - 5 OFF-ROAD LARGE-SPARK 

IGNITION EQUIPMENT 

greater than 3,000 pounds. This verification documentation must be 

included in the project file. 

(2) Electric equipment other than forklifts that are rated less than 19 kW may 

be eligible on a case-by-case basis with prior ARB approval. 

Documentation must be provided indicating that work performed is 

equivalent to a 25 hp LSI engine. 

(3) For forklifts only, new electric forklift purchases of Class 1, lift codes 4, 5, 

or 6 are eligible. 

(4) For eligible projects, applicants must sign a declaration that old electric 

equipment is not being replaced with new electric equipment, and the 

applicant would not normally purchase electric equipment. 

(5) Eligible projects must include evidence of a plan to install either the 

number of battery chargers corresponding to the number of pieces of 

equipment purchased or fast charging units for use with multiple pieces of 

equipment. 

(6) Costs for battery chargers and necessary peripheral equipment 

associated with electric equipment projects may be included in the 

determination of the grant award amount. These costs are considered 

infrastructure and can only be funded with air district match funds. 

(7) Purchase of new zero-emission equipment other than electric is eligible on 

a case-by-case basis only with prior ARB approval (e.g., fuel cell 

equipment). 

(B) LSI Equipment 

Current LSI regulations allow manufacturers to certify engines to optional 

standards that are below the required emission standards. New LSI engines 

may certify to optional emission standards as low as 0.10 g/bhp-hr HC+NOx. It is 

likely, due to market demand driven by current regulations, that the price 

differential between equipment certified to the standard and equipment certified 

to the optional standard may be rather small. As such, new LSI equipment 

certified to the optional standard and at least 30 percent below the current 

applicable emission standard may be eligible on a case-by-case basis only with 

prior ARB approval. 

4. Repower: A repower is the replacement of the in-use engine with an emissioncertified engine instead of rebuilding the existing engine to its original 

specifications. Repowers in LSI equipment are not typical due to the relatively

low value of the equipment by the time an engine repower is needed. Repowers 
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IGNITION EQUIPMENT 

of forklifts and other LSI equipment can be considered on a case-by-case basis 

only with prior ARB approval. 

5. Projects Subject to the Off-Road Large Spark-Ignition Engine Fleet Requirement 

The LSI Fleet Rule requires reductions in fleet average HC+NOx emissions. The 

fleet size is determined by aggregating an operator’s equipment in the State of 

California. The regulation impacts owners of fleets of four or more LSI forklifts 

and/or four or more LSI sweepers/scrubbers, industrial tow tractors, and/or pieces of 

airport ground support equipment. 

(A) Eligible funding must provide at least three years of surplus emission 

reductions to the LSI fleet regulation, with a corresponding minimum 

project life of at least three years. 

(B) Carl Moyer Program funded projects may not be used to delay compliance 

and will receive no credit towards an in-use regulation. 

(C) Large and Medium Forklift Fleets and Fleets of Four or More 

Sweeper/Scrubbers, Ground Support Equipment, and/or Industrial Tow 

Tractors: In order to be eligible for funding, large and medium forklift 

fleets and fleets of four or more non-forklift LSI equipment must meet the 

final fleet average emission level applicable on January 1, 2013. 

(D) Agricultural Crop Preparation Forklift Fleets Model Year 1990 and Newer: 

These fleets are required to either retrofit, repower, or replace 100 percent 

of their fleet by January 1, 2012, or currently meet a 3.0 g/bhp-hr fleet 

average HC + NOx level. Fleets that have met the 3.0 g/bhp-hr fleet 

average can apply for funding. Additionally, in accordance with SBx2 3, 

fleets that have retrofitted/repowered 20 percent of their fleet in 

compliance with the regulation are eligible for funding up to the final 

compliance date. In order to be eligible, these projects must be under 

executed contract and must be installed and in operation prior to the 

applicable compliance date. 

(E) LSI fleets that have achieved compliance with the final regulatory deadline 

are eligible for funding. 

(F) Due to the regulatory requirements for rental and lease equipment subject 

to the LSI Fleet Rule, projects that include rented or leased equipment are 

not eligible. 

 

(G) Fleets with equipment not subject to the LSI Fleet Rule are eligible for 

funding, including: 

(1) Agricultural crop preparation non-forklift equipment and pre-1990 forklifts. 
As of 4/28/2011 8 - 7 OFF-ROAD LARGE-SPARK 

IGNITION EQUIPMENT 

(2) Forklifts used exclusively in fields to harvest and maintain crops. 

(3) Non-forklift LSI equipment such as aerial lifts, lawn and garden tractors, 

commercial turf equipment, mining and construction equipment, and 

industrial equipment. 

(4) Small fleets (one to three forklifts and/or one to three sweepers/scrubbers, 

industrial tow tractors, or pieces of airport GSE). 

6. Required Off-Road LSI Fleet Information: For forklifts, sweeper/scrubbers, GSE, 

and/or Industrial Tow Tractors, an applicant’s fleet size impacts project eligibility. 

The following basic information is needed from the applicant for all equipment 

subject to the regulation in order to demonstrate fleet size. All documentation 

submitted must be signed and dated by the applicant and include language 

certifying that the fleet list provided is accurate and complete. 

(A) Large/Medium/Non-Forklift Fleets: For large, medium, and non-forklift 

fleets subject to the LSI Fleet Rule, applicants will need to provide the 

compliance records for the entire statewide fleet as described in the 

regulatory language (California Code of Regulations, title 13, § 2775.2). 

The required fleet information includes: 

(1) Equipment type (e.g., forklift, GSE, etc.) 

(2) Make of engine and equipment 

(3) Model of engine and equipment 

(4) Serial number of engine and equipment 

(5) Engine emission certification standard or retrofit verification level (include 

Emission Control Group name) 

(B) Small Fleets: Small fleets are not required to maintain compliance 

records, but for the purposes of determining project eligibility, air districts 

must obtain the following information for the entire statewide fleet: 

(1) Equipment identification number (vehicle identification number, fleet 

assigned identification, etc.) 

(2) Equipment type (e.g., forklift, GSE, etc.) 

7. Applicants are not required to submit information on exempted equipment 

(except as noted above for small fleets). Information on exempted LSI 

equipment can be found in California Code of Regulations, title 13, 

sections 2775(b), 2775.1(c) (4), and 2775.1(d-f) of the Final Regulation Order 

(http://www.arb.ca.gov/regact/lore2006/oalapprovedfro.pdf).
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EQUIPMENT REPLACEMENT

Chapter 9: OFF-ROAD EQUIPMENT REPLACEMENT

This chapter describes the minimum criteria and requirements for Carl Moyer Program 

mobile, self-propelled off-road compression-ignition (CI) and large spark-ignition (LSI) 

equipment replacement projects. Air districts may set more stringent requirements 

based upon local priorities.

A. Projects Eligible for Funding

All provisions regarding the in-use regulations described in Chapters 7 and 8:

Off-Road Compression-Ignition Equipment and Off-Road Large Spark-Ignition 

Equipment also apply in this chapter. 

Equipment replacement provides incentives to replace old high-polluting off-road 

equipment with newer, lower-emission replacement equipment, providing real emission 

benefits earlier than would have been expected through normal attrition. 

Please see Section C (Project Criteria) for detailed minimum eligibility requirements.

The following off-road equipment replacement projects may be eligible for funding. 

Note: The existing old equipment engine must be an uncontrolled, Tier 1, or Tier 2 

engine. 

1. New Replacement Equipment Purchase: The purchase of new equipment with 

an engine certified to the current emission standard or Tier to replace existing 

equipment that is to be scrapped.

2. Used Replacement Equipment Purchase: The purchase of used equipment with 

an engine certified to the current emission standard or Tier to replace existing 

equipment that is to be scrapped.

B. Maximum Eligible Funding Amounts

Table 9-1 summarizes the maximum eligible funding for each project type. All projects 

are also subject to the cost-effectiveness threshold defined in Appendix G. 

Table 9-1 

Maximum Percentage Eligible for 

Carl Moyer Off-Road Equipment Replacement Projects

Project Maximum

New or Used Equipment Purchase 80 percent of total equipment purchase costs

Retrofit 100 percent 

C. Project Criteria

The minimum qualifications for off-road equipment replacement projects are listed 

below. All projects must also conform to the requirements in Chapter 2: General 
As of 7/11/14 9 - 2 OFF-ROAD 

EQUIPMENT REPLACEMENT

Criteria and in Chapter 3: Program Administration. Participating air districts retain the 

authority to impose additional requirements in order to address local concerns.

1. General Criteria

(A) Funding is available for replacement of existing equipment utilizing the 

following engines:

(1) Large spark ignited engines larger than or equal to 19 kilowatts (kW)

(25 horsepower (hp)). Engines above 25 hp but with a displacement of 

less than or equal to one liter may be eligible for funding on a 

case-by-case basis.

(2) Diesel engines larger than or equal to 25 hp.

(B) Projects involving replacement with an electric forklift are eligible for a 

maximum of 80 percent of total equipment purchase costs. In addition, 

the cost of the recharging station and corresponding installation for the 

funded electric forklift is an eligible cost but must be included in the 

cost-effectiveness calculation. The combined cost-effectiveness of the 

electric forklift, recharging station, and corresponding installation must be 

below the cost-effectiveness limit as defined in Appendix G. 

(C) Project Life

(1) The maximum project life for all off-road non-farm CI equipment 

replacement projects is five years with the following exceptions:

a. Three years: excavators, skid steer loaders, and rough terrain forklifts 

as defined in Appendix B: Definitions. 

b. Seven years: crawler tractors, off-highway tractors, rubber tired dozers, 

and workover rigs as defined in Appendix B: Definitions. 

(2) The maximum project life for all off-road non-farm LSI equipment 

replacement projects is three years.

(3) The maximum project life for all off-road farm equipment replacement 

projects is 10 years. Air districts must offer a 10 year project life for farm 

equipment; however, applicants may request a project life less than 

10 years.

(4) The maximum project life for the replacement of an LSI forklift with a zero 

emission forklift is 10 years. Senate Bill 467 allows these projects to 

incorporate the remaining life of the equipment being scrapped (three

years) and the median useful life of the equipment the applicant would 
As of 7/11/14 9 - 3 OFF-ROAD 

EQUIPMENT REPLACEMENT

have bought at the time of normal attrition (seven years). Emission 

benefits from two separate transactions may be included in the 

cost-effectiveness calculations:

a. Emission reductions from existing uncontrolled, Tier 1, or Tier 2 

equipment, as applicable, to zero emission equipment.

b. Emission reductions from a new piece of equipment meeting the 

emission standards at the time of purchase to zero emission.

(5) A longer project life may be granted case-by-case approval if an applicant 

provides justifying documentation. The maximum project life does not 

consider regulatory requirements which may reduce actual project life 

below these maximum values.

 

(D) Equipment must be maintained in accordance with manufacturer 

specifications. 

(E) Equipment may be purchased through an equipment dealer or a private 

party provided all required documentation is submitted, and the equipment 

meets all the requirements of the program. 

(F) The replacement of two (or more) pieces of old, like equipment with one 

piece of replacement equipment is eligible for funding. Each piece of old

existing and replacement equipment must comply with all of the 

appropriate criteria below. The replacement equipment must execute the 

same job as the old pieces of equipment. For baseline emissions 

calculation, the annual emissions of the two pieces of old equipment are 

summed. For the replacement equipment emissions calculation, the 

annual usage of the two pieces of old equipment is summed for the

replacement equipment usage.

(1) The horsepower rating for the replacement equipment must not be greater 

than 125 percent of the original manufacturer rated horsepower (baseline 

horsepower) for the lowest horsepower of the existing equipment engine. 

For air districts that allow equipment with horsepower greater than 125 

percent to be funded, the applicant must pay the additional costs 

associated with the higher horsepower equipment, the emission reduction 

calculation must be based upon the funded (higher horsepower) 

equipment and documentation must be included in the project file as 

described in section C.3.(D)(1) of this chapter.

2. Existing (Old) Equipment Requirements

All existing equipment must meet the following conditions:
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EQUIPMENT REPLACEMENT

(A) The old equipment must have an uncontrolled, Tier 1, or Tier 2 engine. 

(For LSI, this equates to a model year 2009 or earlier engine).

(B) For old equipment with engines manufactured under the flexibility 

provision detailed in California Code of Regulations, title 13,

section 2423(d), baseline emission rates shall be determined by using the 

previous applicable Tier emission standard for that engine model year and 

horsepower rating. Alternatively, the baseline emission rates may be 

determined based upon the standard or Tier associated with the actual 

reference engine family listed on the emission control information label of 

the baseline equipment. The Air Resources Board (ARB) Executive Order 

for these engines indicates that the engines are certified under the 

flexibility provision. Air districts must retain this documentation in the 

project file.

(C) For old equipment in which the actual engine horsepower cannot be 

determined based upon the engine label, manual, and engine records, the 

engine horsepower can be estimated by the following formula: 

Engine horsepower = Power Take Off (PTO) x 120 percent. 

(D) The old equipment must be registered in the Diesel Off-road On-line 

Reporting System (DOORS) if it is subject to the Regulation for In-Use 

Off-Road Diesel-Fueled Fleets (Off-Road Regulation). 

(E) Equipment Ownership - The participant must have owned and operated 

the old equipment in California for the previous two years. The participant 

must be able to provide documentation of the following specific to the 

existing (old) equipment: 

(1) Bill of sale for the old equipment, and 

(2) Two years of documentation for at least one item from the list below. If a 

bill of sale cannot be provided, two items from the following list may be 

submitted in substitution:

a. Tax depreciation logs

b. Property tax records

c. Equipment insurance records

d. Bank appraisals for equipment

e. Maintenance/service records

f. General ledgers

g. Fuel records specific to the old equipment (To be used as evidence of 

California residency the fuel records must also identify the equipment 

owner)

h. Other documentation approved by ARB
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EQUIPMENT REPLACEMENT

(F) Annual Usage Requirement and Operational Requirement: The old 

equipment must be in operational condition to qualify for funding. To 

verify the operational status of the equipment the air district must conduct 

a pre-inspection of the old equipment prior to funding.

(1) If the participant provides at least two years previous usage 

documentation, as described below, to the air district as part of the 

application process, air districts may exclude the usage requirement in the 

project contract with the participant (per Chapter 3, Program 

Administration, section Z. 6.). The following types of documents are 

acceptable to demonstrate usage:

a. Hour meter reading log collected at minimum of once per year from an 

installed and fully functioning hour meter or historical fuel usage 

documentation specific for the old equipment. Documentation must 

include fuel logs, purchase receipts, or ledger entries. 

-orb. At least two items from the following list proving old equipment is being 

used by the fleet:

1. Revenue and usage records that identify operational, standby, and 

down hours for the equipment

2. Employee timesheets linked to specific equipment use 

3. Preventative maintenance records tied to specific hours of 

equipment use

4. Repair work orders specific to the equipment 

5. Six months of tracking normal equipment usage with a functional, 

tamper proof hour meter with prior air district approval

6. Other documentation approved by ARB

(2) If two years of usage documentation as required in (1) above is not 

available, the annual usage used to determine project cost effectiveness 

must be included in the project contract (per Chapter 3 Program 

Administration, section Z. 6.). In addition, the participant must provide 

documentation to demonstrate that the equipment was operational for the 

previous year. The following types of documents are acceptable to 

demonstrate that equipment is operational: 

a. Maintenance/service records

b. Revenue and usage records that identify operational, standby, and 

down hours for the equipment

c. Routine inspections which document the operating condition of the old 

equipment (Occupational Safety and Health Administration or 

workplace required)

d. Other documents approved by ARB
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EQUIPMENT REPLACEMENT

3. Replacement Equipment Requirements

All replacement equipment must meet the following conditions:

(A) The new or used replacement equipment must have an engine meeting 

the most recent California emission standard (e.g., the current Tier). If a 

specific piece of equipment cannot be purchased and delivered with an 

engine meeting the most recent emission standard or Tier within six 

months from the time the air district commits to the proposed project, then 

equipment with an engine meeting the previous emission standard or Tier 

may be purchased. For purposes of this section, an air district’s 

commitment to a proposed project shall be consistent with that stated in 

their equipment replacement plan and/or their policies and procedures. 

(1) At an air district’s discretion, an air district may check availability of 

equipment with a current Tier engine at the dealers located within the 

geographical boundaries of the air district. If equipment with a current Tier 

engine is not available at those dealers, equipment with the previous 

applicable Tier engine may be purchased. An air district without 

equipment dealerships located within its boundaries may check availability 

of equipment with current Tier engines at the dealership or equipment 

manufacturer nearest to the applicant. 

(2) At the applicant’s request, confirmation of availability of equipment 

meeting the most recent emission standards or Tier may be limited to the 

same equipment manufacturer as the existing (old) equipment or engine.

(3) If the air district and the applicant do not have an executed contract within 

six months of project commitment, then the air district must recheck for the 

availability of equipment with the most recent emission standard or Tier.

(4) Documentation that equipment with an engine meeting the most recent 

emission standard or Tier is unavailable must be provided to the air 

district. Acceptable documentation that equipment with an engine meeting 

the most recent emission standard in unavailable include:

a. Verifiable information from the equipment manufacturer, engine 

manufacturer, distributor and/or dealer regarding the unavailability of 

equipment with an engine meeting the current emission standard or 

Tier.

b. Confirmation (a written declaration by the air district is acceptable) that 

engines from a specific manufacturer meeting the current emission 

standard or Tier are not certified (Executive Order is not available on 
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EQUIPMENT REPLACEMENT

ARB website). Executive Orders for off-road engines may be found at

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

 

(5) Interim Tier 4 (interim Tier 4, Tier 4 Phase-Out, Tier 4 Phase-In/Alternate 

NOx) and Tier 4 Final engines participating in the averaging, banking, and 

trading program that are certified to family emission limits (FELs) higher 

than the applicable emission standards, as designated on ARB’s

Executive Order, are eligible to participate in the Carl Moyer Program. 

The appropriate emission factor for calculating emission reductions and 

cost effectiveness shall be equivalent to the emission factors associated 

with the Tier 3 for engines 50 to 750 horsepower and Tier 2 for engines 

less than 50 horsepower or greater than 750 horsepower. 

(6) Interim Tier 4 and Tier 4 engines participating in the averaging, banking, 

and trading program that are certified to FEL below the applicable 

emission standards, as designated on ARB’s Executive Order, are eligible 

to participate in the Carl Moyer Program. The appropriate emission factor 

for calculating emission reductions and cost effectiveness shall be the 

emission factors associated with the applicable interim Tier 4 (interim Tier

4, Tier 4 Phase-Out, Tier 4 Phase-in/Alternate NOx) or Tier 4 Final 

emission standard.

(7) For CI equipment, engines that are participating in the “Tier 4 Early 

Introduction Incentive for Engine Manufacturers” program, as detailed in 

California Code of Regulations, title 13, section 2423(b)(6), are eligible for 

Carl Moyer Program funding provided that they are certified to the final 

Tier 4 emission standards. The ARB Executive Order for these engines 

indicates that the engines are certified under this provision. The emission 

rates for these engines used to determine cost-effectiveness shall be

equivalent to the emission factors associated with Tier 3 engines. Air 

districts must retain this documentation in the project file.

(8) Interim Tier 4 CI engines between 75 and 750 hp, certified to the 

Phase-In, Phase-Out, and Alternate NOx standards as detailed in 

California Code of Regulations, title 13, section 2423(b)(1)(B), are eligible 

for funding. The appropriate emission factor when calculating emission 

reductions and cost effectiveness are listed in Appendix D, Table D-12. 

(9) Equipment manufactured under the “Flexibility Provisions for Equipment 

Manufacturers”, as detailed in California Code of Regulations, title 13, 

section 2423(d) are eligible for Carl Moyer Program funding as 

replacement equipment, provided the equipment meets the Tier 3 or 

cleaner level. Eligible equipment produced under the flexibility provisions 

whose reference engine family is certified to an FEL are also subject to 

the provisions of section (4) or (5) above. Equipment manufactured under 

the “Flexibility Provisions for Equipment Manufacturers,” with an engine 
As of 7/11/14 9 - 8 OFF-ROAD 

EQUIPMENT REPLACEMENT

whose reference engine family meets a standard, Tier or FEL less 

stringent than Tier 3 standard (or Tier 2 standard for engines less than 50 

horsepower or greater than 750 horsepower), are ineligible for funding.

 

(10)The certification emission standard and/or Tier designation for the engine 

must be determined from the Executive Order or United States

Environmental Protection Agency Certificate of Conformity (for federally 

preempted engines) issued for that engine. ARB Executive Orders for offroad engines may be found at

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

(B) The replacement equipment must serve the same function and perform 

the same work equivalent as the old equipment (e.g., replacement of an 

agricultural tractor with another agricultural tractor).

(C) Only the minimum attachments normally sold with the original equipment, 

as determined by the air district, are eligible for reimbursement on the 

replacement equipment. 

(D) Air districts have discretion to use good engineering judgment to 

determine project horsepower for an engine or equipment based on the 

engine label, manual, engine records, or other verifiable records.

(E) The hp rating for the replacement equipment engine must not be greater 

than 125 percent of the original manufacturer rated hp (baseline hp) for 

the old (existing) equipment engine. In limited situations, such as where 

equipment in the original hp range is not available or the higher hp 

equipment will result in equal or less annual emissions, the air district may 

approve a greater than 25 percent increase in hp. Documentation must 

be provided that the replacement equipment will serve the same function 

as the old equipment.

(1) Alternatively, at an air district’s discretion, equipment may be funded with 

horsepower greater than 125% of existing equipment. However, the 

eligible funding amount must be based upon equipment whose 

horsepower is no higher than 125% of the old equipment horsepower. 

The applicant is required to pay the additional equipment costs associated 

with the higher horsepower equipment. The emission reduction 

calculations shall be based upon the funded (higher horsepower) 

equipment. Air districts that choose to fund higher horsepower equipment 

must document in the project file the equipment cost of the funded (higher 

horsepower) equipment as well as the method used to determine the 

basis for the project grant amount (e.g. dealership cost estimate of lower 

horsepower equipment). 
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EQUIPMENT REPLACEMENT

(F) Warranty Requirements 

(1) All purchasers of equipment must purchase a one-year or 1600 hour 

power and drive train warranty for the new or used replacement 

equipment. The warranty must cover parts and labor. If the purchase of 

new or used replacement equipment already includes a minimum 

one-year or 1,600 hour warranty as specified above, a separate 

supplemental warranty is not required. However, it is recommended that 

the highest grade warranty be purchased in order to avoid expensive 

repairs in the future. Warranty documentation must be provided to the air 

district. Warranty costs are not eligible for funding.

(G) No funds will be issued for maintenance or repairs related to the operation 

of the equipment. The participant takes sole responsibility for ensuring 

that the equipment is in operational condition throughout the agreement 

period. 

(H) For CI equipment, an ARB verified diesel emission control system (or 

retrofit) is required on all replacement equipment if available. Retrofit 

projects that control particulate matter (PM) must use the highest level 

technically feasible technology available for the equipment being 

retrofitted.

(1) The cost of the retrofit, filters, and maintenance of the retrofit device 

needed during the project life is eligible for incentive funding, provided its 

inclusion in the project cost still meets the weighted cost-effectiveness 

limit. 

(2) The retrofit must be installed prior to equipment delivery to the participant 

and must stay in operation on the replacement equipment for the project 

life.

(3) If the additional cost of the retrofit causes the cost-effectiveness to be 

above the cost-effectiveness limit as defined in Appendix G, then the 

retrofit is not required.

(4) If documentation can be provided to the air district and ARB that a retrofit 

is not technically feasible, available, or safe, then the retrofit is not 

required. Documentation of retrofit unavailability for mobile cargo handling 

equipment must follow the process set out in the Regulation for Mobile 

Cargo Handling Equipment at Ports and Intermodal Rail Yards, California 

Code of Regulations, title 13, section 2479 (f) (2). Documentation for a 

retrofit that impairs the safe operation of a vehicle must follow the process 

set out in the Regulation for In-Use Off-Road Diesel-Fueled Fleets, 

California Code of Regulations, title 13, section 2449(e)(8). A 
As of 7/11/14 9 - 10 OFF-ROAD 

EQUIPMENT REPLACEMENT

determination that a retrofit is not required due to safety concerns must be 

made prior to retrofit installation phase of a project. 

(5) Availability of an ARB-verified retrofit for the replacement equipment must 

be determined at the time the air district commits to a proposed project. 

For purposes of this section, air district’s commitment to a proposed 

project shall be consistent with that stated in their equipment replacement 

plan and/or their policies and procedures.

a. If the air district and the applicant do not have an executed a contract 

within six months of project commitment, then the air district must 

recheck for the availability of an ARB-verified retrofit.

b. Documentation that an ARB-verified retrofit is unavailable must be 

provided to the air district. Acceptable documentation of retrofit 

unavailability include:

1. Verifiable information from the retrofit manufacturer, retrofit 

distributor and/or dealer regarding the unavailability of verified 

retrofits.

2. Confirmation (a written declaration by the air district is acceptable) 

that no retrofit has been ARB-verified for the engine (the Executive 

Order is not available on ARB website). 

(6) If offered by an air district, an applicant may opt out of the default retrofit 

requirement. Applicants must sign a waiver acknowledging that due to 

current or future regulations they may be required to install a retrofit on the 

funded equipment at their own cost. Air districts have the option to not 

offer this additional flexibility and are encouraged to evaluate individual 

projects based on the near source health impacts. Large fleets subject to 

the Off-Road Regulation have additional requirements per section 7.(E)(4) 

below.

(7) Equipment that has been issued an exemption from retrofit installation 

from a specific manufacturer may be found at: 

http://www.arb.ca.gov/msprog/moyer/retrofit/exemptions.htm

(8) Additional information on retrofit systems is included in Appendix E: 

Description of Certification and Verification and on ARB’s website at 

http://www.arb.ca.gov/diesel/verdev/vt/vt.htm.

 

(I) Cost-effectiveness calculations must use the hour-based formula as 

discussed in Appendix C. Fuel usage may only be used with 

case-by-case approval from ARB. If using the fuel-based formula, usage 

must be based on two years of historical fuel usage documentation 
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EQUIPMENT REPLACEMENT

specific for the equipment being funded. Documentation may include fuel 

logs, purchase receipts, or ledger entries.

(J) Future annual hours of equipment operation for determining emission 

reductions must be based upon readings from an installed and fully 

operational hour meter. If equipment does not have a functioning hour 

meter at the time of the project, the hour meter must be installed, repaired 

and/or replaced. If during the project life the hour meter fails for any 

reason, the hour meter must be repaired or replaced as soon as possible 

at the owner’s cost. If case-by-case approval was provided by ARB to use 

fuel usage for determining emission reductions, then future annual fuel 

usage must be based on fuel logs, purchase receipts or ledger entries 

specific to the funded equipment. LSI equipment may only use the hour

based calculation for determining emission reductions.

(K) Project load factors for calculating emission reductions and 

cost-effectiveness are listed in Appendix D, Table D-10 and Table D-13. 

Load factors shall be selected by first choosing the equipment category 

(i.e. Airport GSE, Mobile Agriculture, Construction, etc.), then by selecting 

the equipment type within the category. This is consistent with how the 

equipment category and load factor inputs are selected in CARL. 

(L) New Electric Equipment

(1) For replacement with electric equipment, costs for battery chargers and 

necessary peripheral equipment may be included in determination of the 

grant award. These costs are considered infrastructure and can only be 

paid for with air district match funds.

(2) For replacement with an electric forklift, electric equipment that is less 

than 19 kW may be eligible for funding if manufacturer documentation 

(e.g., manufacturer specification sheet) is submitted verifying the electric 

forklift capacity is equal to or greater than 3,000 pounds. The verification 

documentation must be included in the project file. 

(3) For replacement with electric equipment other than a forklift that is rated 

less than 19 kW, equipment may be eligible on a case-by-case basis with 

prior ARB approval. Documentation must be provided indicating that work 

performed is equivalent to that performed by a 25 or greater hp LSI 

engine.

(M) Replacement with zero-emission equipment other than electric must 

receive case-by-case approval by ARB (e.g., fuel cell equipment). 
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EQUIPMENT REPLACEMENT

4. Existing Equipment Destruction Requirements

Equipment replacement requires that the existing high-emitting equipment be 

scrapped to permanently remove it from service. This ensures that emission 

reductions are real and prevents the existing equipment from being moved into 

another locale to continue emitting high levels of pollutants. Destruction of the 

equipment may occur either at an air district approved salvage yard or another 

facility in conjunction with an air district salvage inspection. Equipment salvage 

yards must enter into an agreement with the air district to qualify for participation.

(A) Funding is not available for the salvage of any existing equipment.

(B) The existing equipment salvage value will be negotiated between the 

participant, the dealership, and the salvage yard.

(C) The old equipment must be destroyed within 60 days of being replaced. 

The old equipment needs to be destroyed or rendered useless by 

destroying the engine block as described in Chapter 3: Program 

Administration, Section BB and by compromising the structural integrity of 

the equipment. This may be achieved by cutting the structural 

components of the equipment or some other manner approved by the air 

district. Documentation of the equipment’s destruction must be provided 

to the air district within 10 days of destruction. Air districts which perform 

their own salvage inspections must be notified within 10 days of 

destruction that the salvage inspection can occur.

(D) Air districts must conduct a salvage inspection of the old equipment. Air 

districts may use an air district approved salvage yard in lieu of this 

requirement. 

(E) If air districts use an air district approved salvage yard, these additional 

conditions must be met:

(1) Destroy the old equipment and engine within 60 days of receipt of the 

replacement equipment in accordance with the program guidelines.

(2) Provide the air district with all photographs required under the air district’s 

salvage inspections requirements per section 5.(G)(3) below within 

10 business days of salvaging the existing equipment. 

(3) The contract must include the make, model, year, serial number, engine 

make, engine serial number, and the date the equipment is expected to be 

delivered. 

 
As of 7/11/14 9 - 13 OFF-ROAD 

EQUIPMENT REPLACEMENT

(4) It is the air district’s responsibility to ensure that the salvage actually 

occurs and to obtain a completed certificate of equipment destruction or 

other similar documentation as defined in the air district’s plan.

5. Air District Administrative Requirements

(A) Air districts must establish an off-road equipment replacement plan before 

they can fund off-road equipment replacement projects. Air district

administrative requirements include pre- and post-inspections, monitoring 

and enforcement considerations, reimbursement procedures, and the 

development of contracts, which are described below.

 

(B) Air districts may fund equipment replacement projects through a regional 

program administered by a designated air district. The designated air 

district could be either an air district located within the regional program or 

a large air district located outside of the regional program. A regional 

equipment replacement implementation plan must be established, 

containing all the required components as required in an individual air 

district’s equipment replacement implementation plan. A regional 

equipment replacement plan must also contain detailed description of the 

funding mechanism among the participating air districts. All air districts 

participating in the regional program must sign the regional 

implementation plan and must adhere to all the requirements specified in 

such regional implementation plan. 

(C) The off-road equipment replacement plan must identify the air district’s 

process for oversight and review of dealer identified tasks. 

(D) Calculation of funding amounts must be based on the average of at least 

the two most recent years of documented equipment usage per 

section C.2.(F) above. Fleet averages cannot be used. 

(E) Incentive funding can only be used to pay for items essential to the 

operation of the equipment. 

(F) The air district must receive from the dealer proof of sale of the 

replacement equipment. Dealers for the purpose of this program are 

anyone who sells equipment, including private parties.

(G) Air districts are responsible for completing a pre-inspection of the old 

equipment, a post-inspection of the replacement equipment, and a 

salvage inspection of the old equipment if equipment destruction is not 

conducted by an air district approved salvage yard. Pre-inspections may 

be done by an air district approved dealer. 
As of 7/11/14 9 - 14 OFF-ROAD 

EQUIPMENT REPLACEMENT

(1) Pre-inspection must verify the operational condition of the old equipment. 

The pre-inspection must verify, at a minimum, the following items:

a. Tires in usable condition (able to hold air, sufficient tread or tracks, 

etc.) 

b. Steering wheel operational 

c. Equipment able to start up and move backwards and forwards

d. Buckets, blades, rollers, etc. are working

e. Undercarriage structurally sound

f. Fuel tank in usable condition

g. No parts stripped 

h. Equipment not vandalized

i. In addition, clear photographs of the old equipment must include the 

following views:

1. Right Side - hood down

2. Front - hood down

3. Left Side - hood down

4. Equipment serial number

5. Engine Serial Number - either tag or stamp on block

6. DOORS Equipment Identification Number (EIN), if applicable

7. Rear

(2) The post-inspection must include clear photographs of the following views:

a. Picture(s) of equipment

b. Equipment serial number

c. Engine Serial Number and Engine Information – tag

d. Diesel Emission Control Device (if available)

e. Hour meter reading

(3) Salvage inspection must include clear photographs of the destroyed 

engine block and cut frame rails. In addition, the following views must be 

taken: 

a. Equipment serial number 

b. Engine serial number either stamped on the block or on the tag

c. Destroyed engine block either in-frame or out of frame as specified in 

Chapter 3: Program Administration

d. Cut structural components 

e. Other views dependent on the method of equipment destruction

(H) Post-inspection of the replacement equipment and salvage inspection of 

the old equipment must be completed prior to disbursement of funds. 
As of 7/11/14 9 - 15 OFF-ROAD 

EQUIPMENT REPLACEMENT

(I) The air district is allowed to make full payment to the dealer at the time the 

dealer delivers the replacement equipment to the applicant under the 

following framework:

(1) The air district must complete the pre-inspection of the old equipment and 

post-inspection of the replacement equipment to make sure that all 

equipment complies with program requirements. 

(2) The air district must sign a separate memorandum of understanding

(MOU) with the dealer and the salvage yard that contains, at a minimum, 

the program requirements that are expected of each entity and the 

repercussions for non-compliance with the terms of the MOU for each 

entity. This shall include, but is not limited to, the requirement that the 

dealer delivers the old equipment to a qualified salvage yard within 

30 days of the date that the old equipment was turned in to the dealer by 

the applicant.

(3) The air district must ensure the equipment is scrapped within 60 days of 

the salvage yard’s receipt of the equipment through salvage inspection 

with the salvage yard to properly document the destruction of the existing 

equipment in accordance with the Carl Moyer equipment replacement 

program requirements. 

(4) Failure on the air district’s part to follow up with such salvage inspection 

would constitute a finding in future ARB’s Incentive Program Review of the 

air district’s Carl Moyer Program.

6. Dealer Requirements

(A) Air districts are encouraged to establish contracts with dealers that are 

selling replacement equipment to participants of this program. If air 

districts use equipment dealers in implementing the equipment 

replacement program, reimbursement cannot be issued until all forms are 

submitted and approved by the air district. Participants may purchase the 

replacement equipment from a private party, provided all required 

documentation is submitted. This includes warranty requirements and all 

other equipment replacement requirements.

(B) Equipment dealers that enter into a contract with an air district must: 

(1) Provide basic information about the equipment replacement category. Air 

districts will provide liaison training to dealership staff. 

(2) Inform participants of rights and responsibilities as outlined in the air 

district and ARB guidelines.
As of 7/11/14 9 - 16 OFF-ROAD 

EQUIPMENT REPLACEMENT

(3) Help the participants complete the application. The equipment dealers will 

ensure that the participant correctly completes the application. It is 

important to make sure that all information is filled out correctly and that 

the participant understands the meaning of the program and the contract. 

The air district will provide all forms and certificates as appendices to the 

application. Once complete, the dealer will submit the application 

package to the air district. 

(4) To ensure that an application package contains all necessary information, 

the dealer must make sure that all the following items are complete and 

included in the participant’s submission to the air district, before 

reimbursement can be made: 

a. Submit a signed and complete application.

b. Provide all documentation as required in Section C. 2. (E) and (F) of 

these criteria. 

c. Provide certification that the existing equipment will be delivered to a 

qualified salvage yard. The certification must state that the equipment 

will be picked up by the salvage yard within 30 days of receipt of the 

old equipment. The certification must include the make, model, year, 

equipment serial number, engine make, engine serial number, and the 

date the equipment is expected to be delivered.

d. If equipment destruction will take place at a site other than an 

approved salvage yard, the application must include a timeline and 

description how the equipment will be destroyed.

e. Provide documentation of replacement equipment warranty.

f. Provide proof of replacement equipment financing. The financing 

package will enable the air district to determine the reimbursement 

costs that may be accrued in case the participant defaults on the 

contracted performance requirements.

(5) Prior to releasing the replacement equipment to the participant, the dealer 

must have documentation of an air district pre-inspection of the old vehicle 

and the post-inspection of the replacement equipment. Upon request of 

the air district, ARB may waive inspection requirements.

a. If the dealer is air district approved to do pre- and post-inspections, the 

dealer must submit digital photographs of the old equipment vehicle 

and the replacement equipment to the air district as defined in the pre-
As of 7/11/14 9 - 17 OFF-ROAD 

EQUIPMENT REPLACEMENT

inspection and post-inspection requirements in Section C. 5 (G) of 

these criteria. The air district will specify the required digital format.

b. Reimbursement will not be processed until all photographs are 

received and verified by the air district. 

c. Before submitting photographs to the air district, dealers must verify 

that photographs are clear. 

(6) After the application and all required documentation have been approved 

by the air district, the dealer must provide the air district with proof of sale 

of the replacement equipment. For the purpose of this program, a dealer

is anyone who sells equipment, including a private party. 

7. Projects Subject to the Regulation for In-Use Off-Road Diesel-Fueled Fleets

(A) Projects are subject to the general program criteria listed above. 

(B) Fleets must be in compliance with the regulation in order to be eligible for 

and receive funding. 

(1) Applicants must submit information regarding fleet size and compliance 

status. All documentation submitted must be signed and dated by the 

applicant and include language certifying that the fleet list provided is 

accurate and complete. Air districts are not required to validate submitted 

information and will not be held liable if fleet owners falsify fleet 

information. 

a. The following information shall be submitted at the time of application: 

1. The DOORS ID of the fleet.

2. The DOORS EIN of the (old) existing equipment.

3. Fleet size information (total horsepower) as reported to DOORS.

4. Information to determine compliance with the Off-Road Regulation.

i. Prior to 1/1/2014, large fleets are not required to show 

compliance with the Off-Road Regulation.

ii. Prior to 1/1/2017, medium fleets are not required to show 

compliance with the Off-Road Regulation.

iii. Prior to 1/1/2019, small fleets are not required to show 

compliance with the Off-Road Regulation.

b. Applicants must submit to the district the DOORS EIN of the 

replacement equipment no later than at post-inspection of replacement 

equipment.

c. Applicants are not required to submit information on exempted 

equipment. Information on exempted off-road equipment can be found 
As of 7/11/14 9 - 18 OFF-ROAD 

EQUIPMENT REPLACEMENT

in the Off-Road Regulation (California Code of Regulations, title 13, 

§ 2449). 

(C) No emission reductions achieved from a funded program can count 

towards a fleet’s regulatory requirements for the duration of the project life.

(D) Eligibility for a project is based upon the Best Available Control 

Technology (BACT) requirements of the regulation. 

(1) Any equipment funded through the Moyer program, and that is still under 

contract, must be deducted from the amount of equipment eligible for 

funding. For instance, a fleet that is eligible for funding to reduce 

emissions for 50 percent of its hp, but which has already received funding 

in previous years to reduce emissions from 20 percent of its hp, is only 

eligible for funding to reduce emissions from 30 percent of its hp. 

(2) Equipment funded through the Moyer program must be included in the 

fleet’s total horsepower from which the BACT requirements of the 

regulation are calculated.

(E) Large Fleets 

(1) Eligible projects for large fleets, as defined in the Off-Road Regulation 

must provide at least three years of surplus emission reductions to the 

regulation, with a corresponding minimum project life of at least three

years.

(2) Projects must be installed and in operation at least three years before the 

BACT requirements become effective for the funded equipment.

(3) The first compliance date for large fleets, as defined in the Off-Road 

Regulation, is January 1, 2014. The final compliance date is 

January 1, 2023. Funding for these fleets is available through 

December 31, 2016. 

(4) Eligible projects for large fleets must include a particulate matter filter 

beginning January 1, 2013, for engines 75 hp and greater and 

January 1, 2014, for engines less than 75 hp. The retrofit waiver in 

section C.3.(H)(6) is no longer available to projects involving large fleets 

after the dates specified above.

a. Eligibility shall be determined at the time the air district commits to the 

proposed project. For purposes of this section, an air district’s 

commitment to a project shall be consistent with that stated in its 

policies and procedures.
As of 7/11/14 9 - 19 OFF-ROAD 

EQUIPMENT REPLACEMENT

b. If the air district and the applicant do not have an executed contract 

within six months of project commitment, then the project must include 

a particulate matter filter in order to be eligible. Alternatively, engines 

which are certified to the Tier 4 final particulate matter standard or 

which are certified to a FEL level at or below the Tier 4 final particulate 

matter standard numerical level remain eligible after the dates listed in 

C.7.(E)(4) above.

(5) Large fleets may have additional requirements per subsection C.7.(H) 

below. 

(F) Medium Fleets 

(1) Eligible projects for medium fleets, as defined in the Off-Road Regulation

must provide at least three years of surplus emission reductions to the 

regulation with a corresponding minimum project life of at least three

years.

(2) Projects must be installed and in operation at least three years before the 

BACT requirements become effective for the funded equipment.

(3) The first compliance date for medium fleets, as defined in the Off-Road 

Regulation is January 1, 2017. The final compliance date is 

January 1, 2023. Funding for these fleets is available through 

December 31, 2019.

(G) Small Fleets (includes Captive Attainment Area Fleets) 

(1) Eligible projects for small fleets, as defined in the Off-Road Regulation

must provide at least two years of surplus emission reductions to the 

regulation, with a corresponding minimum project life of at least two years.

(2) Projects must be installed and in operation at least two years before the 

BACT requirements become effective for the funded equipment.

(3) The first compliance date for small fleets, as defined in the Off-Road 

Regulation is January 1, 2019. The final compliance date is 

January 1, 2028. Funding for these fleets is available through 

December 31, 2025. 

(H) Surplus Off-Road Opt-In for NOx (SOON) Program 

(1) Fleets located in air districts that have opted in to the SOON program and 

that are subject to the SOON provisions are eligible for funding in 

accordance with the Off-Road Regulation (California Code of Regulations, 
As of 7/11/14 9 - 20 OFF-ROAD 

EQUIPMENT REPLACEMENT

title 13, § 2449.2) and must meet the applicable criteria in sections 1 

through 6 above.

(2) Projects funded under SOON, are not subject to Section C.7., except for 

the requirements of subsection C.7.(H). 

(I) For more information on eligibility of off-road diesel equipment, please see 

the Regulation for In-Use Off-Road Diesel-Fueled Fleets Carl Moyer 

Program Implementation Chart available at

http://www.arb.ca.gov/msprog/moyer/guidelines/supplemental-docs.htm. 

8. Projects Subject to the Regulation for Cargo Handling Equipment at Ports and 

Intermodal Rail Yards

(A) Eligible projects must provide at least three years of surplus emission 

reductions to the regulation, with a corresponding minimum project life of 

at least three years. Much of the applicable cargo handling equipment 

must already be in compliance with the regulation. Therefore, very limited 

funding opportunities exist. 

(B) For more information on eligibility of cargo handling equipment, please 

see the Regulation for Cargo Handling Equipment at Ports and Intermodal 

Rail Yards Carl Moyer Program Implementation Chart available at 

http://www.arb.ca.gov/msprog/moyer/guidelines/supplemental-docs.htm. 

9. Projects Subject to the Off-Road Large Spark-Ignition Engine Fleet Requirement

The regulation impacts owners of fleets of four or more LSI forklifts and/or four or 

more LSI sweepers/scrubbers, airport ground support equipment, and/or industrial 

tow tractors. The fleet size is determined by aggregating an operator’s equipment in 

the State of California.

(A) Eligible funding must provide at least three years of surplus emission 

reductions to the LSI fleet regulation, with a corresponding minimum 

project life of at least three years.

(B) Large and Medium Forklift Fleets and Fleets of Four or More 

Sweeper/Scrubbers, Ground Support Equipment, and/or Industrial Tow 

Tractors: In order to be eligible for funding, large and medium forklift fleets 

and fleets of four or more non-forklift LSI equipment must meet the final 

fleet average emission level applicable on January 1, 2013. 

(C) Agricultural Crop Preparation Forklift Fleets Model Year 1990 and Newer: 

These fleets are required to either retrofit, repower, or replace 100 percent

of their fleet by January 1, 2012 or currently meet a 3.0 g/bhp-hr fleet 

average HC + NOx level. Fleets that have met the 3.0 g/bhp-hr fleet 
As of 7/11/14 9 - 21 OFF-ROAD 

EQUIPMENT REPLACEMENT

average can apply for funding. Additionally, in accordance with SBx2 3, 

fleets that have retrofitted/repowered 20 percent of their fleet in 

compliance with the regulation are eligible for funding up to the final 

compliance date. In order to be eligible, these projects must be under 

executed contract, and must be installed and in operation prior to the 

applicable compliance date. 

(D) Fleets with equipment not subject to the off-road large spark-ignition 

engine fleet requirement are eligible for funding, including: 

(1) Agricultural crop preparation non-forklift equipment and pre-1990 forklifts. 

(2) Forklifts used exclusively in field to harvest and maintain crops. 

(3) Non-forklift LSI equipment such as aerial lifts, lawn and garden tractors, 

commercial turf equipment, mining and construction equipment, crushing 

and processing equipment.

(4) Small fleets (one to three forklifts and/or one to three sweepers/scrubbers, 

airport ground support equipment, and/or industrial tow tractors).

(E) Parties interested in applying for funding for this equipment should contact 

the Carl Moyer Program staff at the air district for more detailed 

information.

10. Projects Subject to the Statewide Truck and Bus Regulation

This regulation impacts the eligibility of all on-road heavy-duty diesel-fueled and 

alternative diesel-fueled vehicles operated in California with a manufacturer’s gross 

vehicle weight rating greater than 14,000 pounds. Although this regulation primarily 

affects vehicles with on-road engines, some vehicles with off-road engines are also 

covered. Any application for Carl Moyer Program funding to replace a vehicle with 

an off-road engine that is subject to an on-road regulation must comply with the 

applicable surplus requirements described in Chapter 4. For example, a yard truck 

with an off-road engine that is subject to the Statewide Truck and Bus Regulation 

(including yard trucks used primarily in agricultural operations) must meet the 

applicable on-road surplus requirements described in Chapter 4, Section E, and 

must also comply with all off-road project criteria described in this chapter. 
As of 7/11/14 10 - 1 PORTABLE AND STATIONARY

 AGRICULTURAL SOURCES

Chapter 10: PORTABLE AND STATIONARY AGRICULTURAL SOURCES

This chapter describes the minimum criteria and requirements for Carl Moyer Program 

portable and stationary agricultural engine projects and non-engine agricultural projects 

as defined in Health and Safety Code section 39011.5. Requirements for self-propelled 

agricultural use equipment (e.g., tractors) may be found in Chapter 7: Off-Road 

Compression-Ignition Equipment. Air districts may set more stringent requirements 

based on local priorities. 

A. Projects Eligible for Funding

Most engines eligible for funding under this chapter are regulated under the Stationary 

Engine Airborne Toxic Control Measure (ATCM), the Portable Engine ATCM, and/or air 

district rule. There are limited funding opportunities for engines subject to these rules. 

Table 10-1 

Summary of Agricultural Sources Funding Opportunities

Engine or project type Subject to ARB Rule Moyer Funding Opportunities1

Stationary diesel 

agricultural engines 

Agricultural Provisions of 

the Stationary Engine 

Airborne Toxic Control 

Measure (ATCM)2

Uncontrolled engine repowers: Very 

limited funding opportunity 

Tier 1 and 2 engine repowers: Eligible 

through 12/31/13, Limited opportunity 

through 12/31/15 

Tier 3 engine repowers: Not limited by 

regulation

Portable diesel 

agricultural engines

Portable diesel 

agricultural engines 

Portable Engine ATCM3 Limited opportunities

Stationary spark-ignited 

agricultural engine 

repower projects

No Limited opportunities

Electric motors new 

purchase

No Limited opportunities

Non-engine agricultural 

use projects

No Limited opportunities

1 Limited funding opportunities mean that projects funding opportunities may be impacted by the compliance dates of 

the ATCM or air districts local rules. Contact air district Moyer Program staff or consult Carl Moyer Implementation 

Charts http://www.arb.ca.gov/msprog/moyer/guidelines/supplemental-docs.htm in addition to these guidelines. 2 Stationary Engine ATCM: http://www.arb.ca.gov/diesel/statport.htm#Stationary 3 Portable Engine ATCM: http://www.arb.ca.gov/diesel/peatcm/peatcm.htm 

Project Types: Considering Table 10-1, the following categories are eligible projects:

1. Repower Existing Equipment

2. New Purchase: The Carl Moyer Program allows funding for the purchase of 

electric motors for new, non-replacement stationary equipment installations.

3. Retrofit Purchase
As of 7/11/14 10 - 2 PORTABLE AND STATIONARY

 AGRICULTURAL SOURCES

4. Non-Engine Agricultural Use Projects: Non-engine agricultural use projects may 

receive Carl Moyer Program funding with approval from ARB on a case-by-case 

basis. 

Please see Section C (Project Criteria) for detailed minimum eligibility requirements for 

all agricultural sources project categories.

B. Maximum Eligible Funding Amounts

Table 10-2 summarizes the maximum eligible funding for each project type. All projects 

are also subject to the cost-effectiveness threshold defined in Appendix G. 

Table 10-2 

Maximum Percent Funding for 

Portable and Stationary Agricultural Sources Projects

Project Maximum

Repower with Diesel Engine 85 percent

Repower with Certified SI Engine 85 percent

Repower with Electric Motor 85 percent

Electric Motor New Purchase 20 percent

Retrofit 100 percent

C. Project Criteria

The minimum qualifications portable and stationary agricultural source projects are 

listed below. All projects must also conform to the requirements in Chapter 2: General 

Criteria and in Chapter 3: Program Administration. Participating air districts retain the 

authority to impose additional requirements in order to address local concerns.

1. General Agricultural Sources Project Criteria

(A) Existing project engines greater than 25 horsepower (hp) (19 kilowatts

(kW)) are eligible for funding. The replacement engines may be smaller 

than 25 hp (19kW). An electric motor less than 19kW or 25 hp may be 

funded if the applicant provides documentation from the equipment dealer 

that the electric motor less than 19 kW performs the same work as a 25 or 

greater hp diesel engine. 

(B) The maximum project life for agricultural use engine projects is as follows:

(1) Diesel engines 7 years

(2) Spark-ignited engines 7 years

(3) Electric motors 10 years

(4) Portable Farm equipment* (all projects) 10 years* 
As of 7/11/14 10 - 3 PORTABLE AND STATIONARY

 AGRICULTURAL SOURCES

 *Air districts are required to offer a 10 year project life for portable farm 

equipment; however, applicants may request a project life less than 10 years. 

Farm equipment is defined in Appendix B.

A longer project life may receive case-by-case approval by ARB if applicants 

provide justifying documentation. The maximum project life does not consider 

regulatory requirements, which may reduce actual project life below these 

maximum values.

(C) In general, projects must have a minimum project life of three years. 

(1) A one year project life is allowed for engines subject to the agricultural 

engine requirements in the Stationary Engine ATCM. Stationary engines 

not regulated by the Stationary ATCM must use a minimum three year 

project life.

(2) In accordance with SBx2 3, portable farm equipment may be eligible for 

funding up to the compliance date of an applicable in-use rule and a 

10 year project life. In order to be eligible, portable farm equipment 

projects must be under fully executed contract, and must be installed in 

the equipment and in operation prior to the applicable compliance date.

(D) State and air district rules impacting agricultural sources must be 

considered when determining whether projects provide emission 

reductions surplus to regulatory requirements. Moyer eligibility may be 

based on the requirements of the local rule if the local rule meets the 

requirements of Health and Safety Code section 39666(d). An air district

requesting to have eligibility based on local rules must have its Air 

Pollution Control Officer self-certify via email or letter to their ARB Moyer 

liaison that the local rule is equally as effective as or more stringent than 

the ATCM. Note: The self-certification described in this section applies 

solely to the Moyer Program and does not relieve the district of their 

responsibilities under Health & Safety Code section 39666 or any other 

ARB program or requirement.

(E) Cost-effectiveness calculations must use the hour-based formula as 

discussed in Appendix C. Fuel usage may only be used with case-bycase approval from ARB. If using the fuel-based formula, usage must be 

based on two years of historical fuel usage documentation specific for the 

equipment being funded. Documentation may include fuel logs, purchase 

receipts or ledger entries.

(F) Future annual hours of equipment operation for determining emission 

reductions must be based only on readings from an installed and fully 

operational hour meter. If equipment does not have functioning hour 

meter at the time of the project, the meter must be repaired or replaced. If 
As of 7/11/14 10 - 4 PORTABLE AND STATIONARY

 AGRICULTURAL SOURCES

during the project life the hour meter fails for any reason, the hour meter 

must be repaired or replaced as soon as possible at the owner’s cost. If 

case-by-case approval was provided by ARB to use fuel usage for 

determining emission reductions, then future annual fuel usage must be 

based on fuel logs, purchase receipts or ledger entries specific to the 

funded equipment.

(G) The certification emission standard and/or Tier designation for the engine 

must be determined from the ARB Executive Order or U.S. EPA 

Certificate of Conformity (for federally preempted engines) issued for that 

engine. Executive Orders for off-road engines may be found at 

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

(H) Engines that are participating in the “Tier 4 Early Introduction Incentive for 

Engine Manufacturers” program, as detailed in California Code of 

Regulations, title 13, section 2423(b)(6), are eligible for Carl Moyer 

Program funding provided that they are certified to the final Tier 4 

emission standards. The ARB Executive Order for these engines 

indicates that the engines are certified under this provision. The emission 

rates for these engines used to determine cost-effectiveness shall be 

equivalent to the emission factors associated with Tier 3 engines. Air 

districts must retain this documentation in the project file.

(I) For equipment with baseline engines manufactured under the flexibility 

provision, detailed in California Code of Regulations, title 13, section 

2423(d), baseline emission rates shall be determined by using the 

previous applicable Tier emission standard for that engine model year and 

horsepower rating. The ARB Executive Order for these engines indicates 

that the engines are certified under this provision. Air districts must retain 

this documentation in the project file.

(J) Funding for pump and associated plumbing costs associated with 

engine/motor projects require a case-by-case approval by ARB. However, 

the pump cost in a submersible pump-motor system is allowable and does 

not require a case-by-case. 

(K) Costs for necessary peripheral equipment associated with electric motor 

projects that may be included in the grant award amount, include the 

service pole forward (e.g., service pole with guy wire, control panel, motor 

leads, concrete pad, headshaft or gear head and tubing if required for 

diesel to motor conversion, and up to 150 feet of connecting electric line 

from the pole forward to the motor). 

(L) Variable frequency devices (VFD) may be eligible for funding provided the 

air district must report VFD cost and serial number information in CARL. 
As of 7/11/14 10 - 5 PORTABLE AND STATIONARY

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(M) Air district match funds may be used for infrastructure purchase and 

installation (e.g., line extension for electric motor projects for only Moyer 

qualifying project categories except as prohibited in Health and Safety 

Code section 44287(j)). 

(N) Electrical line extension costs are not eligible for funding if a motor is not 

included with the project. 

(O) Air district match funds may be used to offset the higher cost of electricity 

relative to diesel fuel, if applicable. In this case, the fuel cost difference 

will be accounted for when calculating the cost-effectiveness of the 

project.

(P) In electric motor projects, the applicant must have documentation of 

application or payment to the local utility company for power installation. 

This documentation requirement applies to new motor and repower 

installations. 

(Q) A new electric motor on an agricultural irrigation pump project that is under 

contract may be considered for invoice payment once the motor has been 

delivered to the project site and the motor has been connected to the 

electricity grid.

(R) All case-by-case projects must receive approval from ARB prior to 

funding. These projects must follow the requirements as described in 

Chapter 3, Section Y. 

2. Repower

A repower is the replacement of the in-use engine with an electric motor or a new, 

current model year engine instead of rebuilding the existing engine to its original 

specifications. 

(A) A repower of an engine must be with one of the following:

(1) A new electric motor.

(2) A new off-road diesel engine certified to the current applicable emission 

standards.

(3) A new off-road spark-ignited (SI) engine certified to the current applicable 

emission standards.

(4) A new SI engine that exceeds air district emission requirements and is 

subject to and complies with air district permitting, monitoring, record 

keeping and reporting requirements. 
As of 7/11/14 10 - 6 PORTABLE AND STATIONARY

 AGRICULTURAL SOURCES

(B) Engine/motor repower projects in which the horsepower of the new 

engine/motor is an increase to 150 percent or larger from the baseline 

(existing) engine may be funded at an air district’s discretion if the 

applicant pays for the additional cost associated with the larger 

engine/motor. The maximum eligible grant funding will be based on the 

cost of the smaller sized replacement engine/motor. The emission 

reduction calculations shall be based upon the funded (higher 

horsepower) engine/motor. Air district’s that choose this option shall 

include in the project file, documentation of the equipment cost of the 

funded (higher horsepower) engine/motor as well as the method used to 

determine the project grant amount (e.g. dealership cost estimate of the 

lower horsepower engine/motor.)

(C) A repower project in which the total number of existing engines is different 

than the total number of replacement engines/motors requires a noncalculation project entry into CARL. If the total sum of the new 

engine(s)/motor(s) horsepower is greater than 125 percent of the sum of 

the existing engine(s)/motor(s) total horsepower then the load factor will 

need to be adjusted. If the total horsepower increase is greater than 150 

percent then criteria C.2.(B) applies. 

(D) SI engines cannot be replaced with diesel engines.

(E) Electric motors may replace diesel or SI engines. 

(F) A repower of an emissions-controlled SI engine with a new SI engine that 

meets or exceeds air district emission requirements and is subject to and 

complies with air district permitting, monitoring, record keeping and 

reporting requirements is eligible and must achieve an annual oxides of 

nitrogen (NOx) emission benefit of at least 15 percent. 

(G) Repowering to a Tier 1 or Tier 2 diesel engine is not allowed. 

(H) If repowering with an engine meeting the current applicable standard is 

technically infeasible, unsafe, or not available when the air district commits 

to the proposed project, the replacement engine must meet the most 

current practicable previously applicable emission standard. For purposes 

of this section, air district’s commitment to a proposed project shall be 

consistent with that stated in their policies and procedures. The air district

shall determine eligibility of a repower project using an engine certified to 

a previous emission standard by one of the following methods:
As of 7/11/14 10 - 7 PORTABLE AND STATIONARY

 AGRICULTURAL SOURCES

(1) At the applicant’s request, confirmation of availability of an engine meeting 

the most recent emission standards or Tier may be limited to the same 

manufacturer as the existing engine.

(2) If the air district and the applicant do not have an executed contract within 

six months of project commitment, then the air district must recheck for the 

availability of engines meeting the current standard. 

(3) Documentation that engines meeting the current applicable standard are 

unavailable must be provided to the air district. Acceptable documentation 

that engines meeting the most recent emission standard are unavailable 

include:

a. Verifiable information from the engine manufacturer, engine distributor 

and/or engine dealer regarding the unavailability of engines meeting 

the current emission standard or Tier.

b. Confirmation (a written declaration by the air district is acceptable) that 

engines from a specific manufacturer meeting the current emission 

standard or Tier are not certified (Executive Order is not available on 

ARB website). Executive Orders for off-road engines may be found at 

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

(I) Equipment manufactured under the “Flexibility Provisions for Equipment 

Manufacturers”, as detailed in California Code of Regulation, title 13, 

section 2423(d), are ineligible for Carl Moyer Program funding as a 

replacement engine.

(J) The use of an uncertified SI engine shall be subject to approval by ARB 

staff.

(1) Uncertified SI engines must include currently available emission control 

components such as closed-loop fuel control systems, and three-way 

catalysts. 

(2) Uncertified SI engines must be source tested with an ARB-approved 

testing procedure, such as ARB Test Method 100, following air district

requirements. Source testing shall be conducted upon installation.

(3) Uncertified SI engines must be emission tested using a portable analyzer 

every 1,000 hours of operation and at least annually, or following air 

district monitoring requirements, whichever is most stringent. The 

emission tests shall measure NOx and hydrocarbon emissions. An 

alternative monitoring schedule may be used upon approval by ARB staff.
As of 7/11/14 10 - 8 PORTABLE AND STATIONARY

 AGRICULTURAL SOURCES

(4) The costs associated with source testing and monitoring requirements for 

uncertified SI engines are not eligible for funding.

(K) All engines replaced as part of a repower project must be destroyed and 

rendered useless, consistent with the requirements of Chapter 3: Project 

Administration, Section BB. 

3. New Purchase: A new purchase is an engine or motor that is not replacing an 

existing engine. This is currently only available for non-mobile agricultural 

electric motors purchases of new motors. Moyer eligible peripheral equipment

costs are covered in this chapter. Refer to section C.1.(K).

4. Retrofit 

Retrofit is the installation of an ARB-verified diesel emission control system on an 

existing engine. Examples include, but are not limited to, particulate filters and 

diesel oxidation catalysts. More information on retrofits may be found at 

http://www.arb.ca.gov/diesel/verdev/verdev.htm. 

(A) A retrofit of an uncontrolled SI engine that reduces NOx must be with a 

retrofit kit that is verified to reduce NOx or NOx + Non-Methane 

Hydrocarbons (NMHC) emissions to the currently applicable off-road LSI

engine standard. 

(B) Engines equipped with original engine manufacturer aftertreatment 

devices are ineligible for retrofit funding due to issues with engine 

warranty and anti-tampering provisions. 

(C) The cost of the retrofit, filters, hour meter if none exists on the equipment, 

and maintenance of the retrofit device needed during the project life is 

eligible for incentive funding, provided its inclusion in the project cost still 

meets the weighted cost-effectiveness limit. The datalogging cost of a 

retrofit-only project cannot be included in the total project cost.

5. Non-Engine Agricultural Use Projects require a case-by-case approval by ARB 

prior to receiving Moyer funds. 

6. Projects Subject to the Agricultural Provisions of the Stationary Engine ATCM 

(A) Diesel engines regulated under the Stationary Engine ATCM must be 

registered (or permitted) in an air district to be eligible for repower 

projects.

(B) Diesel engine to diesel engine repower costs claiming only NOx and 

reactive organic gases (ROG) emission benefits based on surplus to local 

rules and meeting the conditions of section C.1.(D) are eligible for Carl 
As of 7/11/14 10 - 9 PORTABLE AND STATIONARY

 AGRICULTURAL SOURCES

Moyer Program funding at a reduced rate of half of the typical 85 percent 

repower (i.e., 42.5 percent). 

(C) A retrofit of an uncontrolled off-road diesel engine (regulated under the 

Stationary Engine ATCM) that reduces NOx must be with a retrofit kit that 

is verified to reduce NOx or NOx+NMHC emissions to the applicable 

current off-road engine Tier standard or less.

(D) For more information on eligibility of engines regulated by the Stationary 

Engine ATCM, please see the Stationary Engine Airborne Toxic Control 

Measure Implementation Chart available at:

http://www.arb.ca.gov/msprog/moyer/guidelines/supplemental-docs.htm. 

7. Projects Subject to the Portable Engine ACTM

(A) Portable equipment owned by agricultural service companies, rental 

companies, public agencies, and non-agricultural service companies are 

subject to the Portable Engine ATCM and meet the definition of farm 

equipment per Chapter 7. These projects must follow the criteria outlined 

in this chapter (Chapter 10).

 

(B) Diesel engines regulated under the Portable Engine ATCM must be 

registered (or permitted) in an air district to be eligible for repower projects 

or documentation must be included in the project file from the air district 

stating that a registration (or permit) is not required to operate in the air 

district. 

(C) Uncontrolled engines subject to the Portable Engine ATCM are not eligible 

for repowers.

(D) An existing Tier 1 or Tier 2 engine subject to the Portable Engine ATCM 

and subject to SBx2 3 may use a 10 year project life and may be eligible 

for funding up to the compliance date of an applicable in-use rule. 

(E) Portable equipment with Tier 2 engine repowered with a Tier 3 engine 

must also be equipped with a verified retrofit in order to be eligible for 

funding. 

(F) Retrofit projects for engines regulated under the Portable Engine ATCM 

that control particulate matter (PM) must use the highest level technically 

feasible technology available for the equipment being retrofitted. ARB 

considers the retrofit device that achieves the highest level of PM 

reductions (level 3 - 85 percent) and the highest level of NOx reductions to 

be the highest level retrofit. 
As of 7/11/14 10 - 10 PORTABLE AND STATIONARY

 AGRICULTURAL SOURCES

(G) For more information on eligibility of engines used in portable equipment, 

please see the Portable Engine Airborne Toxic Control Measure 

Implementation Chart available at: 

http://www.arb.ca.gov/msprog/moyer/guidelines/supplemental-docs.htm. 
As of 7/11/14 11 - 1 LOCOMOTIVES

Chapter 11: LOCOMOTIVES

This chapter describes the minimum criteria and requirements for Carl Moyer Program 

locomotive projects. Air districts may set more stringent requirements based upon local 

priorities. 

A. Projects Eligible for Funding

Carl Moyer Program funding for California’s larger Class 1 freight railroads is generally 

limited due to the availability of Goods Movement Emission Reduction Bond Program 

(Proposition 1B Goods Movement Program) funding, and the South Coast and 

Statewide Memoranda of Understanding (MOU) with these railroads (See Table 11-1). 

Table 11-1 

Summary of Locomotive Funding Opportunities

Railroad Class Subject to ARB Rule 

or MOU

Moyer Funding Opportunities

Class 1 Freight Railroads

(Burlington Northern 

Santa Fe Railroad and 

Union Pacific Railroad) 

2005 Statewide 

Railyard Agreement1

and 

1998 South Coast 

MOU2

Very limited opportunity. Projects in 

California’s goods movement trade 

corridors are generally ineligible for 

funding due to the availability of 

Proposition1B funds.

3

 These projects 

are only eligible for Carl Moyer Program 

funding on a case-by-case basis. 

Class 3 Freight Railroads 

and Passenger Railroads

No Class 3 and passenger railroad projects 

are not limited. 1 Class 1 freight railroads are ineligible for ILD project funding due to the 2005 Statewide MOU. See: 

http://www.arb.ca.gov/railyard/ryagreement/083005mouexecuted.pdf

2 The South Coast MOU further limits funding eligibility for Class 1 freight railroad new purchase or engine 

remanufacture/repower projects in the South Coast. See: http://www.arb.ca.gov/msprog/offroad/loco_flt.pdf 3 For a map of the trade corridors, see: http://www.arb.ca.gov/bonds/gmbond/docs/gmtradecorridors.jpg 

Project Types: Five types of locomotive projects are eligible for Carl Moyer Program 

funding: 

1. Locomotive replacement

2. Idle limiting device (ILD)

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

4. ARB verified retrofit

5. Head end power unit (HEP) 

B. Maximum Eligible Funding Amounts

Table 11-2 summarizes the maximum eligible funding for each project type. All projects 

are also subject to the cost-effectiveness threshold defined in Appendix G. 
As of 7/11/14 11 - 2 LOCOMOTIVES

Table 11-2 

Maximum Grant Amount for Carl Moyer Program Locomotive Projects

Railroad 

Class/Type

Locomotive 

Replacement

Idle Limiting Device 

(ILD)

Refurbishment or 

Certified 

Remanufacture Kit

Class 1 50 percent not eligible 50 percent

Class 3, Passenger, 

Military, and 

Industrial

85 percent

50 percent 

(passenger locomotives 

on case-by-case basis)

Tier 0+: 75 percent*

Tier 1+: 80 percent*

Tier 2+: 85 percent*

* “+” is used to refer to the new U.S. EPA locomotive engine remanufacture standards (U.S. EPA, 2008)

C. Emission Standards

The U.S. EPA has adopted regulations for exhaust emission standards for new and 

remanufactured locomotives. For reference, Tables 11-3 and 11-4 below summarize 

the hydrocarbon (HC), oxides of nitrogen (NOx) and particulate matter (PM) standards 

in grams per brake horsepower-hour (g/bhp-hr) for the 1998 Federal Standards and the 

2008 Federal Standards.

Table 11-3 

Locomotive Emission Standards (g/bhp-hr)

Based on 1998 Federal Standards

Engine Model Year Type NOx1 ROG2 PM101

1973-2001

Tier 0

Line-haul and 

Passenger 8.93 1.05 0.516

Switcher 13.16 2.21 0.619

2002-2004

Tier 1

Line-haul and 

Passenger 6.96 0.58 0.387

Switcher 10.34 1.26 0.464

2005-2011

Tier 2

Line-haul and 

Passenger 5.17 0.32 0.172

Switcher 7.61 0.63 0.206

These factors are to be used for the project baseline emissions if the baseline locomotive is certified or required to 

be certified to the 1998 federal locomotive remanufacture standards and for the reduced emission locomotive if the 

project locomotive is remanufactured to these 1998 standards. Factors are based upon Regulatory Impact 

Analysis: Final U.S. EPA Locomotive Regulation (2008).

1

 NOx and PM10 emission factors have been adjusted by a factor of 0.94 and 0.86, respectively, to account for use 

of California ultra-low sulfur diesel fuel. 2

 Reactive Organic Gases (ROG) = HC * 1.053
As of 7/11/14 11 - 3 LOCOMOTIVES

Table 11-4 

Locomotive Emission Standards (g/bhp-hr)

Based on 2008 Federal Standards

Engine Model 

Year Type NOx1 ROG2 PM101

1973-2001

Tier 0+

Line-haul and 

Passenger 6.96 0.58 0.189

Switcher 11.09 2.21 0.224

2002-2004

Tier 1+

Line-haul and 

Passenger 6.96 0.58 0.189

Switcher 10.34 1.26 0.224

2005-2011

Tier 2+

Line-haul and 

Passenger 5.17 0.32 0.086

Switcher 7.61 0.63 0.112

2011-2014

Tier 3

Line-haul and 

Passenger 5.17 0.32 0.086

Switcher 4.70 0.63 0.086

2015

Tier 4

Line-haul and 

Passenger 1.22 0.15 0.026

Switcher 1.22 0.15 0.026

These factors are to be used for the project baseline emissions if the baseline locomotive is certified or required to 

be certified to the new (2008) federal locomotive remanufacture standards, and for the reduced emission 

locomotive if the project locomotive is remanufactured to the new standards or meets Tier 3 standards. Factors are 

based upon Regulatory Impact Analysis: Final U.S. EPA Locomotive Regulation (2008).

1 NOx and PM10 emission factors have been adjusted by a factor of 0.94 and 0.86, respectively, to account for use 

of California ultra-low sulfur diesel fuel. 2 ROG = HC * 1.053

D. Project Criteria

The minimum qualifications for locomotives are listed below. All projects must also 

conform to the requirements in Chapter 2: General Criteria, and in Chapter 3: Program 

Administration. Participating air districts retain the authority to impose additional 

requirements in order to address local concerns. Note that railroad classes are defined 

in Appendix B.

1. General Locomotive Project Criteria

(A) Class 1 freight locomotive projects meeting the eligibility requirements for 

the Proposition 1B Goods Movement Program are only eligible for Carl 

Moyer Program funding on a case-by-case basis. Carl Moyer Program 

funds cannot be commingled with Proposition 1B Goods Movement 

Program funds. 

(B) Class 1 freight locomotives subject to the South Coast Memorandum of 

Understanding (MOU) are only eligible for Carl Moyer Program funding on 

a case-by-case basis. These locomotive projects must be excluded from 

the fleet average emission rate calculations which demonstrate 

compliance with the MOU provisions. The baseline emission rates used 
As of 7/11/14 11 - 4 LOCOMOTIVES

to determine emission reductions and cost-effectiveness for these 

locomotive projects reflect the Tier 2 emission rates for line-haul and 

switch locomotives identified in Appendix D, Table D-17.

(C) Class 2 railroad locomotives are subject to the same federal 

remanufacture requirements as Class 1 locomotives. There are currently 

no Class 2 railroad operators based in California. Should a Class 2 

railroad apply for Carl Moyer Program funds, project eligibility and 

parameters shall be evaluated on a case-by-case basis.

(D) Military and industrial railroads are considered Class 3 railroads for the 

purposes of the Carl Moyer Program. 

(E) Locomotive project activity must be based upon fuel consumption. Air 

districts may propose alternate project activity, such as actual usage data 

logged electronically by one or more locomotives, for case-by-case 

approval. 

(F) Carl Moyer Program funds cannot be used to pay for labor or parts used 

during routine maintenance. 

(G) For all liquefied natural gas-diesel or other dual-fuel locomotive projects, 

fuel consumption by fuel type must be monitored for the duration of the 

project life. 

(H) 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. Please see Part 3 of this section for ILD 

project minimum requirements.

(I) Projects in which a Carl Moyer Program grant is made to a locomotive 

manufacturer or other third party, who in turn leases the project locomotive 

to an end user, are eligible for funding on a case-by-case basis. Factors 

to be considered include project life, lease terms, reporting and 

enforceability provisions, and other project parameters.

(J) Locomotives must be both certified by EPA and verified by ARB in order to 

be eligible for funding.

2. Locomotive Replacement

Locomotive replacements are funded by the Carl Moyer Program and include Tier 4 

locomotives (or cleaner), genset locomotives (multi-engine switcher) and electrichybrid locomotives. Multi-engine switchers are typically powered by two or three offroad engines, while electric-hybrids use a small diesel engine to charge batteries 
As of 7/11/14 11 - 5 LOCOMOTIVES

that provide locomotive power. United States Environmental Protection Agency (U.S. 

EPA) considers a refurbished locomotive a new locomotive if it includes at least 75 

percent (by value) new parts. 

(A) The locomotive replacement must achieve a NOx emission rate of 3.5 

g/bhp-hr and a PM emission rate of 0.10 g/bhp-hr. 

(1) New locomotives with an aggregate engine power rating greater than or 

equal to 1,006 horsepower (750 kW) must be certified by U.S. EPA and

verified by ARB to achieve this emission level (or cleaner).

(2) New locomotives with an aggregate engine power rating less than 

1,006 horsepower are not required to be certified by U.S. EPA to 

locomotive standards. If not certified as a locomotive by U.S. EPA, the 

engines in the lower horsepower locomotives must be certified by ARB, 

and may be evaluated and considered for funding based upon the project 

engine on-road or off-road certification and corresponding Carl Moyer 

Program emission factor on a case-by-case basis.

(B) Project locomotive emission rates will be the U.S. EPA emission rates 

unless the locomotive is certified to family emission limits (FEL). 

(1) U.S. EPA certified emission rates for the project locomotive are found at 

www.usepa.gov/otaq/certdata.htm. On the U.S. EPA spreadsheets, “L/H” 

refers to a line haul locomotive, “SW” refers to a switcher, and “THC” 

refers to total hydrocarbons. The U.S. EPA emission factors must be 

adjusted as follows (see Table 11-5): THC must be converted to ROG by 

multiplying by 1.053, and NOx and PM must be multiplied by 0.94 and 

0.86, respectively, to account for the use of ultra low sulfur diesel. If this 

emission factor data is not made available by EPA for a locomotive which 

has been certified by EPA based on off-road engine certifications, districts 

must ask ARB to provide or approve appropriate locomotive emission 

factors. 

Table 11-5 

Adjustments to EPA Emission Rates for Project Locomotive 

(multipliers for rates from U.S. EPA spreadsheets)

THC NOx PM

1.05 0.94 0.86

 

(2) FEL certified locomotive emission rates are the emission standards for 

that locomotive model year. The FEL level must be lower than the 

required emission standard to be eligible for funding.

(C) Baseline emissions for a locomotive replacement project reflect Tier 0 

emission rates for Class 1 and intercity passenger and commuter
As of 7/11/14 11 - 6 LOCOMOTIVES

locomotives and uncontrolled emission rates for Class 3 locomotives and 

small passenger locomotives related to tourism, unless the locomotive to 

be replaced is currently certified, or is required by the U.S. EPA at the time 

of next rebuild to be certified, to a more stringent tier. In this situation, the 

baseline emission for calculation purposes must reflect the current or 

required, tier. 

(D) An alternative technology switcher must use the cleanest engine available 

certified to either the on-road or off-road engine standards.

(E) Due to the design of alternative technology switchers, fuel consumption for 

the new locomotive may differ from baseline fuel consumption. Air 

districts may assume a fuel savings of 20% to estimate the fuel 

consumption for inclusion in the grant agreement. This fuel savings is 

already embedded into the cost-effectiveness calculation, and therefore it 

should not be applied when determining cost-effectiveness for the project. 

(F) Alternative technology locomotives which are not switch locomotives may 

be considered for funding on a case-by-case basis. 

(G) Project life:

(1) Class 1 locomotive replacement projects in air districts other than the 

South Coast must have a minimum project life of 10 years. ARB may 

approve a project life of less than 10 years for these locomotives on a 

case-by-case basis. Projects with shorter lives may be subject to 

additional funding restrictions, such as a lower cost-effectiveness limit or a 

project cost cap.

 

(2) All other locomotive projects have a minimum project life of three years. 

(3) The maximum project life for a locomotive new purchase project is 

20 years. 

3. Idle-Limiting Device

Installation of an ILD can significantly reduce emissions from locomotives, which 

typically spend 40 to 60 percent of their operating time in the idle duty cycle. 

(A) ILD projects for Class 1 and intercity passenger and commuter 

locomotives and all other locomotives that are required by U.S. EPA to 

install an ILD at time of engine remanufacture are not eligible for Carl 

Moyer Funding.

(B) If not already required by a rule, regulation, MOU, or other legal mandate, 

the Carl Moyer Program may pay up to 50 percent of the purchase and 
As of 7/11/14 11 - 7 LOCOMOTIVES

installation cost for an ILD for Class 3 and Small Passenger locomotives

related to tourism. 

(C) Locomotives with an existing ILD are only eligible on a case-by-case 

basis. 

(D) ILD emission reductions are calculated by applying the ILD factors in 

Appendix D, Table D-18. 

(E) All ILDs must comply with applicable durability and warranty requirements. 

(F) The maximum project life for a locomotive ILD project is 10 years. 

4. U.S. EPA-Certified and ARB verified Engine Remanufacture Kit or Locomotive 

Refurbishment

Engine remanufacture kits typically include new fuel injectors, cylinder head 

assemblies, pistons, and other engine components. Engine remanufacture kits must 

be certified by U.S. EPA, verified by ARB and meet all of the following criteria to be 

eligible for Carl Moyer Program funding. Locomotive refurbishments (or repowers)

are also eligible for funding, provided the engine is certified and verified. 

(A) Purchase and installation of the cleanest available tier U.S. EPA-certified 

and ARB verified remanufacture kit or refurbishment (engine repower) is 

eligible for Carl Moyer Program funding. Applicants must provide 

evidence that the kit for which funding is requested is the cleanest 

available kit certified for use on the project locomotive. 

(B) Remanufacture kits must be demonstrated not to increase in-use 

emissions of NOx, ROG, or PM emissions. 

(C) Locomotive engine remanufacture and refurbishment projects must 

achieve at least a 30 percent NOx reduction beyond baseline emission 

levels.

(D) Alternative-fueled engines must be ARB- or U.S. EPA-certified to achieve 

a reduced emission level in a locomotive application. Alternative-fueled 

engines not certified to achieve a reduced emission limit in a locomotive 

application may be eligible for funding on a case-by-case basis. 

(E) Baseline emissions reflect the emissions tier level required by federal 

locomotive remanufacture standards; i.e., the baseline emissions are the 

required remanufacture standard, which may not be the certification 

standard of the baseline locomotive.
As of 7/11/14 11 - 8 LOCOMOTIVES

(1) Class 1 and passenger railroad use the emission rates associated with the 

federally required remanufacture tier see Table 11-4 and Appendix D,

Table D-17b. 

(2) Class 3 and small passenger locomotives use the uncontrolled emission 

rates in Appendix D, Table D-17a, unless the locomotive engine has 

already been upgraded to emit at a cleaner (Tier 0-2) emission level. In 

this case, baseline emissions would reflect existing engine Tier emission 

rate as indicated in Appendix D, Table D-17a or D-17b. 

(F) The U.S. EPA Certificate of Conformity (such as that shown in 

Appendix E, Figure E-2) identifies the applicable locomotive models and 

model years for which the remanufacture kit may be used, as well as the 

engine family used to verify the emission rate associated with the 

remanufacture kit. Emission reductions and cost effectiveness calculations 

shall use the factors from the Tier to which the kit is certified. 

(G) The eligible costs for a Carl Moyer Program remanufacture kit or repower 

project include only (1) those items the Certificate of Conformity identifies 

as being part of the rebuild kit and (2) those the certificate indicates must 

be contained in the base engine. Each of these specific items on the 

Certificate of Conformity must be individually itemized in the project 

invoice. Typical eligible costs of the remanufacture kit may also include 

the following items: camshafts, injectors, power assemblies (including 

piston rings, cylinder lines and cylinder head pistons), engine CPU, engine 

software, aftercoolers, heat exchangers (including radiators and oil 

cooler), cooling circuits, cooling fans, microprocessor, fuel injectors, oil 

separator element, governor, water, cooling, and scavenging pumps and 

pump installation kits, top deck cover seals, rocker arm sets, valve 

bridges, rod bearing sets, top deck cover seals, blower thrust valves, 

lower liner inserts, and locomotive control system software. Other items 

may be eligible for funding on a case-by-case basis. 

(H) Project life:

(1) Remanufacture kit projects have a maximum project life of six years. A 

longer project may receive case-by-case approval if applicants provide 

justifying documentation. If fuel injectors are required to be replaced by 

the U.S. EPA Emissions Warranty for the project kit before the end of the 

project life, the applicant must commit via contract to replace the injectors 

as required with equivalent low-emission injectors. The Carl Moyer 

Program project cost may include funds for the replacement injectors. 

The project annual reports must include documentation that all required 

maintenance identified in the U.S. EPA Emissions Warranty is completed 

on schedule. Maintenance other than replacement of low-emission fuel 

injectors is not eligible for Carl Moyer program funding. 
As of 7/11/14 11 - 9 LOCOMOTIVES

(2) The maximum project life for a locomotive refurbishment project is 

10 years if the new engine does not meet current federal new locomotive 

standards and 20 years if it meets or is cleaner than required by these 

standards. 

5. Retrofit

Retrofits involve hardware modifications to the engine or exhaust system to reduce 

emissions, and include selective catalytic reduction, diesel oxidation catalysts or 

diesel particulate filters. Other retrofit projects may be eligible for funding on a caseby-case basis. 

(A) A retrofit device must be ARB- verified to reduce emissions from the 

project engine in order to be eligible for funding. 

(B) Up to 100 percent of the total cost of a locomotive retrofit project is eligible 

for Carl Moyer Program funding.

6. Head End Power Unit (HEP)

(A) HEP replacement is eligible on a case-by-case basis. 

(B) The baseline engine must be certified to the applicable off-road standard 

at the time of manufacture.

(C) The replacement engine must use the cleanest engine available. 
As of 7/11/14 12 - 1 MARINE VESSELS

Chapter 12: MARINE VESSELS

This chapter describes the minimum criteria and requirements for Carl Moyer Program 

marine vessel projects. Air districts may set more stringent requirements based upon 

local priorities.

A. Projects Eligible for Funding

Air Resources Board (ARB or the Board) has adopted two regulations that impact 

funding opportunities for marine vessel projects: 1) Amendments to the Regulations to 

Reduce Emissions from Diesel Engines on Commercial Harbor Craft Operated Within 

California Waters and 24 Nautical Miles of the California Baseline (Commercial Harbor 

Craft regulation or CHC) and 2) Regulations to Reduce Emissions from Diesel Auxiliary 

Engines on Ocean-Going Vessels While At-Berth at a California Port (Shore Power 

Regulation). There are limited funding opportunities for marine vessels subject to these 

regulations. 

Table 12-1 

Summary of Funding Opportunities

Project Type Subject to ARB Rule Moyer Funding 

Opportunities1

Vessels subject to 

Commercial Harbor Craft 

Regulation Schedules for 

Meeting Tier 2 or Tier 3 

Standards (ex: barge, crew & 

supply, dredge, excursion, 

ferry, towboat, tugboat) - 

engine repower, 

remanufacture, retrofit or new 

purchase

Commercial Harbor Craft 

Regulation2

Limited opportunity

Vessels not subject to 

Commercial Harbor Craft 

Regulation Schedules for 

Meeting Tier 2 or Tier 3 

Standards (ex: fishing vessel 

or pilot/work boat) - engine 

repower, remanufacture, 

retrofit or new purchase

No Not limited by regulation

Shore power - shore-side Shore Power Regulation3 Very limited opportunity

Shore power - vessel retrofit Shore Power Regulation3 Limited opportunity

1 Limited opportunities means a fleet’s compliance status with the ARB regulation must be determined. Contact air 

district Moyer Program staff or consult CHC regulation Carl Moyer Implementation Charts at: 

http://www.arb.ca.gov/msprog/moyer/guidelines/supplemental-docs.htm in addition to these guidelines. 2 Harbor Craft Regulation: http://www.arb.ca.gov/ports/marinevess/harborcraft.htm 3 Shore Power Regulation: http://www.arb.ca.gov/ports/shorepower/shorepower.htm
As of 7/11/14 12 - 2 MARINE VESSELS

Project Types: 

1. Engine Repower: Replacing an old vessel engine with a newer, lower emission 

engine. Limited opportunities remain for those vessel engines subject to the 

in-use compliance requirements of the CHC regulation. Repower must be 

completed at least three years prior to the vessel’s in-use compliance date. 

Based on the vessel’s operation, the newer engine’s emissions must be surplus 

to the currently required United States Environmental Protection Agency 

(U.S. EPA) marine engine emission standard (i.e., Tier 2 or cleaner).

Remanufacture Kit: Kits are comprised of engine component parts that, when 

installed, reduce the engine’s emissions. Limited Moyer funding opportunities

remain for those vessel engines subject to the in-use compliance requirements of 

the CHC. Remanufacture must be completed at least three years prior to the 

vessel’s in-use compliance date. 

2. Retrofit Device: The installation of an ARB verified diesel emission control 

strategy (VDECS). This project type will be considered for funding on a case-bycase basis. 

3. New Purchase: New marine vessels with propulsion and auxiliary engines 

certified to be at least 30 percent cleaner than the applicable oxides of 

nitrogen (NOx) emission standard are eligible for Carl Moyer Program funding on 

a case-by-case basis. 

4. Shore Power Projects: Due to regulatory compliance deadlines, all shore-side 

shore power projects within port locations subject to the regulation must be 

completed and operational prior to January 1, 2014. Ship-side shore power 

projects will not be eligible after this date unless the applicant can demonstrate 

that it will be surplus to the implementation requirements of ARB’s Shore Power 

Regulation. Shore-side projects meeting the eligibility criteria of the Proposition 

1B Goods Movement Program are eligible for Carl Moyer Program funding only 

on a case-by-case basis. Carl Moyer Program funds cannot be commingled with 

Proposition 1B Goods Movement Program funds. 

Please see Section C (Project Criteria) for detailed minimum eligibility requirements. 

B. Maximum Eligible Funding Amounts

Table 12-2 summarizes the maximum eligible funding for each project type. All projects 

are also subject to the cost-effectiveness threshold defined in Appendix G. 
As of 7/11/14 12 - 3 MARINE VESSELS

Table 12-2 

Maximum Project Costs Eligible for Carl Moyer Program Funding

Project Type Maximum

Vessels subject to 

Commercial Harbor Craft 

Regulation Schedules for 

Meeting Tier 2 or Tier 3 

Standards (ex: barge, 

crew & supply, dredge, 

excursion, ferry, towboat, 

tugboat)

Engine repower or 

remanufacture kit 

50 percent

Vessels not subject to 

Commercial Harbor Craft 

Regulation Schedules for 

Meeting Tier 2 or Tier 3 

Standards (ex: fishing, 

pilot, work boat)

Engine repower or 

remanufacture kit 

compliant to EPA marine 

Tier 2 emission level

80 percent

Compliant to EPA marine 

Tier 3 emission level

85 percent

Any vessel propulsion engine repower with an off-road 

Tier 2 or cleaner certified engine

Case-by-Case Basis

ARB Verified Marine Retrofit Device Case-by-Case Basis

New Vessel Purchase Case-by-Case Basis

Shore power – shore-side 50 percent of transformer & 

other equipment between 

the vessel and transformer

Shore power – ship-side 100 percent of retrofit cost; 

50 percent of transformer 

cost

C. Project Criteria

The minimum qualifications for marine vessels are listed below. All projects must also 

conform to the requirements in Chapter 2: General Criteria, and in Chapter 3: Program 

Administration. Participating air districts retain the authority to impose additional 

requirements in order to address local concerns.

1. General Marine Project Criteria

(A) To be eligible for Carl Moyer Program funding, an applicant for harbor 

craft funding must have a United States Coast Guard Documentation 

Number, except in cases where such documentation is not required (such 

as fishing boats constructed outside the United States, vessels of less 

than five net ton displacement, or vessels owned by non-United States 

citizens). In such cases, the applicant must include with the application 

documentation at least one of the following:
As of 7/11/14 12 - 4 MARINE VESSELS

(1) A valid California vessel registration (CF) number and a copy of the 

California Department of Fish and Game license can be provided instead 

of a Coast Guard Documentation Number. 

(2) The vessel’s Lloyd’s/International Maritime Organization (IMO) number for 

an oceangoing vessel that does not have any of the above documentation. 

(B) Both propulsion and auxiliary engines are eligible for Carl Moyer Program 

funding.

(C) Only marine vessel activity in 

California coastal waters and 

internal waters may be used 

to determine project emission 

reductions. Figure 12-1 

depicts the boundary of 

California coastal waters 

(defined as that area between 

the California Coastline and a 

line starting at the CaliforniaOregon border at the Pacific 

Ocean, thence to 42.0°N 

125.5°W, thence to 41.0°N 

125.5°W, thence to 40.0°N 

125.5°W, thence to 39.0°N 

125.0°W, thence to 38.0°N 

124.5°W, thence to 37.0°N 

123.5°W, thence to 36.0°N 

122.5°W, thence to 35.0°N 

121.5°W, thence to 34.0°N 

120.5°W, thence to 33.0°N 

119.5°W, thence to 32.5°N 

118.5°W, and ending at the 

California-Mexico border at 

the Pacific Ocean). 

(D) Non-captive California fleets and vessels may be considered for funding 

on a case-by-case basis if their operation in California coastal waters can 

be properly documented.

(E) Funding is not available for projects where spark-ignition engines are 

replaced with diesel engines. Repowering a diesel engine to a sparkignited engine may be considered on a case-by-case basis. 

Figure 12-1

California Coastal Water 

Boundaries
As of 7/11/14 12 - 5 MARINE VESSELS

(F) Only marine engines equal to or greater than 25 horsepower are eligible 

for Carl Moyer Program funding.

(G) Harbor craft engines less than 50 horsepower are exempt from the in-use 

compliance requirements of the Harbor Craft Regulation. These engines 

are considered surplus.

(H) Engines on marine vessels with wet exhaust systems are eligible for 

Carl Moyer Program funding if the project vessel meets all other 

applicable program requirements. The wet exhaust systems themselves 

are not eligible for Carl Moyer Program funding. A wet exhaust factor of 

0.80 must be applied to the baseline and reduced emission propulsion and 

auxiliary engine emission calculations for all projects on vessels with wet 

exhaust systems. 

(I) New engines must be installed and operational at least three years prior to 

the compliance deadline specified by the CHC regulation. Project life for 

an engine cannot extend beyond that engine’s compliance deadline. For 

compliance deadlines, see implementation charts at: 

http://www.arb.ca.gov/msprog/moyer/guidelines/supplemental-docs.htm. 

(J) Air districts have the option of calculating the project cost-effectiveness on 

a per vessel basis. 

(K) Carl Moyer Program funding can be based on engine hours or fuel use. 

All harbor craft vessels are required to install and maintain a functioning 

hour meter as required by the Commercial Harbor Craft Regulation. 

Hours of operation are the preferred basis for project cost-effectiveness 

calculations and eligibility. Air districts have the option of requesting and 

utilizing historical fuel usage. This data must be based on the previous 

two years of historical fuel usage documentation specific to the vessel 

being funded. Acceptable forms of documentation may include fuel logs, 

purchase receipts or ledger entries. Grant funding that is based on 

historical fuel usage may not exceed the grant funding amount that would 

be based on hours of operation; the more conservative calculation must 

be used. 

(L) Owners and operators of engines subject to the Commercial Harbor Craft 

Regulation must include a copy of the most recent Initial Report in their 

project application. The reporting requirements are outlined under 

California Code of Regulations, title 17, section 93118.5(h)(1).

2. Repower

Repower projects involving the replacement of an older harbor craft engine with a 

newer, cleaner engine must meet the following criteria:
As of 7/11/14 12 - 6 MARINE VESSELS

(A) All new engines and replacement engines purchased for Carl Moyer 

Program marine vessel repower projects must meet the requirements of 

the Commercial Harbor Craft Regulation set forth under California Code of 

Regulations, title 17, sections 93118.5(e). The regulation includes 

requirements for newly acquired engines and requirements for 

replacement engines in vessels subject to the schedules to meet Tier 2 

and Tier 3 standards. Use of an off-road certified engine must adhere to 

the requirements set forth under California Code of Regulations, title 17, 

sections 93118.5(e)(3) and (e)(4), especially the marinization 

requirements set forth in Code of Federal Regulations, title 40, part 

1042.605. Project proposals for repower of propulsion engines with 

off-road engines will be considered on a case-by-case basis.

(B) For all marine engine repower projects, the replacement engine must 

provide at least a 15 percent NOx reduction relative to the baseline 

engine. The replacement engine cannot be significantly modified or 

reconfigured in any way during the project life. 

(C) The maximum project life for a marine vessel repower project is 16 years. 

A longer project may receive case-by-case approval if applicants provide 

justifying documentation. The maximum project life does not consider 

regulatory requirements and may be shorter.

(D) The total project repower cost may include charges for the following:

(1) The capital cost of the new engine.

(2) Purchase of or modifications to the cooling system; fuel and exhaust 

system; wiring, panel, and harness system; power take-offs; propulsion 

control system; gauges and alarms; and radiator and ventilation, if 

attached to or integral to the functioning of funded engine.

(3) Costs related to the purchase and/or installation of a new transmission 

may be eligible when it is a necessary part of the engine repower; and an 

ineligible expense when it is required for maintenance or repair purposes. 

Ordinarily, a statement from the vendor or applicant that the new reduced 

emissions engine is not compatible with the existing baseline transmission 

is sufficient justification for eligibility; please retain a copy of the vendor or 

applicant’s statement(s) or other documentation in the project file. 

(4) Frames needed to be extended or other parts needed to be cut or 

modified in order to accommodate the new engine, as well as paint or 

coating needed to protect those specific areas that were cut or modified.

(5) Tax and transport for eligible parts or costs.
As of 7/11/14 12 - 7 MARINE VESSELS

(6) Labor for installation of or modification to parts eligible for funding.

(E) The total project repower cost may not include charges for the following:

(1) Rudders or propellers.

(2) Steering system.

(3) Sea trials and dry docking.

(4) Paint, coatings, or hull work not directly related to the engine repower.

(5) Tax and transport for ineligible parts or costs.

(6) Labor for installation of or modification to parts ineligible for funding.

(7) Any parts or labor typically included as part of the vessel or engine 

overhaul, maintenance, repair, or upkeep. 

(8) These and other items may be eligible for funding on a case-by-case basis 

if it can be proven that they are not part of the typical vessel overhaul,

repair, upkeep or maintenance and are a necessary part of the engine 

repower.

(F) All engines replaced as part of a marine vessel repower project must be 

scrapped, consistent with the requirements of Chapter 3: Section BB.

3. Engine Remanufacture Kit 

Engine remanufacture kit projects must meet the following criteria:

(A) A remanufacture kit for a specific vessel type may be certified by the 

U.S. EPA, IMO, or approved by ARB to meet the requirements of the 

Commercial Harbor Craft Regulation, but must be surplus to the current 

in-use requirements of Commercial Harbor Craft Regulation.

(1) Engine remanufacture kits specific to vessels not subject to the in-use 

requirements of the Commercial Harbor Craft Regulation must meet 

U.S. EPA Tier 2 marine or Tier 2 nonroad engine emission standards or 

cleaner (e.g., Tier 3 or higher). 

(2) Engine remanufacture kits specific to vessels subject to the in-use 

requirements of the Commercial Harbor Craft Regulation must be surplus 

to the current requirements of the regulation.
As of 7/11/14 12 - 8 MARINE VESSELS

(B) The applicant must provide a copy of the regulatory compliance letter from 

ARB (similar to an Executive Order) to the air district demonstrating that 

the remanufacture kit is compliant with the Commercial Harbor Craft 

Regulation. Remanufacture kits which reduce NOx only are not eligible 

for Carl Moyer Program funding.

(C) Remanufacture kit projects have a maximum project life of six years.

(D) If the U.S. EPA Emissions Warranty for the project kit requires fuel 

injectors to be replaced before the end of the project life, the applicant 

must replace the injectors with equivalent low-emission injectors. The 

Carl Moyer Program project cost may include the replacement injectors. 

The project annual report must include documentation that all required 

maintenance identified in the U.S. EPA Emissions Warranty (if applicable) 

is completed on schedule. Maintenance other than replacement of lowemission fuel injectors is not eligible for Carl Moyer Program funding.

4. Retrofits: Retrofits include selective catalytic reduction, diesel oxidation catalysts 

or diesel particulate filters. A retrofit device must be verified by ARB to reduce 

emissions from the project engine in order to be eligible for funding. This project 

type will be considered for funding on a case-by-case basis.

5. New Purchase

New marine vessels with propulsion and auxiliary engines certified to be at least 30 

percent cleaner than the applicable NOx emission standard are eligible for Carl 

Moyer Program funding on a case-by-case basis. While no marine vessel 

propulsion engines currently are certified as such, engines meeting these emission 

limits may become commercially available as engine technologies continue to 

advance. 

(A) The incremental cost for a marine vessel new purchase project is the 

difference between the cost of the cleaner-than-required vessel and the 

cost of a similar vessel that meets existing standards. 

(B) New purchase of a ferry is not eligible for Carl Moyer Program funding due 

to the ARB Harbor Craft Regulation requirement that new ferries utilize the 

Best Available Control Technology.

6. Shore Power (Cold Ironing)

(A) Only a port authority, terminal operator, or marine vessel owner may apply 

to receive Carl Moyer Program funding for a shore power project.

(B) Applications for Carl Moyer Program funding of shore power projects must 

include a copy of the Initial Terminal Plan, as identified in Section (g) of 
As of 7/11/14 12 - 9 MARINE VESSELS

the Shore Power Regulation. All subsequent project reports to air districts 

must include any new or updated Terminal Plans in order to evaluate 

compliance with the project contract.

(C) The commitment of visits and hours made by the applicant, above those 

required by the Shore Power Regulation, must be used in the project costeffectiveness calculation and is required in the contract between the 

applicant and the air district. 

(1) For shore-side funding – The fleet of vessels that have been retrofitted 

and have the ability to use the port or terminal’s shore-side shore power 

committing to a specific number of visits and hours.

(2) For ship-side funding – The entire fleet roster and all the California ports of 

harbor the fleet will be visiting. From the locales submitted, the fleet must 

indicate per location, the number of vessel visits and hours per year the 

fleet will be utilizing shore-side power.

(D) Up to 50 percent of the total cost of a shore-side transformer and other 

equipment between the vessel and shore-side transformer at the port or 

terminal is eligible for Carl Moyer Program 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. All projects must be installed 

and operational prior to January 1, 2014. Projects at terminals and ports 

that are not subject to the Shore Power Regulation are not subject to the 

January 1, 2014 deadline and are eligible for funding at any time. 

(1) “Installed and operational” for a shore-side shore power project means 

that the customized equipment at the port or terminal has been installed 

and a vessel visit has occurred to demonstrate that the integrated system 

is operational, prior to January 1, 2014. If the first scheduled vessel visit 

does not occur until after this date, the project will be considered installed

and operational pending the scheduled visits occur as contracted.

(2) Shore-side projects meeting the eligibility criteria of the Goods 

Movement Program are eligible for Carl Moyer Program funding only on a 

case-by-case basis. Carl Moyer Program funds cannot be commingled

with Proposition 1B Goods Movement Program funds.

(3) Due to the lengthy project lead times required for shore-side shore power 

projects, the following minimum requirements must be met to consider the 

project expended:
As of 7/11/14 12 - 10 MARINE VESSELS

a. The necessary customized equipment for each location (e.g., port or 

terminal) has been procured and invoiced. Examples of eligible 

equipment include a transformer, grounding switches, a service 

breaker, a capacitor bank, and cranes or booms for cable management 

that have been customized for installation at the project location. 

b. The customized equipment is present on site and ready for installation. 

c. Seventy-five percent or more of the Carl Moyer Program-eligible 

customized equipment costs or total project costs (including costs 

borne by the applicant or local public utility), whichever is greater, has 

been paid by the expenditure deadline.

d. The Carl Moyer Program shall not pay for modifications or 

enhancements made to the shore-side electrical infrastructure needed 

to bring power to the terminal.

(E) 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 Carl Moyer Program funding. Up to 50 percent of any 

necessary transformer costs on board the vessel are eligible for Carl 

Moyer Program funding.

• Docking at ports or terminals funded by the Proposition 1B Goods 

Movement Program is not prohibited; however, vessel retrofits funded 

with Carl Moyer Program funds cannot claim emission reductions 

resulting from ship visits to ports or terminals during the active 

Proposition 1B Goods Movement Program contract period. 

(F) The Carl Moyer Program shall not pay for energy costs (fuel or electricity), 

shore power routine maintenance, or labor costs for connection and 

disconnection of the vessel to shore-side power.

(G) All contracts for Carl Moyer Program funding of shore power projects must 

include a stipulation that receipt of program funding is contingent on the 

project being post-inspected and operational. The project contract must 

include a provision that if the shore power is not used for the total hours 

committed to in the contract, the project participant shall return the prorated contract amount (commensurate with the shortfall in usage) to the 

air district. If the contract activity is not met, air districts may refer to 

Chapter 3 Section FF.4. to address this underutilization. However, the 

contract must include language prohibiting the grantee from obtaining a 

waiver from the contracted usage, specifically Section FF.4.(D). 
As of 7/11/14 12 - 11 MARINE VESSELS

(H) Shore power projects have a maximum project life of 20 years. A longer 

project may receive case-by-case approval if applicants provide justifying 

documentation. The maximum project life does not consider regulatory 

requirements and may be shorter. 

(I) Terminals using or intending to use the Equivalent Emission Reduction 

Option to demonstrate compliance with the Shore Power Regulation may 

be eligible for Carl Moyer Program funding on a case-by-case basis, if it 

can be demonstrated that the project shall achieve emission reductions 

surplus to the rule. 

(J) The emissions from vessels using grid power in lieu of auxiliary engines 

when the vessel is at berth are assumed to be reduced by 90 percent. 

The emission reductions from a shore-side transformer project are 

calculated as the total emission reductions from each participating ship. 

Each ship’s emission reductions calculated as: (Ship emission rate * 

berthing time * power requirements * number of visits * 0.9). 

Estimated berthing time shall include the time needed to connect and 

disconnect the vessel to shore power. Ship emission rates and power 

requirements are included in Appendix D. 
As of 7/11/14 13 - 1 LIGHT-DUTY VEHICLES

Chapter 13: LIGHT-DUTY VEHICLES

This chapter describes the minimum criteria and requirements for Carl Moyer Program 

light-duty vehicle projects.

A. Projects Eligible for Funding

Two types of light-duty vehicle projects are eligible for Carl Moyer Program funding: 

voluntary accelerated vehicle retirement (VAVR) and voluntary repair of vehicles (VRV). 

Air districts may choose either or both projects to administer. The Bureau of Automotive 

Repair (BAR) also administers vehicle repair and retirement projects under their 

Consumer Assistance Program (CAP). Both the Carl Moyer Program and CAP projects 

are administered and operated in a consistent manner but accept vehicles at different 

times within the Smog Check cycle. Generally, the Carl Moyer Program accepts 

vehicles that have passed their last Smog Check test while CAP accepts vehicles that 

have either passed or failed their most recent Smog Check test. 

1. VAVR: VAVR projects scrap older, more-polluting vehicles earlier than their 

expected lifetime that are still operational and have a useful remaining life. Two 

types of VAVR projects are allowed: conventional and high-emitting vehicles.

2. VRV: VRV projects achieve surplus emission reductions by funding repairs that 

would not have occurred otherwise or by accelerating repairs so they occur early. 

To qualify, a vehicle must be outside of its biennial Smog Check window and 

must be identified as a high-emitting vehicle, avoiding the creation of a 

disincentive for routine vehicle maintenance.

To be eligible for high-emitting vehicle VAVR or VRV projects, a vehicle’s Smog Check 

test must exceed the pass/fail emission standard for the vehicle’s model year and class. 

Vehicles with emissions below the pass/fail standards may still be retired and receive 

emission reductions through a conventional VAVR project. Retirement of a highemitting vehicle results in emission reductions above those generated by a conventional 

program.

B. Maximum Eligible Funding Amounts

Light-duty vehicle retirement projects are subject to the Moyer Program costeffectiveness threshold and must meet all other relevant criteria in Section D of this 

chapter. Air districts have the authority to set more stringent project requirements.

C. Regulatory Background

Light-duty vehicle retirement projects are subject to the requirements of the Voluntary 

Accelerated Vehicle Retirement Regulation (VAVR Regulation), Cal. Code Regs., tit. 13, 

§§ 2601 et seq. Air districts may choose to act as the enterprise operator in lieu of 
As of 7/11/14 13 - 2 LIGHT-DUTY VEHICLES

contracting out this work to a third party. However, costs incurred by the District to 

perform the duties of the enterprise operator shall be considered administrative costs. 

Light and medium-duty vehicle projects funded through AB923 are authorized by Health 

and Safety Code Section 44229 which states in subsection (b)(4) that these projects 

must be in compliance with guidelines adopted by ARB. This chapter constitutes ARB’s 

adopted guidelines for light-duty projects.

D. Project Criteria

These criteria provide the minimum requirements for Carl Moyer Program light-duty 

vehicle projects. All projects must also conform to Chapter 2: General Criteria, as well 

as the project application, contract, reporting, and other requirements as described in 

Chapter 3: Program Administration. Participating air districts retain the authority to 

impose additional or more restrictive requirements to address local concerns.

Vehicle Eligibility Requirements

1. Participation shall be entirely voluntary for vehicle owners.

2. The vehicle must be a diesel or gasoline-powered passenger car or light-duty 

truck up to 10,000 pounds gross vehicle weight.

3. The vehicle must be currently registered with the Department of Motor Vehicles 

(DMV) as an operating vehicle and must have been registered for at least 

24 consecutive months prior to the date of the sale to a VAVR enterprise or the 

date of repair to an address, or addresses, within the air district in which the 

VAVR enterprise or VRV program is operated. Smog Checks must be performed 

as required by DMV in order for the vehicle to be considered registered. 

Currently, diesel-powered vehicles are exempt from Smog Check and are not 

required to pass a Smog Check test to be eligible.

(A) A vehicle may also be eligible if the owner of the vehicle placed the 

vehicle in planned non-operational status per Vehicle Code sections 4604 

et seq., for up to two months during the 24 month registration period and 

occurring at least three months immediately prior to its sale to the VAVR 

enterprise or repair date. 

(B) It may also be eligible if the registration has lapsed for a period not to 

exceed six months during the previous 24 months and all appropriate 

registration fees and late penalties have been paid to DMV, provided that 

the vehicle is registered for at least three months immediately prior to its 

sale date to a VAVR enterprise or repair date. 

4. The vehicle shall be driven to the VAVR enterprise purchase site to be retired or 

to the VRV repair station for repair under its own power.
As of 7/11/14 13 - 3 LIGHT-DUTY VEHICLES

5. Vehicles whose emission control systems have been tampered with as defined in 

Cal Code Regs., tit. 16, § 3340.41.5. are not eligible until such tampering has 

been completely corrected.

6. Only vehicles identified as potential high emitters through a technology operated 

in accordance with the VAVR Regulation and approved by ARB are eligible for 

VRV projects or to receive extra emission reduction credit for VAVR projects. 

Diesel-powered vehicles are not eligible for high emitting vehicle VAVR or VRV 

projects.

7. For high-emitting vehicle projects, the vehicle must receive a confirmatory Smog 

Check test to establish its baseline emissions, and the emissions must exceed 

the pass/fail emission standard for the model year and vehicle class as defined in 

Cal Code Regs., tit. 16, §3340.

(A) Certain vehicles, such as four-wheel and all-wheel drive vehicles, cannot 

be tested by the Acceleration Simulation Mode (ASM) Smog Check test, 

for safety or other mechanical reasons. In those limited cases, the Two 

Speed Idle (TSI) test may be used. The TSI test must be performed in 

strict compliance with BAR protocols and the emission rate calculation 

methodology described in “Techniques for Estimating IM240 and FTP 

Emission Rates from Two-Speed Idle Emissions Concentrations”, 

May 10, 2001, Technical Notes, Bureau of Automotive Repair.

(B) If a vehicle’s emissions are below the ASM pass/fail emission standards, 

the vehicle is not a high emitter and does not quality for high emitter 

projects but may be retired for default emission reductions through a 

conventional VAVR project.

(C) For pre-1974 model years, the pass/fail emission standards for the 

1974 model year may be used to qualifying vehicles for the project.

(D) Smog Check tests must be full tests and not “fast pass” tests. The test 

must only be conducted by BAR-licensed technicians according to BAR 

regulations and procedures and completed as close to the retirement or 

repair time as reasonably possible.

E. Additional Vehicle Eligibility Requirements for VAVR Only

1. The vehicle to be retired shall not be operating under a Smog Check repair cost 

waiver or economic hardship extension.

2. If a vehicle volunteered for retirement is within 60 days of its next required Smog 

Check inspection, the vehicle shall pass the inspection without receiving a repair 
As of 7/11/14 13 - 4 LIGHT-DUTY VEHICLES

cost waiver or economic hardship extension prior to acceptance by a VAVR 

enterprise operator.

3. If a vehicle volunteered for retirement is within 61-90 days of its next required 

Smog Check inspection, the air district shall verify that the vehicle has not failed 

a Smog Check inspection during this time frame.

4. The vehicle shall pass functional and equipment eligibility inspections as 

specified in the VAVR Regulation.

F. Additional Vehicle Eligibility Requirements for VRV Only

1. All repairs must be completed at least 91 days prior to the vehicle’s next biennial 

Smog Check test.

2. Vehicles covered under their manufacturer’s warranty period are not eligible. 

Warranty requirements are found in Cal Code Regs., tit. 13, §§ 1961 and 2035 et 

seq..

3. Vehicles registered to non-profit organizations, fleets, or businesses are not 

eligible.

4. A vehicle may only be repaired once in its lifetime through a VRV project.

G. VRV Project Requirements

1. Only emission-related repairs are fundable through a VRV project.

2. To receive emission reduction credit, the repair must bring the vehicle’s 

emissions into compliance with the Smog Check emissions standards for the 

vehicle’s model year and class. If a vehicle’s emissions exceed the standards 

after the repairs, no repair costs are creditable or fundable.

3. The vehicle’s legal owner must provide advanced written approval authorizing 

the diagnosis and all repairs. The owner must be provided a final invoice 

detailing the cost of parts, labor, and tax for the repair consistent with the 

Automotive Repair Act.

4. Smog Check technicians and stations must comply with all California laws and 

regulations governing automotive repairs, and vehicles must only be diagnosed 

and repaired by Smog Check technicians at Smog Check stations both licensed 

by BAR.

5. If tampering is discovered during the pre-repair test or diagnosis, the technician 

must stop the test, diagnosis, or repair and inform the air district of the tampering. 

Tampered vehicles are not eligible for VRV projects until the tampering is 

completely corrected.
As of 7/11/14 13 - 5 LIGHT-DUTY VEHICLES

6. Service technicians must follow a systematic diagnostic approach according to 

standard industry protocols that obtains relevant data about the vehicle’s engine 

and emission control system based on the type of emission-related Smog Check 

failure.

(A) A systematic approach includes a diagnostic routine that provides 

sufficient data to diagnose and repair emission failures in a cost-effective 

and efficient manner. Data may include, but not limited to, compression 

readings, leak down percentages, intake manifold vacuum readings, scan 

tool data, condition of grounds, other electrical connections along with 

wiring, oxygen sensor testing, and other industry accepted factory testing 

procedures. Vehicle manufacturer diagnostic and repair procedures take 

precedence over generic procedures.

(B) The diagnosis must ensure that the vehicle’s engine is in good mechanical 

condition before repairing and include an inspection of basic engine 

operation (i.e., fuel control, individual cylinder contribution, cylinder seal, 

internal engine noises, oil burning, etc.) and a complete visual inspection. 

All defects must be noted.

(C) Diagnostic strategies must maximize emission reductions for repair funds 

spent. Technicians must not perform diagnostic strategies and repairs 

that would result in short term or minimal emission reductions.

7. The technician must document all serviceable and defective emission related 

parts and systems found during the diagnosis and repair process and must 

provide the documentation to the air district. The air district must retain a copy. 

An example of a standardized diagnostic form is provided in Figure 13-1. Other 

tests may be required to completely diagnose emission failures.

8. If a vehicle repair requires catalytic converter replacement, the replacement must 

either be a new aftermarket catalytic converter certified by ARB for use on 

OBDII-equipped vehicles or an original equipment manufacturer (OEM) catalytic 

converter. No used, recycled, salvaged, rebuilt, or remanufactured aftermarket 

or OEM catalytic converter may be installed under a VRV project.

9. The repair invoice must detail each repair and associated cost, in accordance 

with all applicable automotive repair laws and regulations, before the invoice is 

paid.

10.The air district must designate a qualified staff person or third party unaffiliated 

with the Smog Check station to process disagreements that may arise between 

the vehicle owner and the repair station. The contact information for that person 

must be made available to all vehicle owners who participate in the project.
As of 7/11/14 13 - 6 LIGHT-DUTY VEHICLES

H. Emissions Measured by the Two Speed Idle Test

1. Certain vehicles, such as four-wheel and all-wheel drive vehicles, cannot be 

tested by the ASM Smog Check for safety or other mechanical reasons. In those 

limited cases, the TSI test may be used. The TSI test must be performed in strict 

compliance with BAR protocols and the emission rate calculation methodology 

described in “Techniques for Estimating IM240 and FTP Emission Rates from 

Two-Speed Idle Emissions Concentrations,” May 10, 2001, Technical Notes, 

Bureau of Automotive Repair. 

2. Consistent with the model’s limitations, TSI test results and the BAR protocol 

may only be used to predict ROG emissions, as the TSI test does not directly 

measure either PM or NOx. For high emitting vehicles that are retired, default 

evaporative ROG, NOx, and PM emission reductions may be claimed.

I. Air District Project Plan Requirements

1. An air district shall submit a detailed VAVR and/or VRV project plan to ARB for 

approval and must receive written approval from ARB’s Executive Officer (EO) 

prior to implementing a VAVR and/or a VRV project. The project must follow the 

plan, and any substantive changes must be pre-approved by ARB in writing.

2. The air district project plan shall include the following:

(A) The name, title, and telephone number of the air district project contact.

(B) An evaluation of environmental justice considerations including, but not 

limited to, outreach addressing community needs.

(C) An estimate of the number of vehicles to be retired and/or repaired and an 

estimate of the cost-effectiveness with all assumptions and calculations

used.

(D) Copies of contracts with VAVR enterprise operations, repair stations, 

consultants, and any other contractor(s) participating in the project.

(E) A description of and timetable for monitoring and auditing enterprise 

operations, repair stations, consultants, and other contractors.

(F) A copy of the statement of certification that a VAVR enterprise operator 

has demonstrated compliance with all applicable provisions of the VAVR 

regulation.
As of 7/11/14 13 - 7 LIGHT-DUTY VEHICLES

(G) The protocol for verifying vehicle eligibility including confirmation of 

compliance with any Smog Check requirements and for informing the 

public of the availability of vehicles eligible to retire. 

(H) A sample of the records that will be required of the VAVR enterprise 

operator and/or repair stations.

(I) A description of project elements stricter than the ARB minimum 

requirements.

3. For high emitter programs, the air district project plan shall also include the 

following:

(A) A detailed description of the operation of the technology including software 

used to identify high emitting vehicles including, but not limited to, set up, 

typical operation, location and location criteria, calibration, and 

maintenance.

(B) A copy of the standard operating procedures for that technology including 

software maintenance and the criteria to be used to identify a high emitting 

vehicle with documentation that operating personnel are trained and 

qualified.

(C) A detailed description of the methodology used to calculate extra emission 

reductions, including changes to the ARB-recommended method. 

(D) If an air district intends to include an evaporative emissions testing 

element, the plan must specify the test equipment and include a copy of 

the test protocol.

(E) If an air district intends to include a PM measuring element, the plan must 

specify the test equipment and include verification that the methodology 

for measuring PM is scientifically valid, documentation that the results are 

reproducible, and a complete copy of the methodology.

(F) A scope of work for businesses performing vehicle testing and repairs 

including the diagnosis and repair protocols for cost-effective and durable 

repairs. (VRV only)

(G) An itemized breakdown of estimated project costs including, but not 

limited to, funds allocated to: identifying high emitters; vehicle retirement 

with the number of vehicles to be retired; vehicle repair with the number of 

vehicles to be repaired; data analysis; and outreach to and solicitation of 

vehicle owners.
As of 7/11/14 13 - 8 LIGHT-DUTY VEHICLES

J. Recordkeeping and Reporting

1. For each vehicle retired or repaired, the air district shall retain the following 

records for inclusion in the annual report to ARB.

(A) Vehicle Identification Number and License Plate Number

(B) Vehicle odometer reading

(C) Vehicle make and model

(D) Name, address, and phone number of legal vehicle owner(s)

(E) Name and business address of the VAVR enterprise operator or repair 

business

(F) Emission reductions claimed

(G) Total air district cost to retire or repair each vehicle

(H) Date of vehicle purchase and retirement by the enterprise operator (VAVR 

only)

(I) Date of repair and amount paid for and nature of each repair (VRV only)

(J) Pre and post-repair Smog Check test results (VRV only)

(K) Data identifying vehicles as potential high emitters along with confirmatory 

Smog Check test results and date of Smog Check test (High Emitter 

VAVR or VRV)

(L) Due date of next biennial Smog Check test (VRV only)

2. For VAVR programs, the enterprise operator shall maintain the following records. 

These records are not required for the annual report but must be made available 

to ARB for review.

(A) Reproduction of California Certificate of Title and registration, as signedoff by the seller at time of final sale to the VAVR enterprise.

(B) Reproduction of the applicable certificate of functional and equipment 

eligibility.

(C) Reproduction of the applicable Notice to Dismantler (DMV 

Registration 42 form).

(D) Reproduction of written documentation from DMV verifying that a vehicle 

meets the vehicle registration requirements of ARB’s VAVR Regulation.

(E) If a retired vehicle is within 60 days of its next required Smog Check 

inspection, a reproduction of documentation that the vehicle passed its 

Smog Check inspection.

3. Air districts and enterprise operators shall retain these records for the life of the 

project plus an additional 2 years.

K. Minimum Project Application Requirements
As of 7/11/14 13 - 9 LIGHT-DUTY VEHICLES

Air districts must ensure project applications include the specific information needed to 

determine project eligibility and populate the Clean Air Reporting Log, including the 

information needed to track the project and calculate project cost-effectiveness.

L. Offering Vehicles/Parts to the Public (VAVR only)

1. Enterprise operators must inform the air district of the vehicles ready for 

dismantling, and the air district must provide an easily accessible and detailed 

description of the vehicles to interested parties including collectors and 

enthusiasts.

2. The enterprise operator must wait a minimum of 10 days before submitting a 

Notice to Dismantle to DMV, and if an interested person contacts the enterprise 

operator, the enterprise operator must hold the vehicle for at least another seven 

days. 

3. Engine, emission-related parts, transmission, and drive train parts must be 

removed from the vehicle and destroyed after the 10 day waiting period but prior 

to offering the remaining parts for sale, as defined in the VAVR regulation.

4. If a vehicle or its emission-related or drive train parts are sold instead of retired, 

no emission reductions will be generated, and no Carl Moyer Program funds may 

be used for retiring the vehicle; however, non-emission-related and non-drive 

train parts from the vehicle may be sold at the sole discretion of the enterprise 

operator. 

M. Emission Benefits

Emission reductions from conventional VAVR projects are calculated using the 

VAVR Regulation methodology. They are equal to the retired vehicle’s emission 

rates minus those of the replacement vehicle with the difference multiplied by the 

average vehicle miles traveled by light duty vehicles in the year of vehicle 

retirement and by the three year project life. The retired vehicle’s emission rates 

are equal to those for gasoline-powered, light-duty vehicles for the model year of 

the retired vehicle in the year of vehicle retirement. Replacement vehicle 

emissions are the fleet average emissions for all gasoline-powered light-duty 

vehicles for model years 1990 through the year of vehicle retirement. Emission 

rates and average vehicle miles traveled are generated by ARB’s motor vehicle 

emissions model. NOx, ROG, CO, and PM emission reductions over the three 

year project life by vehicle model year are located in Tables 13-1, 13-2, and 13-3, 

13-4 and 13-5 below. These tables will be updated on an as needed basis 

through a mail-out to reflect revisions to the motor vehicle emissions model 

and/or to include additional years.
As of 7/11/14 13 - 10 LIGHT-DUTY VEHICLES

Table 13-1 

Retired Vehicle Emission Reductions, CY 2011 (lbs/3yr)

MY ROG CO NOx PM10

Exhaust Evap Total Exhaust Exhaust Exhaust

pre 1968 285.7 232.7 518.4 3241.1 176.8 0.72

1968 293.2 236.8 530.0 3328.7 181.3 0.73

1969 300.8 240.0 540.8 3417.6 186.5 0.75

1970 307.4 172.6 480.0 3534.1 192.5 0.77

1971 321.8 169.8 491.5 3543.1 194.6 0.79

1972 336.8 166.6 503.4 3561.3 197.0 0.80

1973 344.7 168.8 513.5 3590.1 198.7 0.82

1974 344.2 134.3 478.5 3515.7 188.9 0.84

1975 290.5 123.5 414.1 3527.3 184.0 1.05

1976 216.3 113.8 330.1 4117.4 193.0 1.15

1977 216.5 92.1 308.6 4165.6 195.9 1.17

1978 122.0 92.8 214.7 2871.5 129.2 1.32

1979 110.5 91.0 201.4 2135.9 119.3 1.42

1980 98.0 69.3 167.3 1855.5 115.6 1.35

1981 83.8 64.8 148.6 1438.5 91.4 1.66

1982 76.4 60.4 136.8 1376.8 92.6 1.64

1983 60.4 57.3 117.7 1176.8 91.4 1.45

1984 57.5 51.1 108.5 1180.4 95.9 1.27

1985 47.6 46.8 94.4 864.0 91.2 1.39

1986 45.2 42.6 87.9 812.2 91.1 1.43

1987 42.4 59.1 101.5 743.9 87.3 1.34

1988 37.0 67.6 104.6 645.9 83.5 1.30

1989 39.9 61.0 101.0 709.4 74.2 1.29

1990 40.4 55.5 95.9 717.8 62.9 1.22

1991 40.7 43.8 84.5 718.9 68.5 1.24

1992 41.0 42.1 83.1 715.0 70.0 1.23

1993 34.5 40.5 75.0 529.2 66.9 1.23

1994 25.8 38.0 63.9 335.1 56.8 1.20

1995 20.9 32.1 53.0 225.3 42.8 1.12

1996 16.1 24.3 40.4 198.7 31.2 1.04

1997 14.4 17.1 31.5 197.1 28.1 0.98

1998 9.3 2.6 11.8 165.3 20.9 0.88

1999 4.5 1.3 5.8 135.2 13.5 0.73

2000 0.1 0.0 0.1 104.4 6.8 0.58

Source: Emfac2007 V2.3 Nov 1, 2006
As of 7/11/14 13 - 11 LIGHT-DUTY VEHICLES

Table 13-2 

Retired Vehicle Emission Reductions, CY 2012 (lbs/3 yr)

MY ROG CO NOx PM10

Exhaust Evap Total Exhaust Exhaust Exhaust

pre 1969 291.4 233.4 524.8 3300.2 180.0 0.71

1969 298.8 236.6 535.4 3386.1 185.0 0.72

1970 305.3 171.5 476.8 3501.5 191.0 0.74

1971 319.9 168.6 488.5 3511.3 193.0 0.76

1972 335.3 165.3 500.5 3530.9 195.4 0.78

1973 343.2 167.3 510.5 3557.3 197.1 0.79

1974 345.9 134.5 480.4 3496.5 189.4 0.81

1975 292.1 123.7 415.9 3527.6 185.5 1.01

1976 213.9 113.5 327.5 4060.4 190.8 1.11

1977 214.9 92.4 307.2 4112.7 193.9 1.13

1978 120.6 92.9 213.6 2842.1 128.0 1.30

1979 108.9 90.9 199.7 2101.5 118.0 1.39

1980 96.0 68.8 164.8 1819.3 113.9 1.31

1981 82.1 64.4 146.4 1412.6 90.3 1.62

1982 74.1 59.8 133.9 1344.7 91.1 1.61

1983 59.5 56.8 116.3 1159.9 90.8 1.43

1984 56.1 50.6 106.7 1158.2 94.9 1.28

1985 47.2 46.7 93.9 858.0 90.8 1.40

1986 44.6 42.4 87.0 804.6 90.3 1.44

1987 42.1 59.8 101.9 740.6 86.9 1.36

1988 36.8 69.5 106.3 647.3 83.3 1.32

1989 39.1 64.8 103.9 703.9 73.2 1.31

1990 40.6 59.2 99.8 721.8 63.8 1.26

1991 41.0 46.7 87.7 725.2 69.9 1.28

1992 41.4 45.3 86.8 722.5 71.5 1.28

1993 34.9 43.7 78.5 537.6 68.3 1.29

1994 26.3 41.2 67.5 347.1 58.5 1.25

1995 21.6 35.0 56.6 240.0 44.6 1.18

1996 17.1 26.7 43.7 214.9 32.9 1.10

1997 15.3 19.1 34.4 212.4 29.7 1.06

1998 10.2 3.9 14.1 181.1 22.6 0.97

1999 5.4 2.7 8.1 151.8 15.3 0.82

2000 1.2 1.4 2.6 123.3 8.9 0.68

Source: Emfac2007 V2.3 Nov 1, 2006
As of 7/11/14 13 - 12 LIGHT-DUTY VEHICLES

Table 13-3 

Retired Vehicle Emission Reductions, CY 2013 (lbs/3 yr)

MY ROG CO NOx PM10

Exhaust Evap Total Exhaust Exhaust Exhaust

pre 1970 297.0 233.2 530.2 3357.4 183.6 0.70

1970 303.2 170.3 473.4 3469.1 189.4 0.72

1971 317.8 167.5 485.4 3478.4 191.4 0.73

1972 333.4 164.2 497.6 3498.2 193.7 0.75

1973 341.6 166.1 507.7 3526.0 195.5 0.76

1974 346.6 134.1 480.8 3472.1 189.6 0.78

1975 293.4 123.8 417.2 3523.6 186.7 0.98

1976 211.8 113.0 324.8 4012.7 188.8 1.08

1977 213.4 92.4 305.8 4060.4 192.0 1.10

1978 119.4 93.2 212.6 2816.0 127.0 1.26

1979 107.7 91.2 198.9 2079.8 116.9 1.37

1980 94.9 68.7 163.6 1798.4 113.0 1.29

1981 80.4 64.2 144.6 1388.6 89.2 1.58

1982 72.7 59.3 132.0 1322.2 90.2 1.57

1983 57.5 56.7 114.2 1131.2 89.4 1.40

1984 55.4 50.3 105.6 1143.8 94.3 1.27

1985 46.3 46.7 93.0 846.5 89.8 1.40

1986 44.3 42.1 86.4 800.7 90.0 1.45

1987 41.6 60.5 102.1 735.6 86.4 1.37

1988 36.6 71.1 107.7 647.1 83.0 1.34

1989 38.9 68.5 107.3 704.0 73.2 1.34

1990 39.7 62.9 102.6 715.9 62.9 1.28

1991 41.2 49.7 90.9 730.6 71.1 1.32

1992 41.7 48.5 90.2 729.2 72.9 1.32

1993 35.3 47.1 82.4 547.4 69.9 1.34

1994 26.8 44.6 71.4 359.4 60.1 1.31

1995 22.1 38.1 60.1 252.7 46.2 1.25

1996 17.9 29.3 47.2 229.9 34.6 1.17

1997 16.3 21.2 37.5 228.1 31.4 1.13

1998 11.1 5.2 16.3 196.1 24.2 1.05

1999 6.3 4.0 10.3 167.4 16.9 0.92

2000 2.1 2.7 4.8 139.7 10.7 0.77

Source: Emfac2007 V2.3 Nov 1, 2006
As of 7/11/14 13 - 13 LIGHT-DUTY VEHICLES

 Table 13-4 

Retired Vehicle Emission Reductions, CY 2014 (lbs/3 yr)

MY ROG NOx

Exhaust

PM10

Exhaust Evap Total Exhaust

pre 1971 256.7 177.0 433.7 188.9 2.57

1971 258.4 175.1 433.5 192.3 2.64

1972 259.6 173.9 433.4 195.1 2.70

1973 262.9 173.9 436.8 198.2 2.75

1974 258.7 129.1 387.9 195.6 2.81

1975 212.8 118.3 331.0 193.2 3.09

1976 199.9 106.4 306.3 217.0 3.13

1977 209.6 83.2 292.8 229.4 3.08

1978 106.5 83.3 189.8 131.6 3.17

1979 102.1 81.7 183.8 127.1 3.17

1980 101.7 64.8 166.5 130.0 3.08

1981 90.2 60.7 150.9 104.1 1.22

1982 82.0 55.0 137.0 102.5 1.23

1983 69.0 52.8 121.8 103.0 1.20

1984 64.5 45.5 110.0 111.5 1.23

1985 57.0 42.2 99.2 108.8 1.24

1986 53.0 37.8 90.8 108.7 1.27

1987 48.9 43.7 92.5 103.6 1.29

1988 36.5 57.3 93.8 92.3 1.33

1989 38.7 58.1 96.9 79.6 1.33

1990 39.2 71.5 110.7 69.3 1.33

1991 39.9 55.0 95.0 83.6 0.70

1992 41.0 54.1 95.0 87.4 0.71

1993 35.6 52.6 88.1 82.7 0.73

1994 28.9 50.4 79.3 74.4 0.74

1995 23.2 42.7 66.0 57.0 0.74

1996 18.1 33.2 51.4 39.7 0.14

1997 17.2 24.7 41.9 37.9 0.16

1998 12.7 7.8 20.5 30.4 0.16

1999 9.5 6.6 16.1 27.0 0.16

2000 5.3 5.4 10.6 19.5 0.16

2001 4.2 4.1 8.3 17.4 0.16

2002 3.9 2.9 6.8 17.0 0.17

 Source: EMFAC2011LDV
As of 7/11/14 13 - 14 LIGHT-DUTY VEHICLES

 Table 13-5

 Retired Vehicle Emission Reductions, CY 2015 (lbs/3 yr)

MY ROG NOx

Exhaust

PM10

Exhaust Evap Total Exhaust

pre 1972 253.9 175.2 429.2 189.2 2.59

1972 255.3 173.9 429.2 192.1 2.65

1973 258.4 174.4 432.8 195.0 2.70

1974 255.6 130.1 385.7 193.9 2.76

1975 207.6 119.6 327.2 192.2 3.03

1976 191.4 107.4 298.8 209.2 3.08

1977 201.8 83.8 285.6 221.1 3.03

1978 103.9 83.9 187.9 128.5 3.12

1979 99.7 82.3 182.0 124.3 3.12

1980 98.4 65.7 164.1 126.7 3.04

1981 87.5 61.5 149.0 101.8 1.20

1982 80.0 55.5 135.4 100.8 1.21

1983 68.1 52.9 121.0 102.0 1.18

1984 63.8 45.4 109.2 110.7 1.21

1985 56.2 42.4 98.6 108.0 1.22

1986 52.5 37.7 90.2 107.9 1.25

1987 48.7 42.2 90.9 103.9 1.27

1988 36.7 57.5 94.1 93.3 1.32

1989 38.9 60.9 99.8 80.7 1.32

1990 39.4 77.2 116.6 70.7 1.32

1991 40.1 58.8 98.9 85.5 0.69

1992 41.1 58.3 99.4 89.6 0.71

1993 36.0 57.1 93.1 85.4 0.72

1994 30.0 55.1 85.1 78.3 0.74

1995 24.2 47.1 71.4 60.4 0.73

1996 18.9 36.7 55.6 41.8 0.14

1997 17.9 27.5 45.4 40.0 0.16

1998 13.6 9.3 22.9 32.4 0.16

1999 10.5 8.1 18.7 29.1 0.16

2000 6.2 6.9 13.0 21.5 0.16

2001 5.1 5.7 10.7 19.3 0.17

2002 4.7 4.4 9.2 18.8 0.17

2003 3.9 2.9 6.8 18.4 0.17

 Source: EMFAC2011LDV
As of 7/11/14 13 - 15 LIGHT-DUTY VEHICLES

1. Emission reductions for diesel-powered vehicles were estimated using a similar 

methodology. Because of very limited data and only minor differences in 

emission rates from one year to another, average emission reductions were only 

estimated for two model year ranges for all four calendar years. Replacement 

vehicle emission rates were the same as those used for gasoline-powered 

vehicles. Average NOx, ROG, CO, and PM emission reductions over the 3 year 

project life by model year range are located in Tables 13-6 and 13-7. There are 

no evaporative emission reductions for retiring a diesel-powered vehicle. 

Table 13-6 

Retired Diesel-Powered Vehicle Emission Reductions*

2. Please refer to Appendix C for a discussion of the methodology for estimating 

emission reductions and how to calculate cost-effectiveness.

3. Currently, none of the air district retirement programs have components for high 

emitter, repair, or Low Emission Vehicle (LEV) replacement projects. As such, 

the data for these special elements has been removed and the light duty vehicle 

Appendix D deleted to simplify the Guidelines. ARB will provide the methodology 

for any new plans which include special cases such as high emitter, repair, or 

LEV replacement.

Model Year

Range

Pollutant lb/3 yr

CY 2010-2013

Pre 1984 ROG 5.764

NOx 22.926

PM 3.733

1984-1992 ROG 5.092

NOx 40.051

PM 5.166

*Source: EMFAC2007 V2.3 Nov 1 2006

Table 13-7 

Retired Diesel-Powered Vehicle Emission Reductions*

Model Year

Range

Pollutant lb/3 yr

CY 2012-2015

Pre 1984 ROG 5.8

NOx 88.0

PM 7.2

1984-1992 ROG 13.6

NOx 281.2

PM 9.6

*Source: EMFAC2011LDV
As of 7/11/14 13 - 16 LIGHT-DUTY VEHICLES

Figure 13-1 

Diagnostic Data Form1

WRITE YES (Y), NO (N), OR A READING OR EXPLANATION. DO NOT JUST CHECK A BOX!

CAP ID# Year / Make / Model Vehicle License # Technician # Date

Work order #

Confirm basic engine condition: 

Engine condition: Any smoking, knocking, head gasket leaks or any other degraded engine condition(s)? _____________________

(*As needed*) compression test, cylinder balance test, leak down test results (whichever test was appropriate)

#1 __________ #2 __________ #3 __________ #4 __________ #5 __________ #6 __________ #7 __________ #8 __________

Base timing ____________ Total timing advance ____________ Coolant Temp _____________ Vacuum readings _____________

Ignition system:

Overall condition: Are there any misfires? (HC failures) What is the specific component of the ignition system that needs to be 

replaced / repaired? List below

__________________________________________________________________________________________________________

Fuel pressure within specs? Y/N ___ results______________________________________________________________________

Air Injection System: (if applicable) Is the AIS functioning correctly? Y/N___ If no, why ________________________________

EGR system: (if applicable) 

Is the system functioning correctly? Y/N ___ Is the valve getting vacuum? Y/N ___

Does the engine stumble/die when the valve is manually raised? Y/N ___ Is the EGR valve defective? Y/N ___

Is system restricted? Y/N ___ Is system plugged? Y/N ___ Other: ____________________________________________________

Are there any Factory Technical Service Bulletins (TSBs), recalls/warranties related to the emission failure? ___________________

Are any Diagnostic Trouble Code(s) stored? Y/N ___ If Y, are they emission related? If so, record code(s) ____________________

If the vehicle is OBDI, did you clear the codes? Y/N ____ Did they return? Y/N ____ If the vehicle is OBDII, what is recorded in 

“Freeze Frame Data”? _______________________________________________________________________________________

Is vehicle failing for monitors? Y/N ____ Explain: _______________________________________________________________

Oxygen Sensor: Low Voltage: ____________mV High Voltage: ____________mV Rise time: ____________mS

NOTE: Record the min/max/rate of change measured while artificially manipulating the air/fuel mixture full rich & full lean.

Average voltage: ____________ Is the O2 sensor functioning correctly? Y/N ___ Explain: ________________________________

Is the vehicle in fuel control? Y/N___ If N, is the O2 biased? Rich Y/N ___ Lean Y/N ___

Will the computer respond to an artificial O2 signal? Y/N ___ If no, why?

__________________________________________________________________________________________________________ 

What are the fuel trim numbers under test conditions? ______________________________________________________________

Cross-reference the failed emission(s) with the related failed test.

Final Diagnosis: What component(s) or system(s) need to be repaired or replaced and why? ___________________________

__________________________________________________________________________________________________________

__________________________________________________________________________________________________________

CATALYTIC CONVERTER DIAGNOSTIC ROUTINE

FACTORY DIAGNOSTIC/TESTING PROCEDURES TAKE PRECEDENCE OVER GENERIC TESTS.

Cat tests are valid or useful to the extent the vehicle is in fuel control. CAT tests require certain conditions be created by upstream systems in order 

to be valid. Fuel control is not just a varying O2S and/or fuel metering device. Fuel control is defined as the vehicle’s ability to control fuel in 

response to the O2S input signal keeping the air/fuel ratio at 14.7 to 1 (stoichiometric). CAT replacement is generally the last repair approved.

DO NOT REQUEST A CAT WITH OTHER REPAIRS ASSOCIATED WITH ITS EFFICIENCY.

DO NOT REQUEST A CAT ON A VEHICLE THAT IS NOT IN FUEL CONTROL.

RECORD ON THE WORK ORDER “THE VEHICLE IS IN FUEL CONTROL”.

O2 snap test CO2 cranking test Pre CAT / Post CAT (intrusive test) Factory specific temperature test

O2% ____ % HC: _______ ppm Pre CAT: ________ Post CAT: _______ temp in _____ temp out _____

CO2: _______ CAT efficiency: _____%

Two CAT tests are more conclusive than one. A generic temperature test alone is not acceptable. Temperature tests are best 

used to confirm another test. An intrusive test is optional to confirm the effectiveness of the catalyst’s reduction portion.

1

 Source: BAR’s training course for licensed Smog Check technicians. Not all fields may be relevant for VRV programs. These tests may 

not be required for all vehicles. Air districts may design other forms consistent with the content of this form.
As of 7/11/14 14 - 1 LAWN AND GARDEN

EQUIPMENT REPLACEMENT

Chapter 14: LAWN AND GARDEN EQUIPMENT REPLACEMENT

This chapter describes the minimum criteria and requirements for Carl Moyer Program 

Lawn and Garden Equipment (L&GE) replacement projects. L&GE replacement 

provides a streamlined approach to reduce emissions by replacing existing gasoline 

lawn mowers with cordless, zero-emission, electric lawn mowers. L&GE replacement 

provides real emission benefits by providing lawn mower owners the incentivized option 

of purchasing a cordless, zero-emission lawn mower instead of a higher polluting 

gasoline lawn mower. Zero-emission lawn mowers are not required by regulation, so 

the emission benefits are surplus. Carl Moyer Program funds for vouchers are used to 

offset part of the cost of the replacement electric lawn mower. 

A. Projects Eligible for Funding

New Replacement Cordless, Zero-Emission Electric Lawn Mower Purchase: The 

purchase of a new cordless, zero-emission electric lawn mower to replace the existing 

gasoline lawn mower that is to be scrapped is eligible for funding under this program.

No emission reductions generated by the Carl Moyer Program shall be used as 

marketable emission reduction credits, or to offset any emission reduction obligation of 

any person or entity. Therefore, an electric lawn mower model that generates credits by 

participating in ARB’s zero-emission equipment credit averaging, banking and trading 

program is not eligible for funding.

B. Maximum Eligible Funding Amounts 

The maximum total project funding amount associated with reducing the eligible costs of 

a L&GE replacement project has been predetermined as $145 per lawn mower. 

C. Project Criteria

The project criteria listed below for L&GE replacement projects provide participants; air 

districts; cordless, zero-emission, electric lawn mower manufacturers and merchants; 

hazardous waste material disposal companies and recycling companies with the 

minimum requirements for participating in L&GE replacement. All projects must also 

conform to the requirements in Chapter 2: General Criteria and in Chapter 3: Program 

Administration, except for the following sections: W. Minimum Project Application 

Requirements, AA. Project Pre-Inspection, BB. Project Post-Inspection, CC. Project 

Invoice and Payment, DD. Grantee Annual Reporting, EE. Air district Audit of Projects, 

FF. Nonperforming Projects; and as noted elsewhere below.

1. General Lawn and Garden Equipment Replacement Criteria

An air district may not contribute any additional non-Carl Moyer Program

incentive funds towards the purchase of the individual lawn mower. However, 
As of 7/11/14 14 - 2 LAWN AND GARDEN

EQUIPMENT REPLACEMENT

bulk-purchasing discounts from the electric lawn mower manufacturer or 

merchant are allowed.

2. Participant Requirements

All participants must meet the following requirements to be eligible for funding: 

(A) Application Form: To be approved for L&GE replacement funds, the 

applicant must meet L&GE replacement program requirements and submit 

an application. Once an application is approved by the air district, the air 

district will return the application form to the applicant. The applicant must 

turn in the approved application form with applicant’s signature at the 

location designated by the air district.

(B) California Residence: Participants must reside in California. Applicant 

certifies this on the application. Air districts may add the requirement that 

participants reside within the air district. 

(C) Own and Operate: The participant must currently own and operate the 

existing gasoline lawn mower in California. Applicant certifies this on the 

application form.

(D) Replacement Cordless, Zero-Emission Electric Lawn Mower Operation in 

California: The participant must intend to own and operate the new 

replacement cordless, zero-emission electric lawn mower within California

for a minimum of thirty-six (36) months from the date of purchase. The 

applicant verifies this on the application form.

3. Existing Lawn Mower Requirements

All existing lawn mowers must meet the following conditions before a L&GE 

replacement application will be approved and awarded a voucher. 

(A) Operational Gasoline Lawn Mowers: The existing lawn mower must be in 

operational condition. An operational lawn mower must operate on 

gasoline, be able to start, move, and have all operational parts. Applicant 

certifies operability on the application form. 

(B) Delivery of the Existing Lawn Mower to the Air District or Air Districtspecified Facility: The participant must deliver the existing lawn mower to 

the air district or air district-specified facility. The air district or air districtspecified facility can reject the condition of the existing lawn mower if it is 

deemed inoperative.
As of 7/11/14 14 - 3 LAWN AND GARDEN

EQUIPMENT REPLACEMENT

4. Replacement Lawn Mower Requirements

All replacement lawn mowers must meet the following requirements before a 

voucher is awarded to the participant: 

(A) New, Cordless, Zero-Emission Electric Lawn Mower: The replacement 

lawn mower must be a new, cordless, zero-emission electric lawn mower. 

(B) Not Used for Credit Generation: Only an electric lawn mower model that 

does not generate credit or participate in ARB’s zero-emission equipment 

credit averaging, banking and trading program is eligible for funding.

(C) Purchase: The replacement lawn mowers must be purchased from a 

participating air district, air district-selected third party, participating 

manufacturer or participating merchant, as chosen by the implementing air 

district. 

5. Air District Requirements

An air district implementing the program must meet the following requirements:

(A) Add addendum to air district’s Carl Moyer Program Policies and 

Procedures: An air district must create an addendum to its current Carl 

Moyer Program Policies and Procedures (P&P’s) describing their program 

within two (2) months after they begin implementation of the 

L&GE replacement program. Air districts are not required to submit this 

addendum to ARB but it must be available to ARB upon request. 

(B) Agreements: 

(1) An air district must have written agreements with both of the following 

parties:

a. A hazardous waste materials disposal company 

b. A recycling company

The agreements can be included as part of the air district’s agreements 

with the same entities for other Carl Moyer Programs. The recycling 

company and the hazardous waste material company can be the same 

company.

(2) If an air district is working with one of the following parties:

a. A cordless, zero-emission electric lawn mower manufacturer

b. A cordless, zero-emission electric lawn mower merchant 
As of 7/11/14 14 - 4 LAWN AND GARDEN

EQUIPMENT REPLACEMENT

The air district must have a written agreement with that party. The agreement

must include the requirements of subsection 6 or 7, as applicable, and

Chapter 3: Program Administration, section Z. Minimum Contract 

Requirements, except for the following subsections: 6. Project Specifications, 

7. Maintenance, 9. Reporting, and 11. (A) Repercussions of Nonperformance 

- equipment operation requirement. 

 

(C) Third Party: An air district may select a third party to manage some of the 

air district’s requirements of the program. If an air district partners with a 

third party, the air district must enter into an agreement with the third party 

and update its P&P’s to include an example of the agreement. The 

agreement must state that the third party will comply with all L&GE 

replacement program requirements. The air district also must train the 

third party on the L&GE replacement program. 

(D) Application: Applications, at a minimum, must have the following 

information:

(1) Information about the Applicant:

a. Name

b. Mailing Address (including city, state, zip code) 

c. Physical Address (if different from mailing address) 

d. Phone Number

e. Date of Application

(2) Information about the Applicant’s Existing Gasoline Lawn Mower:

a. Manufacturer (if known)

b. Model Year (if known)

(3) Section for the applicant to certify the following information is accurate and 

true: 

a. Existing gasoline lawn mower is operational

b. Applicant resides in California

c. Applicant currently owns and operates the gasoline lawn mower in 

California

d. From the date of purchase, applicant intends to own and operate the 

new, cordless, zero-emission electric lawn mower in California

e. The information provided in the application is true and correct and 

meets the minimum requirements of the L&GE replacement program

f. “I understand that an incomplete or illegible application may be 

immediately rejected, and I will be notified.” 

g. “I understand as an applicant that incentive programs have limited 

funds and shall terminate upon depletion of program funding.” 
As of 7/11/14 14 - 5 LAWN AND GARDEN

EQUIPMENT REPLACEMENT

(4) A box for the applicant to check to certify the information included in (3) is 

correct and signify the applicant’s agreement with the above statements.

(E) Application Approval: The application approval process consists of the 

following steps:

(1) Applicant submits application to the air district. 

(2) Air district or designated third party reviews and approves application (if 

appropriate), and returns it to applicant. Application review and approval 

may be conducted on-site at a lawnmower exchange event.

(3) Applicant turns in application with applicant’s signature per 

subsection C. 2.(A).

(F) Rejected Application: If a submitted application is incomplete or illegible, 

the air district must reject the application immediately and notify the 

applicant within five days of receipt. Air districts may follow up with an 

applicant in order to complete an incomplete or illegible application.

(G) Disbursement Request Requirements: An air district may request Carl 

Moyer Program funds as these funds become available. In order for an air 

district to be approved for a disbursement request, the air district must 

follow Chapter 3: Program Administration, Section G requirements, and 

also provide the following to ARB:

(1) Verification of board approval to implement the L&GE replacement 

program for the requested disbursement amount or more; and

(2) An example of at least one cordless, zero-emission electric lawn mower 

manufacturer or merchant agreement; and

(3) An example of at least one active hazardous waste materials disposal 

company agreement; and

(4) An example of at least one active recycling company agreement; and

(5) A history (up to five years, if applicable) of previous years of the air 

district’s lawn and garden equipment exchange programs, including the 

following information:

a. Yearly amount funded

b. Yearly number of mowers funded

c. Yearly program administration costs 

d. Cordless, zero-emission electric lawn mower cost breakdown:
As of 7/11/14 14 - 6 LAWN AND GARDEN

EQUIPMENT REPLACEMENT

1. Amount air district paid to manufacturer

2. Amount participant pays

3. Amount air district pays from air district’s local funds

4. Amount of any additional funds

(H) Operational Condition of Existing Lawn Mower: Air district or air districtspecified facility must ensure that each existing lawn mower is in 

apparently operational condition. The air district or air district-specified 

facility can reject the existing lawn mower if it is deemed inoperative.

(I) Project Payment: Air districts must include in their P&P’s a detailed 

description of the process through which the air district provides payment 

to the cordless, zero-emission electric lawn mower manufacturer, 

merchant and/or applicant. 

(J) Merchant Reimbursement Package: Prior to receiving reimbursement, an

air district-specified third party, participating manufacturer or participating 

merchant must submit a reimbursement package to the air district. The 

following documents should be included in the reimbursement package: 

(1) Invoice signed by the applicant that shows the final purchase price less 

the voucher award. In the case of an online merchant, the invoice does 

not have to be signed by the applicant.

(2) If a recycling code is used in addition to a voucher in order to purchase the 

lawn mower, the recycling code.

(3) The name and address of the participant.

(K) Lawn Mower Destruction Documentation: Air districts must collect from 

their participating Recycling Companies signed receipts that show the 

number of lawn mowers destroyed.

(L) Audit and Monitoring: Air districts must allow ARB to monitor their L&GE 

replacement program which may include audits of the air district’s 

implementation of the program. 

(M) Meeting Environmental Justice (EJ) Requirements: Air districts with 

environmental justice requirements shall not apply these requirements to 

the L&GE replacement application review until after each year of 

implementation. The air district must then review each project to 

determine if it helps to meet the air district’s EJ requirements. If 

EJ requirements have not been met, then other Carl Moyer Program 

funded projects will need to be used to fulfill this EJ requirement. 
As of 7/11/14 14 - 7 LAWN AND GARDEN

EQUIPMENT REPLACEMENT

(N) Reporting in CARL: For expenditure reporting requirements the following 

information must be entered into the CARL database:

(1) Total number of lawn mowers exchanged

(2) Date of the exchange of the final lawn mower

(3) Total amount of Carl Moyer Program funds liquidated

(4) Date of liquidation of the final project

(5) Funding year

(O) Records Retention: Air districts must retain all records of approved 

projects for a minimum of three (3) years from the date of issuing the 

voucher. For rejected projects, air districts must maintain a copy of the 

application, the rejection letter, and method of notification for three

(3) years from the date the application was received. 

6. Participating Manufacturer Requirements

Participating manufacturers’ agreements must include the following information:

(A) Covered Lawn Mowers: Information about the cordless, zero-emission 

electric lawn mowers covered by the agreement:

(1) Lawn Mower Model Name

(2) Lawn Mower Year of Production

(3) Lawn Mower Cutting Radius

(4) Lawn Mower Battery Description (Voltage)

(5) Total number of cordless, electric lawn mowers covered by the agreement

(6) The cost of each cordless, electric lawn mower

(7) The total contract amount, or total contract amount not to exceed

(8) The date by which the work shall be completed

(9) Lawn Mower Warranty Description

(B) Manufacturer Qualifications: A statement that the manufacturer meets the 

following minimum qualifications for participation in the L&GE replacement 

program, and shall continue to meet these qualifications throughout its 

participation in the L&GE replacement program.

(1) Manufacturer has had a valid business license for a minimum of the last 

two years.

(2) Manufacturer agrees to allow the air district or ARB to inspect cordless, 

zero-emission electric lawn mowers or audit program records covered 

under this Agreement during normal business hours.

(C) Aftermarket Service: A statement that the manufacturer shall provide 

aftermarket service to customers against defects in materials or 
As of 7/11/14 14 - 8 LAWN AND GARDEN

EQUIPMENT REPLACEMENT

workmanship as defined by the Terms and Conditions listed in the product 

warranty.

(D) Recalls: A statement that as soon as reasonably possible, manufacturer 

shall notify the air district and individually notify any and all purchasers of 

equipment through this program of any recall of the lawn mower or any of 

its constituent parts ordered by contractor or by a government agency.

(E) Air District Does Not Warrant or Endorse Lawn Mowers: A statement that 

the air district does not warrant or endorse the manufacturer’s lawn 

mowers for any purpose, including materials, workmanship, 

merchantability or fitness for use. Nothing in the air district/manufacturer 

contract shall be constituted as a warranty or endorsement.

(F) Averaging, Banking and Trading (ABT) Program Exclusion: A statement 

that no emission reductions generated by the Carl Moyer Program shall be 

used as marketable emission reduction credits, or to offset any emission 

reduction obligation of any person or entity. Therefore, electric lawn 

mower models included in the agreement are not generating credits by 

participating in ARB’s zero-emission equipment credit averaging, banking 

and trading program or any similar program.

(G) Return of Funds: A statement that, should the manufacturer fail to show 

that they are implementing the program consistent with the L&GE 

replacement program requirements, the manufacturer or merchant shall 

return to the air district funds in proportion to any loss of emission 

reductions compared with the projected reductions of the agreement.

7. Participating Merchant Requirements

Participating merchants’ agreements must include the following:

(A) Covered Lawn Mowers: Information about the cordless, zero-emission 

electric lawn mowers covered by the agreement:

(1) Lawn Mower Model Name

(2) Lawn Mower Year of Production

(3) Lawn Mower Cutting Radius

(4) Lawn Mower Battery Description (Voltage)

(5) Estimate of total number of cordless, electric lawn mowers covered by the 

agreement

(6) The cost of each cordless, electric lawn mower

(7) The total contract amount, or total contract amount not to exceed

(8) The date by which the agreement ends

(9) Lawn Mower Warranty Description
As of 7/11/14 14 - 9 LAWN AND GARDEN

EQUIPMENT REPLACEMENT

(B) Merchant Qualifications: A statement that the merchant meets the 

following minimum qualifications for participation in the L&GE replacement 

program, and shall continue to meet these qualifications throughout its 

participation in the L&GE replacement program.

(1) Merchant has had a valid business license issued in California for a 

minimum of the last two years.

(2) Merchant agrees to allow the air district or ARB to inspect cordless, zeroemission electric lawn mowers or audit program records covered under 

this Agreement during normal business hours.

(C) Invoice: A statement that the merchant shall show on the replacement 

lawn mower invoice the voucher amount. The voucher does not reduce 

the purchase price of the lawn mower, but is an incentive to the lawn 

mower owner that will result in a lower price paid by the participant. The 

receipt of voucher funds does not lower the base price of the lawn mower 

nor does it reduce the tax basis of the lawn mower.

(D) Average, Banking and Trading Program Exclusion: A statement that no 

emission reductions generated by the Carl Moyer Program shall be used 

as marketable emission reduction credits, or to offset any emission 

reduction obligation of any person or entity. Therefore, electric lawn 

mower models included in the agreement are not generating credits by 

participating in ARB’s zero-emission equipment credit averaging, banking 

and trading program or any similar program.

(E) Return of Funds: A statement that, should the merchant fail to show that 

they are implementing the program consistent with L&GE replacement 

program requirements, the manufacturer or merchant shall return to the air 

district funds in proportion to any loss of emission reductions compared 

with the projected reductions of the agreement. 

8. Participating Recycling Company Requirements

Participating recycling companies’ agreements must include the following:

(A) Destruction of Lawn Mowers: A statement that the recycling company 

shall destroy the lawn mower and engine within 60 days of receipt such 

that the lawn mower is no longer operable or repairable.

(B) Receipt of Lawn Mower Destruction: A statement that the recycling 

company shall notify the air district that a lawn mower is destroyed by 

sending the air district a signed receipt indicating the number of lawn 

mowers destroyed.
As of 7/11/14 14 - 10 LAWN AND GARDEN

EQUIPMENT REPLACEMENT

D. Emission Benefits

L&GE replacement provides emission benefits by providing lawn mower owners the 

incentivized option of purchasing a zero-emission lawn mower instead of a higher 

polluting gasoline lawn mower. Zero-emission lawn mowers are not required by 

regulation, so the emission benefits are surplus. Emission reductions are the difference 

in emissions from a new gasoline lawn mower engine and the emissions of a zeroemission lawn mower for the operational lifetime of the zero-emission lawn mower. The 

average operational lifetime of a replacement zero-emission lawn mower is estimated to 

be approximately 10 years. L&GE replacement project emission reductions are shown 

in Table 14-1 below.

Table 14-1 

Gasoline Lawn Mower Emission Reductions (lbs/yr)

Model 

Year

ROG NOx PM10

Exhaust Evap Total Exhaust Exhaust

2010 0.290 0.847 1.137 0.071 0.048
THE CARL MOYER PROGRAM 

APPENDICES 

Appendix A Acronyms 

Appendix B Definitions 

Appendix C Cost-Effectiveness Calculation Methodology 

Appendix D Tables for Emission Reduction and Cost-Effectiveness Calculations 

Appendix E Description of Certification and Verification Executive Orders 

Appendix F Chapter References 

Appendix G Cost-Effectiveness Limit and Capital Recovery Factors 
APPENDIX A 

ACRONYMS 
As of 4/28/2011 A - 2 ACRONYMS 

APPENDIX A 

ACRONYMS 

AAP Agricultural Assistance Program 

AB Assembly Bill 

ABT Average Banking and Trading 

AC Alternating Current 

AECP Alternative Emission Control Plan 

Ah Amp-hour 

APCD Air Pollution Control District 

APCO Air Pollution Control Officer 

APU Auxiliary Power Unit 

AQMD Air Quality Management District 

AQIP Air Quality Improvement Program 

ARB Air Resources Board 

ATCM Airborne Toxic Control Measure 

ATCE Advanced Travel Center Electrification 

AVL Automatic Vehicle Locator 

BACT Best Available Control Technology 

BAR Bureau of Automotive Repair 

bhp Brake Horsepower 

bhp-hr/gal Brake horsepower-hour per gallon 

bhp-hr/yr Brake horsepower-hour per year 

BIT Biennial Inspection of Terminals 

BNSF Burlington Northern and Santa Fe Railroad 

BSFC Brake specific fuel consumption 

C/E Cost Effectiveness 

CAF Confined Animal Facility 

Cal/EPA California Environmental Protection Agency 

CAP Consumer Assistance Program 

CAPCOA California Air Pollution Control Officers Association 

CARL Clean Air Reporting Log 

CCR California Code of Regulations 

CFO Chief Financial Officer 

CGW Declared Combined Gross Vehicle Weight 

CHE Cargo Handling Equipment 

CHP California Highway Patrol 

CI Compression Ignition 

CMP Carl Moyer Memorial Air Quality Standards Attainment Program 

CNG Compressed Natural Gas 

CO Carbon Monoxide 

COG Council of Governments 

CRF Capital Recovery Factor 

DC Direct Current 

DDHS Diesel Driven Heating System 
As of 4/28/2011 A - 3 ACRONYMS 

DECS Diesel Emission Control Strategy 

DMV Department of Motor Vehicles 

DOC Diesel Oxidation Catalyst 

DOE Department of Energy 

DOF Department of Finance 

DOORS Diesel Off-Road Online Reporting System 

DOT Department of Transportation 

DPF Diesel Particulate Filter 

E/S Electric Standby 

EF Emission Factor 

EGR Exhaust Gas Recirculation 

EJ Environmental Justice 

EMFAC ARB’s On-Road Motor Vehicle Emission Inventory Model 

EMU Electronic Monitoring Unit 

EO Executive Order 

EQIP Environmental Quality Incentives Program 

ERCs Emission Reduction Credits 

ES Emission Standards 

ESN Engine Serial Number 

EIN Equipment Identification Number 

FBC Fuel-Borne Catalyst 

FCF Fuel Correction Factor 

FEL Family Emission Limit 

FTA Federal Transit Administration 

FTF Flow-Through Filter 

FTP Federal Test Procedure 

FY Fiscal Year 

g Gram 

g/bhp-hr Gram per brake horsepower-hour

gal Gallon 

gal/yr Gallons per year 

GMERP Goods Movement Emission Reduction Program 

GPS Geographic Positioning System 

GSE Ground Support Equipment 

GTL Gas-to-Liquid 

GVW Declared Gross Vehicle Weight 

GVWR Gross Vehicle Weight Rating 

HC Hydrocarbons 

HD Heavy-Duty 

HDDE Heavy-Duty Diesel Engine 

HDT Heavy-Duty Truck 

HDV Heavy-Duty Vehicle 

HEB Hybrid-Electric Bus 

HEP Head End Power 

HHD Heavy Heavy-Duty 

HHDV Heavy Heavy-Duty Vehicle 
As of 4/28/2011 A - 4 ACRONYMS 

hp Horsepower 

hr Hour 

HVAC Heating, Ventilation and Air Conditioning 

IC Internal Combustion 

ICE Internal Combustion Engine 

ILD Idle Limiting Device 

IMO International Maritime Organization 

IPI Incentive Program Implementation Team 

IRP International Registration Plan 

IRS Internal Revenue Service 

ISO International Standards Organization 

ISOR Initial Statement of Reasons 

kW Kilowatt 

lbs. Pounds 

lbs/bhp-hr Pounds per brake horsepower-hour 

lb/gal Pound per gallon 

lb/hp-hr Pound per horsepower-hour 

LGER Lawn and Garden Equipment Replacement 

LDV Light-Duty Vehicle 

LETRU Low Emission Transport Refrigeration Unit 

LEV Low Emission Vehicle 

LF Load Factor 

LHD Light Heavy-Duty 

LNG Liquefied Natural Gas 

LPG Liquefied Petroleum Gas – commonly called Propane 

LSI Large Spark Ignition 

MDO Marine Diesel Oil 

MGO Marine Gas Oil 

MHD Medium Heavy-Duty 

MHDV Medium Heavy-Duty Vehicle 

mi Mile 

MOA Memorandum of Agreement 

MOU Memorandum of Understanding 

MV Fee Motor Vehicle Registration Fee 

MY Model Year 

NAIC North American Industry Classification System 

NMHC Non-Methane Hydrocarbons 

NFPA National Fire Protection Association 

NOFA Notice of Funds Available 

NOx Oxides of Nitrogen 

OAL Office of Administrative Law 

OBD II On-Road Diagnostics, Phase II 

OEM Original Equipment Manufacturer 

ORVIP Off-Road Voucher Incentive Program 

PG&E Pacific Gas and Electric 

P&P Policies and Procedures 
As of 4/28/2011 A - 5 ACRONYMS 

PM Particulate Matter 

PM10 Particulate Matter less than 10 microns in diameter 

RAP Rural District Assistance Program 

RFP Request for Proposals 

ROG Reactive Organic Gas 

RSD Remote Sensing Device 

SB Senate Bill 

SCAB South Coast Air Basin 

SCAQMD South Coast Air Quality Management District 

SCE Southern California Edison 

SCR Selective Catalytic Reduction 

SI Spark Ignition 

SIP State Implementation Plan 

SMAQMD Sacramento Metropolitan Air Quality Management District 

SOON Surplus Off-Road Opt-in for NOx Program 

STD Standard 

SULEV Super Ultra Low Emission Vehicle 

SWCV Solid Waste Collection Vehicle 

TAC Toxic Air Contaminant 

TEU Twenty-foot Equivalent Unit 

TFV Transit Fleet Vehicle 

THC Total Hydrocarbon 

TPD Tons per day

TRU Transport Refrigeration Unit 

TSE Truck Stop Electrification 

TSI Two Speed Idle 

UB Urban Bus 

ULETRU Ultra Low Emission Transport Refrigeration Unit 

ULEV Ultra Low Emission Vehicle 

UP Union Pacific Railroad 

U.S. EPA United States Environmental Protection Agency 

V Volt 

VAVR Voluntary Accelerated Vehicle Retirement 

VDECS Verified Diesel Emission Control Strategy 

VFD Variable Frequency Device 

VIN Vehicle Identification Number 

VIP Voucher Incentive Program 

VMT Vehicle Miles Traveled 

VOC Volatile Organic Compound 

VRV Voluntary Repair of Vehicles 

VVR Voluntary Vehicle Repair 

YR Year 

ZEB Zero Emission Bus 
 

APPENDIX B 

DEFINITIONS 
As of 7/11/14 B - 2 DEFINITIONS 

APPENDIX B 

DEFINITIONS 

Administrative Funds: State funds allocated to program support and outreach costs 

directly associated with implementing the program. 

Agricultural Crop Preparation Services: For large spark-ignition engine-powered 

equipment this includes packing houses, cotton gins, nut hullers and processors, 

dehydrators, feed and grain mills, and other related activities that are consistent with 

California Code of Regulations, title 13, section 2775. 

Air Pollution Control Officer: Air Pollution Control Officer, Executive Director, Executive 

Officer or designee as determined by each air district. 

Airport Ground Support Equipment: Any large spark-ignition engine-powered 

equipment contained in the 24 categories of equipment included in section B.3. of 

Appendix 2 of the South Coast Ground Support Equipment Memorandum of 

Understanding, dated November 27, 2002. 

Auxiliary Engine: An auxiliary engine refers to an engine that is not the propulsion 

engine and whose fuel, cooling, or exhaust systems are an integral part of the 

equipment or vehicle. 

Auxiliary Power Unit: Any device that provides electrical, mechanical, or thermal energy 

to the primary diesel engine, truck cab, or sleeper berth as an alternative to idling the 

primary diesel engine. 

Barge: A vessel having a flat-bottomed rectangular hull with sloping ends and built with 

or without a propulsion engine. 

Baseline Technology: Technology applied under normal business practices, such as, 

an engine certified by Air Resources Board (ARB or the Board) to the current emission 

standards for new purchases; or the existing engine in a vehicle or equipment for 

replacements, repowers, and retrofits. 

California’s Goods Movement Trade Corridors: Includes the entirety of the South Coast 

Air Basin, San Joaquin Valley Air Basin, Sacramento Federal Ozone Nonattainment 

Area, San Francisco Bay Area Air Basin, San Diego County Air District, Imperial County 

Air District, and Port Hueneme. 

Captive Attainment Area Fleet under Off-Road Compression-Ignition Regulation: A fleet 

or an identified subpart of the fleet (fleet portion, consistent with, California Code of 

Regulations, title 13, section 2449(d)) in which all of the vehicles in the fleet or fleet 

portion operate exclusively within the following counties: Alpine, Colusa, Del Norte, 

Glenn, Humboldt, Lake, Lassen, Mendocino, Modoc, Monterey, Plumas, San Benito, 
As of 7/11/14 B - 3 DEFINITIONS 

San Luis Obispo, Santa Barbara, Santa Cruz, Shasta, Sierra, Siskiyou, Trinity, Tehama, 

and Yuba. A fleet or identified fleet portion that operates one or more vehicles outside 

the counties listed above is not a captive attainment area fleet. 

Carl Moyer Program Funds: State funds awarded by ARB to local air districts to 

implement the Carl Moyer Program, including administrative funds, project funds, and 

interest earned on the awarded funds. Local funds that are under the air district’s 

budget authority may also qualify as Carl Moyer Program funds as match funds (see 

Health & Safety Code § 44287(e)); however, certain limitations apply (see Health & 

Safety Code § 44287(j)). Carl Moyer Program funds are subject to Health and Safety 

Code requirements (see Health & Safety Code § 44287). 

Case–by-Case Determination: A process in which local air districts may request Carl 

Moyer Program staff to review and approve a project or program element that varies 

from these 2011 Carl Moyer Program Guidelines. See Chapter 3: Program 

Administration, Section Y for additional information. 

Charter Fishing Vessel: A vessel for hire by the general public, dedicated to the search 

for and collection of fish for the purpose of general consumption. 

Class 1 Freight Railroad: As defined by the Surface Transportation Board (see 

www.stb.dot.gov). As of July 2010, Union Pacific Railroad (UP), Burlington Northern 

and Santa Fe Railroad (BNSF), and their subsidiaries are the only Class 1 freight 

railroads operating in California. 

Class 2 Freight Railroad: As defined by the Surface Transportation Board (see 

www.stb.dot.gov). As of July 2010, there are no Class 2 freight railroads based in 

California. 

Class 3 Freight Railroad: As defined by the Surface Transportation Board (see 

www.stb.dot.gov). Short-line railroads and military and industrial railroads are generally 

considered Class 3 freight railroads for the purposes of eligibility. 

Class 7 Forklift: A rough terrain forklift truck (pneumatic tires). 

Clean Air Reporting Log (CARL): An on-line database tool, maintained by ARB, to 

assist local air districts with tracking and reporting of projects for purposes of 

implementing the Carl Moyer Program. CARL is used by local air districts to generate 

required reports. 

Commercial Fishing Vessel: A vessel dedicated to the search for and collection of fish 

to be sold at market or directly to a purchaser. 

Commitment of Funds: A program milestone in which Carl Moyer Program funds have 

been designated or applied towards an eligible project approved by the air district 
As of 7/11/14 B - 4 DEFINITIONS 

board, air district Air Pollution Control Officer, or other delegated authority. See 

Chapter 3: Program Administration, Section M for additional information. 

Crawler Tractor: A tracked off-road tractor equipped with a substantial metal plate, or 

blade, as opposed to a bucket on a loader. This equipment is commonly referred to as 

a track mounted bulldozer and is used to push large quantities of soil, sand, rubble, etc., 

during construction and mining work. The dozing power of the crawler tractor exceeds 

that of the rubber tired dozer. A ripper, which is a claw-like device, may be attached to 

the back of a larger dozer. 

Crew and Supply Vessel: A self-propelled vessel used for carrying personnel and/or 

supplies to and from off-shore and in-harbor locations (including, but not limited to, offshore work platforms, construction sites, and other vessels). 

Declared Combined Gross Vehicle Weight Range (CGW): The total unladen weight of 

the combination of vehicles plus the heaviest load that will be transported by the 

combination of vehicles (vehicles that pull another vehicle). Declared Combined Gross 

Vehicle Weight Ranges as defined by Department of Motor Vehicles (DMV) under the 

Commercial Vehicle Registration Act on DMV form REG 4008. 

Declared Gross Vehicle Weight Range (GVW): The weight that equals the total 

unladen weight of the vehicle plus the heaviest load that will be transported on the 

vehicle (vehicles that haul a load, but do not pull another vehicle). Declared Gross 

Vehicle Weight Range as defined by DMV under the Commercial Vehicle Registration 

Act on DMV form REG 4008. 

Dredge: A vessel designed to remove debris or earth from the bottom of waterways. 

Dredges may be built with or without a propulsion engine. 

Earned Interest: Interest earnings generated from Carl Moyer Program funds that were 

held by the air district in interest-bearing accounts. The interest earned from these 

funds must be spent on eligible Carl Moyer Program projects or administration. See 

Chapter 3: Program Administration, Section K for additional information. 

Emission Control System: Any device or system employed with engine or piece of 

equipment that is intended to reduce emissions. 

Excavator: An engineering vehicle consisting of an articulated arm (boom, stick), 

bucket and cab mounted on a pivot (a rotating platform, like a lazy susan) atop an 

undercarriage with track or wheel. 

Excursion Vessel: A self-propelled vessel that transports passengers for purposes 

including, but not limited to: dinner cruises; harbor, lake, or river tours; scuba diving 

expeditions; and whale watching tours. Excursion vessels do not include crew and 

supply vessels, ferries, and recreational vessels. 
As of 7/11/14 B - 5 DEFINITIONS 

Executed Contract: A legally binding contract signed by the local air district Air Pollution 

Control Officer, or other air district designated representative, and the grantee to fund 

an eligible engine, equipment, or vehicle project that will reduce covered emissions. An 

executed contract is a program milestone in which parties agree to meet the obligations 

within the contract by a specified date. 

Existing Lawn Mower: A gasoline-fueled, operational lawn mower owned and operated 

in California by the applicant. 

Expend: A program milestone in which the air district has applied a full or partial 

payment of Carl Moyer Program funds towards a project invoice of an eligible Carl 

Moyer Program project. See Chapter 3: Program Administration, Section O for 

additional information. 

Farm Equipment (for Off-Road engines under Chapters 7, 8, and 9): Off-road 

equipment used in agricultural operations as defined in the Regulation for In-Use OffRoad Diesel Vehicles (California Code of Regulations, title 13, § 2449(c)(1)).

Farm Equipment (for Stationary and Portable Agricultural engines under Chapter 10): 

Agricultural Sources as defined in Health and Safety Code section 39011.5. 

Ferry: Any self-propelled vessel or boat or owned, controlled, operated, or managed for 

public use in transportation of carrying passengers, property or vehicles on scheduled 

services. 

Fleet Average Emission Level: The arithmetic mean of the combined hydrocarbon plus 

oxides of nitrogen emissions for each piece of applicable large spark-ignition engine 

powered equipment comprising an operator’s fleet. For full definition, see California 

Code of Regulations, title 13, section 2775. 

Forklift: Means electric Class 1 or 2 rider trucks or large spark-ignition engine powered 

Class 4, 5 or 6 rider trucks as defined by the Industrial Truck Association. Electric 

Class 3 trucks are not forklifts for the purposes of this chapter. More information can be 

found at: http://www.indtrk.org and

http://www.osha.gov/dcsp/products/etools/pit/forklift/types/classes.html. 

Funding Target: The total funds required to meet a program milestone such as contract 

execution, fund expenditure, and funding cycle liquidation. Funding targets assist in 

cumulative progress tracking of funds and take into account funds that include regular 

Carl Moyer Program funds, Multi-district funds, Rural District Assistance Program funds, 

Carl Moyer voucher program funds, required match funds, interest funds, reallocated 

funds, recaptured funds, and other relevant funds associated with the Carl Moyer 

Program. 

Funding Year: The designation given to each year that air districts are awarded Carl 

Moyer Program funds. Carl Moyer Program grant awards were first made in fiscal year 
As of 7/11/14 B - 6 DEFINITIONS 

1998 to 1999; therefore, that year is designated as Year 1; fiscal year 1999 to 2000 is 

Year 2, etc. Each funding year is associated with set times for achieving program 

milestones such as contract execution, fund expenditure, and fund liquidation. 

Funding Year Adjustment: An addition or subtraction to an air district’s project and/or 

administrative fund amounts in one funding year to account for changes (e.g., 

recaptured funds, errors) in liquidated funds in an earlier funding year. 

Glider Kit: A replacement chassis and cab for on-road heavy-duty vehicles. Glider kits 

are identified with a vehicle identification number (VIN) starting with the letters “GL”. 

Gross Vehicle Weight Rating (GVWR): The maximum allowable total weight of a road 

vehicle and a loaded trailer as established by the vehicle manufacturer. The GVWR is 

typically found on an information tag or plate permanently affixed to the vehicle. 

Harbor Craft: (also called “Commercial Harbor Craft”) means any private, commercial, 

government, or military marine vessel including, but not limited to, passenger ferries, 

excursion vessels, tugboats, ocean-going tugboats, towboats, push-boats, crew and 

supply vessels, work boats, pilot vessels, supply boats, fishing vessels, research 

vessels, United States Coast Guard vessels, hovercraft, emergency response harbor 

craft, and barge vessels that do not otherwise meet the definition of ocean-going 

vessels or recreational vessels. 

Heavy-Duty Vehicles (HDV): Defined in the following table: 

Table B-1 

Heavy-Duty Vehicle Classification 

Vehicle Classification GVWR

Light Heavy-Duty (LHD) 8,501 < 14,000 pounds

Medium Heavy-Duty (MHD) 14,001 < 33,000 pounds

Heavy Heavy-Duty (HHD) 33,001 or more pounds

Home Port: The port in which a vessel is registered or permanently based. 

Idle-Limiting Device: A device used to reduce the locomotive idling, such as an 

Automatic Engine Stop-Start, an auxiliary power unit, and a diesel driven heating 

system. 

Incremental Cost: Means the cost of the project less a baseline cost that would 

otherwise be incurred by the applicant in the normal course of business. Incremental 

costs may include added lease or fuel costs pursuant to Health and Safety Code section

44283 as well as incremental capital costs.

Industrial Tow Tractor: Means an electric or large spark-ignition engine-powered 

Class 6 truck as defined by the Industrial Truck Association. They are designed 

primarily to push or pull non-powered trucks, trailers, or other mobile loads. 
As of 7/11/14 B - 7 DEFINITIONS 

Large Fleet under Off-Road Compression Ignition Regulation: A fleet with a total 

maximum power greater than 5,000 horsepower. A fleet must meet large fleet 

requirements of the Off-Road Regulations if the total vehicles under common ownership 

or control would be defined as a large fleet. All fleets owned by the United States, the 

State of California, or agencies thereof (i.e., an agency in the judicial, legislative, or 

executive branch of the federal or state government) are considered as a unit whole and 

must meet the large fleet requirements of the Off-Road Regulation (California Code of

Regulations, title 13, § 2449(c)). 

Large Fleet under Off-Road Large Spark-Ignition Regulation: An operator’s aggregated 

operations in California of 26 or more pieces of large spark-ignition equipment. 

Lawn and Garden Equipment: Equipment used to maintain lawns and gardens. This 

equipment is generally, but not exclusively, powered by spark-ignition engines. This 

equipment is traditionally used in applications such as lawn mowers, edgers, trimmers, 

leaf blowers, and chainsaws. Equipment that does not fall into this category includes 

golf carts, specialty vehicles, generators, pumps, and other small utility equipment. 

Lawn Mower Exchange Event: An occasion where participants’ existing gasoline lawn 

mowers are exchanged for new cordless, zero-emission electric lawn mowers or 

vouchers for new, cordless, zero-emission electric lawn mowers. 

Line-Haul Locomotive: A locomotive typically powered by a newer engine or engines 

totaling 4,000 or more horsepower that transports goods between major urban centers. 

Liquidate: Liquidated funds are those funds for which an air district has completely 

reimbursed an applicant for a valid and eligible project invoice. A contract is considered 

liquidated only when a check or checks are issued for the full contract amount and all 

invoices have been fully paid. Air districts exercising withhold allowances in their 

contracts may exclude these amounts for purposes of liquidation. 

Match Funds: Funds under an air district’s budget authority that will be applied towards 

eligible Carl Moyer Program projects in accordance with the matching requirements of 

the program. See Health and Safety Code section 44287(e). 

Maximum Grant Amount: The maximum amount of money the grantee is eligible to 

receive for a cost-effective Carl Moyer Program project. 

Medium Fleet under Off-Road Compression Ignition Regulation: A fleet with total 

minimum power of greater than 2,500 horsepower and with a total maximum power less 

than or equal to 5,000 horsepower. 

Medium Fleet under Off-Road Large Spark-Ignition Regulation: An operator’s 

aggregated operations in California of 4 to 25 pieces of large spark-ignition equipment. 
As of 7/11/14 B - 8 DEFINITIONS 

Mobile Cargo Handling Equipment: Any motorized vehicle used to handle cargo 

delivered by ship, train, or truck such as yard trucks, rubber tired gantry cranes, top 

picks, dozers, and excavators. 

New Purchases: Vehicles or equipment certified to optional, lower emission standards 

are fundable. 

Non-forklift fleet under Large Spark-Ignition Regulation: An operator’s aggregated 

operations in California of four or more sweeper/scrubbers, industrial tow tractors, or 

pieces of airport ground support equipment, alone or in combination. 

Off-Highway Tractors: Equipment that feature yoke hitches that oscillate four ways to 

reduce frame stresses. Rugged turn stops prevent excessive wagon rotation in either 

direction. The rear platform functions as a power train guard providing a safe, stable 

work area. (These are not off-highway trucks (e.g. articulated trucks or rigid haul 

trucks) which are bulk-handling machines, such as earthmovers or dump trucks, 

designed to operate on steep or rough terrain and not designed to drive on-highway.) 

Off-Road Compression-Ignition Equipment: A vehicle or equipment that is powered by 

an off-road compression-ignition engine which is any internal combustion engine: in or 

on a piece of equipment that is self-propelled or serves as a dual purpose by both 

propelling itself and performing another function and is primarily used off the highways 

(such as garden tractors, off-highway mobile cranes and bulldozers); or in or on a piece 

of equipment that is intended to be propelled while performing its function (such as 

lawnmowers and string trimmers); or that, by itself or in or on a piece of equipment, is 

portable or transportable, meaning designed to be and capable of being carried or 

moved from one location to another. Indicia of transportability include, but are not 

limited to wheels, skids, carrying handles, dolly, trailer, or platform that is consistent with 

California Code of Regulations, title 13 section 2421. 

Off-Road Large Spark Ignition Engine: Means any spark ignition engine that produces 

a gross horsepower of 25 horsepower or greater (greater than 19 kilowatts for 2005 and 

later model year) or is designed to produce 25 horsepower or greater (greater than 19 

kilowatts for 2005 and later model year) used to propel an off-road piece of equipment. 

The engine may be designed to use gasoline fuel, liquid petroleum gas (LPG), 

compressed natural gas, methanol fuel or a combination of these. 

Off-Road Large Spark-Ignition Equipment: Equipment that cannot be registered and 

driven safely on-road or was not designed to be driven on-road. Newer equipment uses 

engines certified to the off-road spark ignition engine standards. These engines may be 

designed to use gasoline fuel, liquid petroleum gas (LPG), compressed natural gas, 

methanol fuel or a combination of these and are most commonly found in forklifts. 

Passenger Locomotive: A locomotive that hauls passengers as its primary function. 
As of 7/11/14 B - 9 DEFINITIONS 

Pilot Vessel: A vessel designed for, but not limited to, the transfer and transport of 

maritime pilots to and from oceangoing vessels while such vessels are underway. 

Program Milestone: One of several actions (e.g., expenditure) that signify progress or 

completion of a Carl Moyer Program project towards meeting statutory requirements. 

Project Funds: State funds allocated towards eligible project costs (incremental costs) 

directly associated with the reduction of covered emissions from covered sources. 

Propulsion Engine: A marine engine that propels the vessel through the water or directs 

the direction of the vessel. 

Public Fleets: Heavy-duty on-road diesel-fueled vehicles operated by a municipality. A 

municipality is a city, county, city and county, special district, or a public agency of the 

State of California, and any department, division, public corporation, or public agency of 

this State, or two or more entities acting jointly, or the duly constituted body of an Indian 

reservation or Rancheria. 

Reallocation: ARB process for allocating mitigation funds and/or returned funds to 

eligible air districts. See Chapter 3: Program Administration, Section S for additional 

information. 

Rebuilt or Remanufactured: Engines offered by the original engine manufacturer (OEM) 

or by a non-OEM rebuilder who demonstrates to ARB that the rebuilt engine and parts 

are functionally equivalent from an emissions and durability standpoint to the OEM 

engine and components being replaced. 

Recaptured Funds: Funds that are returned to the air district due to a project that did 

not meet all of its contractual obligations. Air districts must expend these funds in a 

newer funding year. 

Reduced Technology: Newer technology that is used by the applicant to obtain surplus 

emission reductions. 

Remotely Located Agricultural Engines: Engines located in a federal ambient air quality 

area that is designated as unclassifiable or attainment for all PM and ozone national 

ambient air quality standards and that are located more than one-half mile from any 

residential area, school, or hospital. 

Replacement Lawn Mower: A cordless, zero-emission electric lawn mower. 

Repower: The replacement of an in-use engine with another engine. 

Retrofit: Means an emission control system employed exclusively with an in-use 

engine, vehicle or piece of equipment. 
As of 7/11/14 B - 10 DEFINITIONS 

Returned Funds: Funds that must be returned to ARB for reallocation because they are 

either not expended by the required funding year expenditure deadline, or are 

associated with an ARB Incentive Program Review mitigation measure. 

Rough Terrain Forklift: Class 7 forklifts powered by compression ignition engines and 

have pneumatic tires that handle uneven surfaces. This includes both straight-mast 

forklifts and extended-reach forklift, also called telescopic or telehandlers. 

Rubber Tired Dozer: A wheeled off-road tractor equipped with a substantial metal plate, 

or blade as opposed to a bucket on a loader. This equipment is commonly referred to 

as a rubber tired bulldozer and is used to push large quantities of soil, sand, rubble, 

etc., during construction and mining work where the traction of a crawler tractor is not 

required. A ripper, which is a claw-like device, may be attached to the back of a larger 

dozer. 

Rural District Assistance Program: An element of the Carl Moyer Program in which air 

districts pool their project funds to streamline project outreach, solicitation, and review. 

School Bus: Vehicles used for the express purpose of transporting students, 

kindergarten through grade 12, from home to school, school to home, and to any school 

sponsored activities. 

Shore Power: Electrical power being provided by either the local utility or by distributed 

generation. 

Skid Steer Loader: Very compact and maneuverable off-road tractor that use a bucket 

on the end of movable arms to lift materials and move material such as dirt, debris, 

building materials, bulk goods, heavy objects, or snow removal. Unlike conventional 

loaders, the lift arms are alongside the driver with the pivot points behind the driver's 

shoulders. Skid steer loaders are used in tight spaces and are quite versatile and can 

be equipped with a variety of attachments, such as a hammer, augur, trencher, forklift 

and other attachments (never greater than 120 horsepower (hp), predominantly 

40-75 hp). Skid Steer loaders are often utilized to excavate swimming pools and in 

landscaping residential backyards. 

Small Fleet Under Off-Road Compression Ignition Regulation: A fleet with a total 

maximum power of less than or equal to 2,500 hp that is owned by a business, nonprofit organization, or local municipality, or a local municipality fleet in a low population 

county irrespective of total maximum power, or a non-profit training center irrespective 

of total maximum power. 

Small Fleet (On-Road): A fleet size of three or fewer vehicles as defined in California. 

Code of Regulations, title 13, section 2025(d)(31)(G). 
As of 7/11/14 B - 11 DEFINITIONS 

Solid Waste Collection Vehicle (SWCV): Diesel-fueled vehicles greater than 14,000 

pounds GVWR with model year 1960 through 2006 engines used to collect residential 

and commercial solid waste. 

Sweeper/scrubber: A large spark-ignition engine-powered piece of industrial floor 

cleaning equipment designed to brush and vacuum up small debris and litter and then 

scrub and squeegee the floor. 

Switch Locomotive: A locomotive powered by an engine or engines with less than 

2,300 total horsepower, and used to separate and move railcars from track to track or 

transfer cars to and from regional carriers. All Class 3 railroad locomotives -- including 

all short-line and military and industrial locomotives -- are considered switch 

locomotives for the purposes of the Carl Moyer Program. 

Tow Boat: Any self-propelled vessel engaged in or intending to engage in the service of 

pulling, pushing, or hauling along side barges or other vessels, or any combination of 

pulling, pushing, or hauling along side barges or other vessels. 

Transit Fleet Vehicle: On-road vehicles operated by a public transit agency, less than 

35 feet in length and 33,000 GVWR, but greater than 8,500 GVWR, powered by heavyduty engines fueled by diesel or alternative fuel; including service vehicles, tow trucks, 

dial-a-ride buses, paratransit buses, charter buses, and commuter service buses 

operated during peak commute hours with ten or fewer stops per day. 

Truck Stop Electrification: The retrofit of a truck with components such as engine block 

heaters, fuel heaters, electric heaters or air conditioning for cab/sleeper areas, requiring 

the installation of charging infrastructure at truck stops and rest areas. 

Tug Boat: Any self-propelled vessel engaged in, or intending to engage in, the service 

of pulling, pushing, maneuvering, berthing, or hauling along side other vessels, or any 

combination of pulling, pushing, maneuvering, berthing or hauling along side such 

vessels in harbors, over the open seas, or through rivers and canals. Tug boats 

generally can be divided into three groups: harbor or short-haul tugboats, ocean-going 

or long-haul tugboats, and barge tugboats. “Tug boat” is interchangeable with “tow boat” 

and “push boat” when the vessel is used in conjunction with barges. 

Tier 1, 2, and 3 Engines: Engines that are subject to California Code of Regulations, 

title 13, section 2423(b)(1)(A) and/or Code of Federal Regulations, title 40, 

part 89.112(a). This also includes engines certified under the averaging, banking, and 

trading program with respect to the Tier 1, 2, and 3 Family Emission Limits (FEL) listed 

in California Code of Regulations, title 13, section 2423(b)(2)(A) and/or Code of Federal 

Regulations, title 40, part 89.112(d). 

Tier 4 Engine: Engines that are subject to the interim or final after-treatment based 

Tier 4 emission standards in California Code of Regulations, title 13, section 

2423(b)(1)(B) and/or Code of Federal Regulations, title 40, part 1039.101. This also 
As of 7/11/14 B - 12 DEFINITIONS 

includes engines certified under the averaging, banking, and trading program with 

respect to the Tier 4 FEL listed in California Code of Regulations, title 13, section 

2423(b)(2)(B) and/or Code of Federal Regulations, title 40, part 1039.101. 

Uncontrolled Large Spark-Ignition Engines: Means pre-2001 uncertified engines and 

2001-2003 certified “non-compliant’ large spark-ignition engines. 

Urban Bus: A passenger carrying vehicle owned or operated by a public transit agency, 

powered by a heavy heavy-duty engine, or of a type normally powered by a heavy 

heavy-duty engine, intended primarily for intra-city operation. The buses are generally 

greater than 35 feet, and or greater than 33,000 pounds GVWR. 

Utility: A privately-owned company that provides the same or similar service for water, 

natural gas, and electricity as a public utility operated by a municipality. 

Verification: Means a determination by the Executive Officer that a retrofit meets the 

requirements of the Verification Procedure, Warranty and In-Use Compliance 

Requirements for In-Use Strategies to Control Emissions from Engines. More 

information can be found at this website: 

http://www.arb.ca.gov/diesel/verdev/verdev.htm

Workover Rig: Mobile self-propelled rigs used to perform one or more remedial 

operations on an existing well. The primary function of a workover rig is to act as a 

hoist so that pipe, sucker rods and down-hole equipment can be run into and out of a 

well. Operations include deepening, plugging back, or pulling and resetting liners, 

usually on a producing oil or gas well to try to restore or increase the well’s production. 
APPENDIX C 

COST-EFFECTIVENESS 

CALCULATION METHODOLOGY
As of 7/11/14 C - 2 Cost-Effectiveness

Calculation Methodology

APPENDIX C 

COST-EFFECTIVENESS CALCULATION METHODOLOGY

A. Introduction

All projects are subject to the cost-effectiveness limit defined in Appendix G: Cost 

Effectiveness Limit and Capital Recovery Factors. Carl Moyer Program (Moyer) funding, 

funding under the air district’s budget authority or fiduciary control, and all state funds

must be included in determining the cost-effectiveness of surplus emission reductions. 

Funding provided by federal programs designed to reduce greenhouse gas emissions 

(GHGs) or funding provided by the Alternative and Renewable Fuel and Vehicle 

Technology Program to reduce GHGs do not need to be included in the costeffectiveness calculation. Projects that include such funds must meet all other Carl 

Moyer Program requirements. For more details see Chapter 2 and 3. 

B. General Cost-Effectiveness Calculations

1. Calculating Cost-Effectiveness 

The cost-effectiveness of a project is determined by dividing the annualized cost of 

the potential project by the annual weighted surplus emission reductions that will be 

achieved by the project as shown in Formula C-1 below.

Formula C-1: Cost-Effectiveness of Weighted Surplus Emission Reductions ($/ton)

Cost-Effectiveness ($/ton) = Annualized Cost ($/yr) 

 Annual Weighted Surplus Emission Reductions (tons/yr)

Directions on how to calculate annual emission reductions and annualized cost are 

provided in the sections that follow. 

2. Determining the Annualized Cost

Annualized cost is the amortization of the one-time incentive grant amount for the life 

of the project to yield an estimated annual cost. The annualized cost is calculated by 

multiplying the incremental cost by the capital recovery factor (CRF) from Table G-3. 

The resulting annualized cost is used to complete Formula C-1 above to determine 

the cost-effectiveness of surplus emission reductions. 

Formula C-2: Annualized Cost ($)

Annualized Cost = CRF * incremental cost ($)
As of 7/11/14 C - 3 Cost-Effectiveness

Calculation Methodology

3. Calculating the Incremental Cost

Maximum eligible percent funding amounts define incremental cost; in many cases 

an applicant will provide an estimate of the cost of the reduced technology. The 

incremental cost is determined by multiplying the cost of the reduced technology by 

the maximum eligible percent funding amount (from applicable chapter), as described 

in Formula C-3 below. 

Formula C-3: Incremental Cost ($)

Incremental Cost = Cost of Reduced Technology ($) * Maximum Eligible Percent 

Funding Amount

Generally the cost of the baseline vehicle for a new purchase is assumed to be a 

certain percentage of the cost of a new vehicle meeting reduced emissions from the

standard. The cost of the baseline technology for a repower is assumed to be a 

percentage of the new engine. For retrofits, there is no baseline technology cost; 

hence the entire cost of the retrofit may be eligible for funding in most cases, but not 

for on-road. Refer to the On-Road chapter for specific eligible retrofit cost.

For school bus fleet modernization projects, the incremental cost is determined by 

adjusting the value given to the vehicle by the National Automotive Dealership 

Association (N.A.D.A.), as described in Formula C-4 below.

Formula C-4: Incremental Cost for School Bus Fleet Modernization Projects ($)

When the replacement school bus is not new, use the N.A.D.A value

where the N.A.D.A value is the retail value of the used school bus * 100 

percent.

When the replacement school bus is new, use the invoice of the new 

school bus * 100 percent. 

Use the results from Formula C-3 or C-4 to complete Formula C-2 to determine the 

annualized cost of a project.

4. Calculating the Annual Weighted Surplus Emission Reductions 

Annual weighted emission reductions are estimated by taking the sum of the project’s 

annual surplus pollutant reductions following Formula C-5 below. This will allow 

projects that reduce one, two, or all three of the covered pollutants to be evaluated for 

eligibility to receive Carl Moyer Program funding. While oxides of nitrogen (NOx) and 

reactive organic gases (ROG) emissions are given equal weight, emissions of 

particulate matter (PM) carry a greater weight in the calculation.

Formula C-5: Annual Weighted Surplus Emission Reductions (tons/yr)
As of 7/11/14 C - 4 Cost-Effectiveness

Calculation Methodology

Weighted Emission Reductions = 

NOx reductions (tons/yr) + ROG reductions (tons/yr) + [20 * (PM reductions (tons/yr)]

The result of Formula C-5 is used to complete Formula C-1 to determine the 

cost-effectiveness of surplus emission reductions. 

In order to determine the annual surplus emission reductions by pollutant, 

Formula C-15 below must be completed for each pollutant (NOx, ROG, and PM), for 

the baseline technology and the reduced technology, totaling up to six calculations:

These calculations are completed for each pollutant by multiplying the engine 

emission factor or converted emission standard (found in Appendix D) by the annual 

activity level and by other adjustment factors as specified for the calculation 

methodologies presented. 

5. Calculating Annual Emission Reductions Based on Usage

Usage: The Carl Moyer Program allows the emission reductions from a project to be 

calculated using the following activity factors on an annual basis: 

(A) Hours of operation, 

(B) Fuel consumption, or

(C) Miles traveled. 

Specific activity factors allowed for each project category may differ and are identified 

in the source category chapters of the Carl Moyer Program Guidelines. 

(A) Calculating Annual Emission Reductions Based on Hours of Operation

When actual annual hours of equipment operation are the basis for determining 

emission reductions, the horsepower rating of the engine and an engine load 

factor found in Appendix D must be used. The method for calculating emission 

reductions based on hours of operation is described in Formula C-6 below.

Formula C-6: Estimated Annual Emission Reductions based on hours of 

Operation (tons/yr)

Annual Emissions Reductions =

Baseline Technology Reduced Technology

1. Annual emissions of NOx 4. Annual emissions of NOx

2. Annual emissions of ROG 5. Annual emissions of ROG

3. Annual emissions of PM 6. Annual emissions of PM
As of 7/11/14 C - 5 Cost-Effectiveness

Calculation Methodology

Emission Factor or Converted Emission Standard (grams per brake 

horsepower-hour)(g/bhp-hr)) * Horsepower * Load Factor * Activity 

(hours(hrs)/yr) * Percent Operation in California (CA) * ton/907,200 grams (g)

The engine load factor is an indicator of the nominal amount of work done by the 

engine for a particular application. It is given as a fraction of the rated horsepower 

of the engine and varies with engine application. For projects in which the 

horsepower of the baseline technology and reduced technology are different by 

more than 25 percent, the load factor must be adjusted following Formula C-7 

below. It is important to understand the replacement load factor must never 

exceed 100 percent in cases where the reduced technology engine is significantly 

smaller than the baseline technology engine.

Formula C-7: Replacement Load Factor

Replacement Load Factor = Load Factor baseline * hp baseline/hp reduced

(B) Calculating Annual Emissions Based on Fuel Consumption

When annual fuel consumption is used for determining emission reductions, the 

equipment activity level must be based on annual fuel usage within California 

provided by the applicant. Fuel records must be maintained by the engine owner 

as described in the relevant source category chapter for additional information on 

this topic.

A fuel consumption rate factor must be used to convert emissions given in 

g/bhp-hr to units of grams of emissions per gallon of fuel used (g/gal). The fuel 

consumption rate factor is a number that combines the effects of engine efficiency 

and the energy content of the fuel used in that engine into an approximation of the 

amount of work output by an engine for each unit of fuel consumed. The fuel 

consumption rate factor is found in Table D-24 in Appendix D. Formulas C-8 and 

C-9 below are the formulas for calculating annual emissions based on annual fuel 

consumed.

Formula C-8: Estimated Annual Emissions based on Fuel Consumed using 

Emission Factors or Converted Emission Standard (tons/yr)

Annual Emission Reductions =

Emission Factor or Converted Emission Standard (g/bhp-hr) * fuel 

consumption rate factor (bhp-hr/gallon (gal)) * Activity (gal/yr) * Percent 

Operation in CA * ton/907,200g

Formula C-9: Estimated Annual Emissions based on Fuel using Emission Factors

(tons/yr)
As of 7/11/14 C - 6 Cost-Effectiveness

Calculation Methodology

Annual Emission Reductions =

Emission Factor (g/gal) * Activity (gal/yr) * Percent Operation in CA * 

ton/907,200g

(C) Calculating Annual Emissions Based on Annual Miles Traveled

Calculations based on annual miles traveled are used for on-road projects only. 

Mileage records must be maintained by the engine owner as described in

Chapter 4: On-road Heavy-Duty Vehicles. 

Calculations Using Emission Factors: There is no conversion since the emission 

factors for on-road projects provided are given in units of g/mile. Formula C-10

describes the method for calculating pollutant emissions based on emission 

factors and miles traveled. 

Formula C-10: Estimated Annual Emissions based on Mileage using Emission 

Factors (tons/yr)

Annual Emission Reductions =

Emission Factor (g/mile) * Activity (miles/yr) * Percent Operation in CA * 

ton/907,200g

Calculating Annual Emissions Based on Converted Standards: The unit 

conversion factor found in Tables D-5 and D-6 (Appendix D) are used to convert 

the units of the converted emission standard (g/bhp-hr) to g/mile. Formula C-11 

describes the method for calculating pollutant emissions using converted emission 

standards.

Formula C-11: Estimated Annual Emissions based on Mileage using Converted 

Emission Standards (tons/yr)

Annual Emission Reductions =

Converted Emission Standard (g/bhp-hr) * Unit Conversion (bhp-hr/mile) * Activity 

(miles/yr) * Percent Operation in CA * ton/907,200 g 

6. Calculating Two for One Projects

Two for One Projects: For equipment replacement of Two for One Project, two 

baseline technology equipment will be replaced for one reduced technology. First, 

calculate the emission reduction benefits based on activity for each baseline engine 

separately using Formulas C-6, C-8 or C-10. These emission reductions will then be 

summed together before deducting the emission reduction benefits of the reduced 

technology using Formula C-13. See the sample calculations supplemental 

document for an example on this calculation methodology.
As of 7/11/14 C - 7 Cost-Effectiveness

Calculation Methodology

7. Calculating Split Project Life Projects

Split Project Life: Split Project Life Projects must use a separate project life for the 

two baseline technology scenarios. First, Formulas C-6, C-8, or C-10 must be used 

to calculate emission reduction by pollutant for the two baseline scenarios:

(A) Baseline technology to phase 1 reduced technology

(B) Phase 1 reduced technology to phase 2 reduced technology 

Formula C-5 is used to calculate the annual emission reductions for each baseline 

technology. Next, a fraction of the project life must be applied to the annual emission 

reductions for each of the baseline scenarios, as outlined below in Formula C-12. 

Formula C-12: Split Project Life

Total Annual Weighted Surplus Emission Reductions = 

(Fraction project life / Total project life * Annual weighted surplus 

emissions from transaction 1) + Fraction project life / Total project life * 

Annual weighted surplus emissions from transaction 2) 

Total Annual Weighted Surplus Emission Reductions = (n1 / t * a1) + (n2 / t * a2) 

 n1 = fraction project life from transaction 1

n2 = fraction project life from transaction 2

a1 = Annual weighted surplus emissions from transaction 1

a2 = Annual weighted surplus emissions from transaction 2

 t = total project life 

8. Calculating Annual Surplus Emission Reductions by Pollutant

The final step in this portion of the calculations is to determine the annual surplus 

emission reductions by pollutant. For new purchases and repower projects, subtract 

the annual emissions for the reduced technology from the annual emissions for the 

baseline technology following Formula C-13 below.

Formula C-13: Annual Surplus Emission Reductions by Pollutant (tons/yr) for 

Repowers and New Purchases

Annual Surplus Emission Reductions (by pollutant) =

Annual Emissions for the Baseline Technology – Annual Emissions for the Reduced 

Technology
As of 7/11/14 C - 8 Cost-Effectiveness

Calculation Methodology

For retrofits, multiply the baseline technology pollutant emissions by the percent of 

emission reductions that the ARB-verified reduced technology is verified to following 

Formula C-14 below.

Formula C-14: Annual Surplus Emission Reductions by Pollutant (tons/yr) for 

Retrofits 

Annual Surplus Emission Reductions (by pollutant) =

Annual Emissions for the Baseline Technology * Reduced 

Technology Verification Percent

Calculations must be done for each pollutant, NOx, PM, and ROG, giving a total of 

three calculations.

For fleet modernization projects the baseline will be the newer vehicle emissions.

The annual surplus emission reductions by pollutant would be used in Formula C-5 to 

calculate the annual surplus emission reductions.

9. Calculating a Conversion from Grams to Tons per Year

Conversion to Tons per Year: Since the emission factor or converted standard is

given in units of grams, a conversion from grams to tons is also required, as 

illustrated in Formula C-15 below.

Formula C-15: Estimated Annual Emissions by Pollutant (tons/yr)

Annual Emission Reduction = 

Emission Factor or Converted Emission Standard (g/bhp-hr) * Annual Activity * 

Adjustment Factor(s) * Percent Operation in CA * ton/907,200g

10.Calculations for Co-funding Moyer and Other Public Funds 

Other public financial incentive funds, including tax incentives, received by the 

grantee directly must be deducted from the incremental cost. Air districts must 

request information from grantee to determine what other public financial incentive 

funds will be used for the project. Other public funds which are determined to be 

operating funds and not incentives do not need to be subtracted from the incremental 

cost. Advice of legal counsel is recommended to assist in determining if other public 

funds should be classified as incentives or operating funds. Formula C-16 below 

must be used with Formula C-3 for projects with co-funding to determine the

maximum grant amount based on incremental cost.
As of 7/11/14 C - 9 Cost-Effectiveness

Calculation Methodology

Formula C-16: Incremental Cost Limit for Moyer Grant for Grantees receiving other 

Public Financial Incentive Funds (must be used with Formula C-3 for projects with cofunding)

Maximum Moyer Grant Amount (if cost-effective) =

Incremental Cost (from Formula C-3) - Other Public Financial Incentive Funds 

(including tax rebates and credits)

In addition to Carl Moyer Program funds, air districts must also include all funds 

under the district’s budget authority or fiduciary control plus any other state funds 

when calculating cost-effectiveness for the project; the total funds contributed by the 

air district plus all state funds must meet current cost-effectiveness limits. Use 

Formula C-17a below (instead of Formula C-2) to determine the annualized cost for 

projects with co-funding. 

Formula C-17a: Annualized Cost for Grantees receiving other Public Financial 

Incentive Funds (replaces Formula C-2 for projects with co-funding) 

Annualized Cost ($) = 

CRF * [Maximum Moyer Grant Amount (from Formula C-16) + Air District Funds + 

State Funds] 

For projects that include co-funding and the maximum grant amount based on 

incremental cost plus other district and state funds exceeds the cost-effectiveness 

limit, Formula C-17b must be used with Formula C-18 to determine the maximum 

grant amount. The final Moyer grant amount for a project is derived once the state 

and air district funds are deducted. Use Formula C-17b below to determine the 

amount of funds the grantee may receive from the Carl Moyer Program.

Formula C-17b: Maximum Moyer Grant for Grantees receiving public funds (must be 

used with Formula C-18 for projects with co-funding where the maximum grant 

amount based on incremental cost plus other district and state funds exceeds the 

cost-effectiveness limit)

 

Moyer Grant Amount to Grantee =

Cost-effective Grant Amount (from Formula C-18) – [Air District Funds + 

State Funds] 

Beginning July 1, 2011, federal funding from programs that reduce greenhouse gas 

emissions (GHGs) or funding provided by the Alternative and Renewable Fuel and 

Vehicle Technology Program to reduce GHGs are not required to be included in 

Formulas C-16, C-17a and C-17b; for more details see Chapter 2 and 3.
As of 7/11/14 C - 10 Cost-Effectiveness

Calculation Methodology

11.Calculation for projects exceeding the Cost Effectiveness Limit 

For projects that have exceeded the weighted cost effectiveness limit, the calculation 

methodology below must be applied in order to ensure final grant amounts meet the 

cost effectiveness limit requirement. The maximum grant amount is determined by 

multiplying the maximum allowed cost-effectiveness limit by the estimated annual 

emission reductions and dividing by the capital recovery factor in the C-18 formula 

below. 

Formula C-18: Maximum Grant Amount for projects exceeding Cost Effectiveness 

Limit

Maximum Grant Amount = 

(Cost-effectiveness limit * estimated annual emission reductions)/CRF 

C. List of Formulas

For an easy reference, the necessary formulas to calculate the cost-effectiveness of 

surplus emission reductions for a project funded through the Carl Moyer Program are 

provided below. 

Formula C-1: Cost-Effectiveness of Weighted Surplus Emission Reductions ($/ton):

Cost-Effectiveness ($/ton) = Annualized Cost ($/yr)

Annual Weighted Surplus Emission Reductions (tons/yr)

Formula C-2: Annualized Cost ($)

Annualized Cost = CRF * incremental cost ($)

Formula C-3: Incremental Cost ($)

Incremental Cost = Cost of Reduced Technology ($) * Maximum Eligible Percent 

Funding Amount

Formula C-4: Incremental Cost for School Bus Fleet Modernization Projects ($)

When the replacement school bus is not new, use the N.A.D.A value, where the 

N.A.D.A value is the retail value of the used school bus * 100 percent

When the replacement school bus is new, use the invoice of the new school bus * 

100 percent
As of 7/11/14 C - 11 Cost-Effectiveness

Calculation Methodology

Formula C-5: Annual Weighted Surplus Emission Reductions

Weighted Emission Reductions = 

NOx reductions (tons/yr) + ROG reductions (tons/yr) + [20 * (PM reductions 

(tons/yr)]

Formula C-6: Estimated Annual Emissions based on hours of Operation (tons/yr)

Annual Emission Reductions =

Emission Factor or Converted Emission Standard (g/bhp-hr) * Horsepower

* Load Factor * Activity (hrs/yr) * Percent Operation in CA * ton/907,200 g 

Formula C-7: Replacement Load Factor

Replacement Load Factor = Load Factor baseline * hp baseline/hp reduced

Formula C-8: Estimated Annual Emissions based on Fuel Consumed using Emission 

Factors or Converted Emission Standard (tons/yr)

Annual Emission Reductions =

Emission Factor or Converted Emission Standard (g/bhp-hr) * fuel 

consumption rate factor (bhp-hr/gal) * Activity (gal/yr) * Percent Operation 

in CA * ton/907,200g

Formula C- 9: Estimated Annual Emissions based on Fuel using Emission Factors 

(tons/yr)

Annual Emission Reductions =

Emission Factor (g/gal) * Activity (gal/yr) * Percent Operation in CA * ton/907,200g

Formula C-10: Estimated Annual Emissions based on Mileage using Emission Factors 

(tons/yr)

Annual Emission Reductions =

Emission Factor (g/mile) * Activity (miles/yr) * Percent Operation in CA * 

ton/907,200g

Formula C-11: Estimated Annual Emissions based on Mileage using Converted 

Emission Standards (tons/yr)

Annual Emission Reductions =
As of 7/11/14 C - 12 Cost-Effectiveness

Calculation Methodology

Converted Emission Standard (g/bhp-hr) * Unit Conversion (bhp-hr/mile) * Activity 

(miles/yr) * Percent Operation in CA * ton/907,200g

Formula C-12: Split Project Life

Total Annual Weighted Surplus Emission Reductions =

(Fraction project life / Total project life * Annual weighted surplus 

emissions from transaction 1) + Fraction project life / Total project life * 

Annual weighted surplus emissions from transaction 2) 

Total Annual Weighted Surplus Emission Reductions = (n1 / t * a1) + (n2 / t * a2) 

 n1 = fraction project life from transaction 1

n2 = fraction project life from transaction 2 

a1 = Annual weighted surplus emissions from transaction 1

a2 = Annual weighted surplus emissions from transaction 2

 t = total project life

Formula C-13: Annual Surplus Emission Reductions by Pollutant (tons/yr) for Repowers 

and New Purchases

Annual Surplus Emission Reductions (by pollutant) =

Annual Emissions for the Baseline Technology – Annual Emissions for the Reduced 

Technology

Formula C-14: Annual Surplus Emission Reductions by Pollutant (tons/yr) for Retrofits

Annual Surplus Emission Reductions (by pollutant) =

Annual Emissions for the Baseline Technology * Reduced 

Technology Verification Percent

Formula C-15: Estimated Annual Emissions by Pollutant (tons/yr)

Annual Emission Reduction = 

Emission Factor or Converted Emission Standard (g/bhp-hr) * Annual Activity * 

Adjustment Factor(s) * Percent Operation in CA * ton/907,200g

Formula C-16: Incremental Cost Limit for Moyer Grant for Grantees receiving other 

Public Financial Incentive Funds

Maximum Moyer Grant Amount (if cost-effective) =
As of 7/11/14 C - 13 Cost-Effectiveness

Calculation Methodology

Incremental Cost (from Formula C-3) - Other Public Financial Incentive Funds 

Formula C-17a: Annualized Cost for Grantees receiving other Public Financial Incentive 

Funds 

Annualized Cost ($) = 

CRF * [Maximum Moyer Grant Amount (from Formula C-16) + Air District Funds + 

State Funds] 

Formula C-17b: Moyer Grant for Grantees receiving public funds from Air District

Moyer Grant Amount to Grantee =

Cost-effective Grant Amount (from Formula C-18) – [Air District Funds + 

State Funds]

Formula C-18: Maximum Grant Amount for projects exceeding Cost Effectiveness Limit

Maximum Grant Amount =

(Cost-effectiveness limit * estimated annual emission reductions)/CRF 
APPENDIX D 

TABLES FOR EMISSION REDUCTION AND

COST-EFFECTIVENESS CALCULATIONS
As of 7/11/14 D - 2 EMISSIONS TABLES

APPENDIX D 

TABLES FOR EMISSION REDUCTION AND

COST-EFFECTIVENESS CALCULATIONS 

This appendix presents tables summarizing the data needed to calculate the emission 

reductions and cost-effectiveness of potential projects. Included are data such as 

engine emission factors, load factors, and other conversion factors used in the 

calculations discussed in Appendix C: Cost-Effectiveness Calculation Methodology. 

Table # 

Heavy-Duty On-Road Projects D-1 to D-6 

Emergency Vehicles D-9a to D-9b

Off-Road Diesel and Non-Mobile Agricultural (Ag) Projects D-10 to D-14

Large Spark-Ignition (LSI) Projects D-15 to D-16 

Locomotive Projects D-17a to D-18

Marine Projects D-19a to D-23 

All Engines – Fuel Consumption D-24 

Reference Tables D-25 to D-28
As of 7/11/14 D - 3 EMISSIONS TABLES

HEAVY-DUTY ON-ROAD PROJECTS

Table D-1 

Diesel Heavy-Duty Engines

Converted Emission Standards for Fuel Based Usage Calculations

EO Certification Standards

g/bhp-hr

NOx ROG(a) PM10

g/gal(b)(c)(d)

6.0 NOx 0.60 PM10 103.23 5.33 7.992

5.0 NOx 0.25 PM10 86.03 4.44 3.330

5.0 NOx 0.10 PM10 86.03 4.44 1.332

4.0 NOx 0.10 PM10 68.82 3.55 1.332

2.5 NOx + NMHC 0.10 PM10 40.86 2.11 1.332

1.8 NOx + NMHC 0.01 PM10 29.42 1.52 0.148

1.5 NOx + NMHC 0.01 PM10 24.52 1.27 0.148

1.2 NOx + NMHC 0.01 PM10 19.61 1.01 0.148

0.84 NOx + NMHC 0.01 PM10 13.73 0.71 0.148

0.50 NOx 0.01 PM10 8.60 0.44 0.148

0.20 NOX 0.01 PM10 3.44 0.18 0.148

a - ROG = HC * 1.26639.

b - Fuel based emissions factors were calculated using fuel consumption rate factors from Table D-24.

c - Fuel based factors are for engines less than 750 horsepower only.

d - Emission standards were converted where appropriate, using the NMHC and NOx fraction default

 values and the ultra low-sulfur diesel fuel correction factors listed in Tables D-25 and D-26,

 respectively.
As of 7/11/14 D - 4 EMISSIONS TABLES

Table D-2 

Alternative Fuel Heavy-Duty Engines

Converted Emission Standards for Fuel Based Usage Calculations

EO Certification Standards

g/bhp-hr

NOx ROG(a) PM10

g/gal(b)(c)(d)

6.0 NOx 0.60 PM10 111.00 35.14 11.100

5.0 NOx 0.25 PM10 92.50 29.29 4.625

5.0 NOx 0.10 PM10 92.50 29.29 1.850

4.0 NOx 0.10 PM10 74.00 23.43 1.850

2.5 NOx + NMHC 0.10 PM10 37.00 11.71 1.850

1.8 NOx + NMHC 0.01 PM10 26.64 8.43 0.185

1.5 NOx + NMHC 0.01 PM10 22.20 7.03 0.185

1.2 NOx + NMHC 0.01 PM10 17.76 5.62 0.185

0.84 NOx + NMHC 0.01 PM10 12.43 3.94 0.185

0.50 NOx 0.01 PM10 9.25 2.93 0.185

0.20 NOX 0.01 PM10 3.70 1.17 0.185

a - ROG = HC * 1.26639.

b - Fuel based emissions factors were calculated using fuel consumption rate factors from Table D-24.

c - Fuel based factors are for engines less than 750 horsepower only.

d - Emission standards were converted where appropriate, using the NMHC and NOx fraction default

 values listed in Table D-25.
As of 7/11/14 D - 5 EMISSIONS TABLES

Table D-3

Heavy-Duty Vehicles 

14,001-33,000 pounds (lbs) Gross Vehicle Weight Rating (GVWR)

Emission Factors for Mileage Based Calculations (g/mile)(a)

Model Year

Diesel(b)

NOx ROG(c) PM10

Pre-1987 14.52 0.75 0.69

1987-1990 14.31 0.59 0.75

1991-1993 10.70 0.26 0.41

1994-1997 10.51 0.20 0.23

1998-2002 10.33 0.20 0.25

2003-2006 6.84 0.13 0.16

2007-2009 4.01 0.11 0.02

2007-2009

(0.50 g/bhp-hr NOx or Cleaner)(d) 1.73 0.10 0.017

2010+ 0.74 0.09 0.02

a - EMFAC 2011 Zero-Mile Based Emission Factors.

b - Emission factors incorporate the ultra low-sulfur diesel fuel correction factors

 listed in Table D-26.

c - ROG = HC * 1.26639.

d - Use interpolated values assuming 1.2 g/bhp-hr NOx Standards for 2007-2009 Model Year

 Grouping and 0.2 g/bhp-hr NOx Standards for 2010+ Model Years.
As of 7/11/14 D - 6 EMISSIONS TABLES

Table D-4

Heavy-Duty Vehicles

Over 33,000 lbs GVWR

Emission Factors for Mileage Based Calculations (g/mile)(a)

Model Year

Diesel(b)

NOx ROG(c) PM10

Pre-1987 21.37 1.09 1.25

1987-1990 21.07 0.86 1.35

1991-1993 18.24 0.56 0.56

1994-1997 17.92 0.42 0.37

1998-2002 17.61 0.43 0.40

2003-2006 11.64 0.27 0.25

2007-2009 6.62 0.23 0.03

2007-2009

(0.50 g/bhp-hr NOx or Cleaner)(d) 2.88 0.20 0.028

2010+ 1.27 0.19 0.03

a - EMFAC 2011 Zero-Mile Based Emission Factors.

b - Emission factors incorporate the ultra low-sulfur diesel fuel correction factors

 listed in Table D-26.

c - ROG = HC * 1.26639.

d - Use interpolated values assuming 1.2 g/bhp-hr NOx Standards for 2007-2009 Model Year

 Grouping and 0.2 g/bhp-hr NOx Standards for 2010+ Model Years.
As of 7/11/14 D - 7 EMISSIONS TABLES

Table D-5 

Diesel Urban Buses

Converted Emission Standards

EO Certification Standards(f)

g/hbp-hr

NOx ROG(a) PM10 NOx ROG(a) PM10

g/mile(b) g/gal(c)(d)(e)

6.0 NOx 0.6 PM10 22.32 1.15 1.73 103.23 5.33 7.99

5.0 NOx 0.1 PM10 18.60 0.96 0.29 86.03 4.44 1.33

5.0 NOx 0.07 PM10 18.60 0.96 0.20 86.03 4.44 0.93

4.0 NOx 0.05 PM10 14.88 0.77 0.14 68.82 3.55 0.67

2.5 NOx + NMHC 0.05 PM10 8.84 0.46 0.14 40.86 2.11 0.67

1.20 NOx 0.01 PM10 4.46 0.23 0.03 20.65 1.07 0.15

0.20 NOx 0.01 PM10 0.74 0.04 0.03 3.44 0.18 0.15

a - ROG = HC * 1.26639.

b - Mileage based emissions factors were calculated using conversion factors from Table D-28.

c - Fuel based emissions factors were calculated using fuel consumption rate factors from Table D-24.

d - Fuel based factors are for engines less than 750 horsepower only.

e - Emission standards were converted where appropriate, using the NMHC and NOx fraction default 

 values listed in Table D-25.

f - No diesel buses have been certified to the 0.5 g/bhp/hr for the 2004-2006 model year emission 

 standard.
As of 7/11/14 D - 8 EMISSIONS TABLES

Table D-6 

Natural Gas Urban Buses

Converted Emission Standards

EO Certification Standards

g/bhp-hr

NOx ROG(a) PM10 NOx ROG(a) PM10

g/mile(b) g/gal(c)(d)(e)

5.0 NOx 0.10 PM10 20.00 6.33 0.40 92.50 29.29 1.85

5.0 NOx 0.07 PM10 20.00 6.33 0.28 92.50 29.29 1.30

4.0 NOx 0.05 PM10 16.00 5.07 0.20 74.00 23.43 0.93

2.5 NOx + NMHC 0.05 PM10 8.00 2.53 0.20 37.00 11.71 0.93

1.8 NOx + NMHC(f)(g) 0.02 PM10 5.76 1.82 0.08 26.64 8.43 0.37

1.20 NOx 0.01 PM10 4.80 1.52 0.04 22.20 7.03 0.19

0.20 NOx 0.01 PM10 0.80 0.25 0.04 3.70 1.17 0.19

a - ROG = HC * 1.26639.

b - Mileage based emissions factors were calculated using conversion factors from Table D-28.

c - Fuel based emissions factors were calculated using fuel consumption rate factors from Table D-24.

d - Fuel based factors are for engines less than 750 horsepower only.

e - Emission standards were converted where appropriate, using the NMHC and NOx fraction default

 values listed in Table D-25.

f - A majority of the natural gas urban buses have been certified to the optional standards. Therefore,

 these values are based on the optional standards.

g - Many natural gas urban buses have been certified to optional standards below this level.
As of 7/11/14 D - 9 EMISSIONS TABLES

Table D-7 

Transport Refrigeration Units (TRU) and Auxiliary Power Unit (APU) Default Load 

Factors - DELETED

Table D-8 

TRU and APU Emission Factors (g/bhp-hr) - DELETED
As of 7/11/14 D - 10 EMISSIONS TABLES

Table D-9a 

Emergency Vehicle (Fire Apparatus) 

Medium Heavy-Duty Diesel Engine

Converted Emission Standards

Model Year

g/bhp-hr g/mile(a)(b) g/gallon(b)(c)(d)

Certification Standard NOx ROG(e) PM10 NOx ROG(e) PM10

pre-1990 6.0 NOx 10.60 0.55 0.821 103.23 5.33 7.992

1990 6.0 NOx 10.04 0.52 0.778 103.23 5.33 7.992

1991 - 1993 5.0 NOx 8.37 0.43 0.324 86.03 4.44 3.330

1994 - 1997 5.0 NOx 8.37 0.43 0.130 86.03 4.44 1.332

1998 - 2001 4.0 NOx 6.70 0.35 0.130 68.82 3.55 1.332

2002 - 2006 2.5 NOx + NMHC 3.98 0.21 0.130 40.86 2.11 1.332

2007 - 2009 1.2 NOx + NMHC 1.91 0.10 0.014 19.61 1.01 0.148

2010+ 0.2 NOx 0.33 0.23 0.014 3.44 2.36 0.148

a - Mileage based emissions factors were calculated using conversion factors from Table D-28. 

b - Emission standards were converted where appropriate, using the NMHC and NOx fraction default 

values and the ultra low-sulfur diesel fuel correction factors listed in Tables D-25 and D-26, respectively.

c - Fuel based emissions factors were calculated using fuel consumption rate factors from Table D-24.

d - Fuel based factors are for engines less than 750 horsepower only.

e - ROG = Hydrocarbons (HC) * 1.26639. 

Table D-9b 

Emergency Vehicle (Fire Apparatus) 

Heavy Heavy-Duty Diesel Engine

Converted Emission Standards

Model Year

g/bhp-hr g/mile(a)(b) g/gallon(b)(c)(d)

Certification Standard NOx ROG(e) PM10 NOx ROG(e) PM10

pre-1990 6.0 NOx 17.30 0.89 1.339 103.23 5.33 7.992

1990 6.0 NOx 16.74 0.86 1.296 103.23 5.33 7.992

1991 - 1993 5.0 NOx 13.95 0.72 0.540 86.03 4.44 3.330

1994 - 1997 5.0 NOx 13.49 0.70 0.209 86.03 4.44 1.332

1998 - 2001 4.0 NOx 10.79 0.56 0.209 68.82 3.55 1.332

2002 - 2006 2.5 NOx + NMHC 6.41 0.33 0.209 40.86 2.11 1.332

2007 - 2009 1.2 NOx + NMHC 3.07 0.16 0.023 19.61 1.01 0.148

2010+ 0.2 NOx 0.54 0.37 0.023 3.44 2.36 0.148

a - Mileage based emissions factors were calculated using conversion factors from Table D-28. 

b - Emission standards were converted where appropriate, using the NMHC and NOx fraction default 

values and the ultra low-sulfur diesel fuel correction factors listed in Tables D-25 and D-26, respectively.

c - Fuel based emissions factors were calculated using fuel consumption rate factors from Table D-24.

d - Fuel based factors are for engines less than 750 horsepower only.

e - ROG = HC * 1.26639. 
As of 7/11/14 D - 11 EMISSIONS TABLES

OFF-ROAD PROJECTS AND

NON-MOBILE AGRICULTURAL PROJECTS

Table D-10

Off-Road Diesel Engines Default Load Factors

Category Equipment Type Load Factor 

Airport Ground Support Aircraft Tug 0.54

Air Conditioner 0.75

Air Start Unit 0.90

Baggage Tug 0.37

Belt Loader 0.34

Bobtail 0.37

Cargo Loader 0.34

Cargo Tractor 0.36

Forklift 0.20

Ground Power Unit 0.75

Lift 0.34

Passenger Stand 0.40

Service Truck 0.20

Other GSE 0.34

Agricultural (Mobile, 

Portable or Stationary)

Agricultural Mowers 0.43

Agricultural Tractors 0.70

Balers 0.58

Combines/Choppers 0.70

Chippers/Stump Grinders 0.73

Generator Sets 0.74

Hydro Power Units 0.48

Irrigation Pump 0.65

Shredders 0.40

Sprayers 0.50

Swathers 0.55

Tillers 0.78

Other Agricultural 0.51

Construction Air Compressors 0.48

Bore/Drill Rigs 0.50

Cement & Mortar Mixers 0.56

Concrete/Industrial Saws 0.73

Concrete/Trash Pump 0.74

Cranes 0.29

Crawler Tractors 0.43

Crushing/Process Equipment 0.78

Excavators 0.38

Graders 0.41
As of 7/11/14 D - 12 EMISSIONS TABLES

Table D-10

Off-Road Diesel Engines Default Load Factors

(Continued)

Category Equipment Type Load Factor 

Construction Off-Highway Tractors 0.44

Off-Highway Trucks 0.38

Pavers 0.42

Other Paving 0.36

Pressure Washer 0.30

Rollers 0.38

Rough Terrain Forklifts 0.40

Rubber Tired Dozers 0.40

Rubber Tired Loaders 0.36

Scrapers 0.48

Signal Boards 0.78

Skid Steer Loaders 0.37

Surfacing Equipment 0.30

Tractors/Loaders/Backhoes 0.37

Trenchers 0.50

Welders 0.45

Other Construction Equipment 0.42

Industrial Aerial Lifts 0.31

Forklifts 0.20

Sweepers/Scrubbers 0.46

Other General Industrial 0.34

Other Material Handling 0.40

Logging Fellers/Bunchers 0.71

Skidders 0.74

Oil Drilling Drill Rig 0.50

Lift (Drilling) 0.60

Swivel 0.60

Workover Rig (Mobile) 0.50

Other Workover Equipment 0.60

Cargo Handling Container Handling Equipment 0.59

Cranes 0.43

Excavators 0.57

Forklifts 0.30

Other Cargo Handling Equipment 0.51

Sweeper/Scrubber 0.68

Tractors/Loaders/Backhoes 0.55

Yard Trucks 0.65

Other All 0.43
As of 7/11/14 D - 13 EMISSIONS TABLES

Table D-11

Uncontrolled Off-Road Diesel Engines

Emission Factors (g/bhp-hr)

Horsepower Model Year NOx ROG PM10

25 – 49 pre-1988 6.51 2.21 0.547

1988 + 6.42 2.17 0.547

50 – 119 pre-1988 12.09 1.73 0.605

1988 + 8.14 1.19 0.497

120+ pre-1970 13.02 1.59 0.554

1970 – 1979 11.16 1.20 0.396

1980 – 1987 10.23 1.06 0.396

1988 + 7.60 0.82 0.274
As of 7/11/14 D - 14 EMISSIONS TABLES

Table D-12

Controlled Off-Road Diesel Engines

Emission Factors (g/bhp-hr)(a)

Horsepower Tier NOx ROG PM10

25-49 1 5.26 1.74 0.480

2 4.63 0.29 0.280

4 Interim 4.55 0.12 0.128

4 Final 2.75 0.12 0.008

50-74 1 6.54 1.19 0.552

2 4.75 0.23 0.192

3(b) 2.74 0.12 0.192

4 Interim 2.74 0.12 0.112

4 Final 2.74 0.12 0.008

75-99 1 6.54 1.19 0.552

2 4.75 0.23 0.192

3 2.74 0.12 0.192

4 Phase-Out 2.74 0.12 0.008

4 Phase-In/ 

Alternate NOx

2.14 0.11 0.008

4 Final 0.26 0.06 0.008

100-174 1 6.54 0.82 0.274

2 4.17 0.19 0.128

3 2.32 0.12 0.112

4 Phase-Out 2.32 0.12 0.008

4 Phase-In/ 

Alternate NOx

2.15 0.06 0.008

4 Final 0.26 0.06 0.008

175-299 1 5.93 0.38 0.108

2 4.15 0.12 0.088

3 2.32 0.12 0.088

4 Phase-Out 2.32 0.12 0.008

4 Phase-In/ 

Alternate NOx

1.29 0.08 0.008

4 Final 0.26 0.06 0.008
As of 7/11/14 D - 15 EMISSIONS TABLES

Table D-12

Controlled Off-Road Diesel Engines

Emission Factors (g/bhp-hr)(a)

(Continued)

Horsepower Tier NOx ROG PM10

300-750 1 5.93 0.38 0.108

2 3.79 0.12 0.088

3 2.32 0.12 0.088

4 Phase-Out 2.32 0.12 0.008

4 Phase-In/ 

Alternate NOx

1.29 0.08 0.008

4 Final 0.26 0.06 0.008

751+ 1 5.93 0.38 0.108

2 3.79 0.12 0.088

4 Interim 2.24 0.12 0.048

4 Final 2.24 0.06 0.016

Note: Engines that are participating in the “Tier 4 Early Introduction Incentive for Engine Manufacturers” 

program per California Code of Regulations, Title 13, section 2423(b)(6) are eligible for funding provided 

the engines are certified to the final Tier 4 emission standards. The ARB Executive Order indicates 

engines certified under this provision. The emission rates for these engines used to determine costeffectiveness shall be equivalent to the emission factors associated with Tier 3 engines.

For equipment with baseline engines certified under the flexibility provisions per California Code of 

Regulations, Title 13, section 2423(d), baseline emission rates shall be determined by using the previous 

applicable emission standard or Tier for that engine model year and horsepower rating. The ARB 

Executive Order indicates engines certified under this provision.

a - Emission factors were converted using the ultra low-sulfur diesel fuel correction factors listed in 

Table D-27. 

b - Alternate compliance option.
As of 7/11/14 D - 16 EMISSIONS TABLES

LARGE SPARK IGNITION ENGINES

Table D-13

Off-Road LSI Equipment Default Load Factors

Category Equipment Type Load Factor

Agriculture (Mobile, 

Portable or Stationary)

Agricultural Tractors 0.62

Balers 0.55

Combines/Choppers 0.74

Chipper/Stump Grinder 0.78

Generator Sets 0.68

Sprayers 0.50

Swathers 0.52

Pumps 0.65

Other Agricultural Equipment 0.55

Airport Ground Support A/C Tug 0.80

Baggage Tug 0.55

Belt Loader 0.50

Bobtail 0.55

Cargo Loader 0.50

Forklift 0.30

Ground Power Unit 0.75

Lift 0.50

Passenger Stand 0.59

Other GSE 0.50

Construction Air Compressors 0.56

Asphalt Pavers 0.66

Bore/Drill Rigs 0.79

Concrete/Industrial Saws 0.78

Concrete/Trash Pump 0.69

Cranes 0.47

Gas Compressor 0.85

Paving Equipment 0.59

Pressure Washer 0.85

Rollers 0.62

Rough Terrain Forklifts 0.63

Rubber Tired Loaders 0.54

Skid Steer Loaders 0.58

Tractors/Loaders/Backhoes 0.48
As of 7/11/14 D - 17 EMISSIONS TABLES

Table D-13

Off-Road LSI Equipment Default Load Factors

(Continued)

Category Equipment Type Load Factor

Construction Trenchers 0.66

Welders 0.51

Other Construction 0.48

Industrial Aerial Lifts 0.46

Forklifts 0.30

Sweepers/Scrubbers 0.71

Other Industrial 0.54
As of 7/11/14 D - 18 EMISSIONS TABLES

Table D-14

Off-Road LSI Engines

Emission Factors (g/bhp-hr)

Horsepower Fuel Model Year NOx ROG PM10 

25 – 49 Gasoline Uncontrolled – pre-2004 8.01 3.81 0.060

Controlled 2001-2006 1.33 0.72 0.060

Controlled 2007-2009(a) 0.89 0.48 0.060

Controlled 2010+ 0.27 0.14 0.060

Alt Fuel Uncontrolled – pre-2004 13.00 0.90 0.060

Controlled 2001-2006 1.95 0.09 0.060

Controlled 2007-2009(a) 1.30 0.06 0.060

Controlled 2010+ 0.39 0.02 0.060

50 – 120 Gasoline Uncontrolled – pre-2004 11.84 2.66 0.060

Controlled 2001-2006 1.78 0.26 0.060

Controlled 2007-2009(a) 1.19 0.18 0.060

Controlled 2010+ 0.36 0.05 0.060

Alt Fuel Uncontrolled – pre-2004 10.51 1.02 0.060

Controlled 2001-2006 1.58 0.11 0.060

Controlled 2007-2009(a) 1.05 0.07 0.060

Controlled 2010+ 0.32 0.02 0.060

>120 Gasoline Uncontrolled – pre-2004 12.94 1.63 0.060

Controlled 2001-2006 1.94 0.16 0.060

Controlled 2007-2009(a) 1.29 0.11 0.060

Controlled 2010+ 0.39 0.03 0.060

Alt Fuel Uncontrolled – pre-2004 10.51 0.90 0.060

Controlled 2001-2006 1.58 0.09 0.060

Controlled 2007-2009(a) 1.05 0.06 0.060

Controlled 2010+ 0.32 0.02 0.060

a - Emission factors for federally certified engines used in preempt equipment. 
As of 7/11/14 D - 19 EMISSIONS TABLES

Table D-15

Emission Factors for Off-Road LSI Engine Retrofits

Verified to Absolute Emission Number (g/bhp-hr) 

Manufacturers of LSI retrofit systems may verify to a percent emission reduction or 

absolute emissions. If a retrofit system is verified to a percent reduction, the emission 

factors will be that verified percent of the appropriate emissions factors in Table D-14. If 

a retrofit system is verified to an absolute emission number, use the following table for 

the emission factors.

Fuel Verified Value NOx ROG PM10

Gasoline 3.0 g/bhp-hr 1.78 0.26 0.060 

2.5 g/bhp-hr 1.48 0.22 0.060 

2.0 g/bhp-hr 1.19 0.18 0.060 

1.5 g/bhp-hr 0.89 0.13 0.060 

1.0 g/bhp-hr 0.59 0.09 0.060 

0.6 g/bhp-hr 0.36 0.05 0.060 

0.5 g/bhp-hr 0.30 0.04 0.060 

Alt Fuel 3.0 g/bhp-hr 1.58 0.10 0.060 

2.5 g/bhp-hr 1.32 0.09 0.060 

2.0 g/bhp-hr 1.05 0.07 0.060 

1.5 g/bhp-hr 0.79 0.05 0.060 

1.0 g/bhp-hr 0.53 0.03 0.060 

0.6 g/bhp-hr 0.32 0.02 0.060 

0.5 g/bhp-hr 0.26 0.02 0.060 
As of 7/11/14 D - 20 EMISSIONS TABLES

Table D-16

Off-Road LSI Engines Certified to Optional Standards 

Emission Factors (g/bhp-hr)

Horsepower Fuel Optional Standard NOx ROG PM10

25-50 Gasoline 1.50 0.67 0.36 0.060 

1.00 0.44 0.24 0.060 

0.60 0.27 0.14 0.060 

0.40 0.18 0.10 0.060 

0.20 0.09 0.05 0.060 

0.10 0.04 0.02 0.060 

Alt Fuel 1.50 0.98 0.05 0.060 

1.00 0.65 0.03 0.060 

0.60 0.39 0.02 0.060 

0.40 0.26 0.01 0.060 

0.20 0.13 0.01 0.060 

0.10 0.07 0.00 0.060 

50-120 Gasoline 1.50 0.89 0.13 0.060 

1.00 0.59 0.09 0.060 

0.60 0.36 0.05 0.060 

0.40 0.24 0.04 0.060 

0.20 0.12 0.02 0.060 

0.10 0.06 0.01 0.060 

Alt Fuel 1.50 0.79 0.05 0.060 

1.00 0.53 0.03 0.060 

0.60 0.32 0.02 0.060 

0.40 0.21 0.01 0.060 

0.20 0.11 0.01 0.060 

0.10 0.05 0.00 0.060 

>120 Gasoline 1.50 0.97 0.08 0.060 

1.00 0.65 0.05 0.060 

0.60 0.39 0.03 0.060 

0.40 0.26 0.02 0.060 

0.20 0.13 0.01 0.060 

0.10 0.06 0.01 0.060 

Alt Fuel 1.50 0.79 0.05 0.060 

1.00 0.53 0.03 0.060 

0.60 0.32 0.02 0.060 

0.40 0.21 0.01 0.060 

0.20 0.11 0.01 0.060 

0.10 0.05 0.00 0.060 
As of 7/11/14 D - 21 EMISSIONS TABLES

LOCOMOTIVES 

Table D-17a 

Locomotive Emission Factors (g/bhp-hr)

Based on 1998 Federal Standards

Engine Model Year Type NOx(a) ROG(b) PM10(a)

Pre-1973 Line-haul and 

Passenger 12.22 0.51 0.275

Switcher 16.36 1.06 0.378

1973-2001

Tier 0

Line-haul and 

Passenger 8.93 1.05 0.516

Switcher 13.16 2.21 0.619

2002-2004

Tier 1

Line-haul and 

Passenger 6.96 0.58 0.387

Switcher 10.34 1.26 0.464

2005-2011

Tier 2

Line-haul and 

Passenger 5.17 0.32 0.172

Switcher 7.61 0.63 0.206

These factors are to be used for the project baseline emissions if the baseline locomotive is certified or 

required to be certified to the 1998 federal locomotive remanufacture standards, and for the reduced 

emission locomotive if the project locomotive is remanufactured to these 1998 standards. Factors are 

based upon Regulatory Impact Analysis: Final United States Environmental Protection Agency (U.S. 

EPA) Locomotive Regulation (2008).

a - NOx and PM10 emission factors have been adjusted by a factor of 0.94 and 0.86, respectively, to 

account for use of California ultra-low sulfur diesel fuel.

b - ROG = HC * 1.053
As of 7/11/14 D - 22 EMISSIONS TABLES

Table D-17b 

Locomotive Emission Factors (g/bhp-hr)

Based on 2008 Federal Standards

Engine Model Year Type NOx(a) ROG(b) PM10(a)

1973-2001

Tier 0+

Line-haul and 

Passenger 6.96 0.58 0.189

Switcher 11.09 2.21 0.224

2002-2004

Tier 1+

Line-haul and 

Passenger 6.96 0.58 0.189

Switcher 10.34 1.26 0.224

2005-2011

Tier 2+

Line-haul and 

Passenger 5.17 0.32 0.086

Switcher 7.61 0.63 0.112

2011-2014

Tier 3

Line-haul and 

Passenger 5.17 0.32 0.086

Switcher 4.70 0.63 0.086

2015

Tier 4

Line-haul and 

Passenger 1.22 0.15 0.026

Switcher 1.22 0.15 0.026

These factors are to be used for the project baseline emissions if the baseline locomotive is certified or 

required to be certified to the new (2008) federal locomotive remanufacture standards, and for the 

reduced emission locomotive if the project locomotive is remanufactured to the new standards or meets 

Tier 3 standards. Factors are based upon Regulatory Impact Analysis: Final U.S. EPA Locomotive 

Regulation (2008).

a - NOx and PM10 emission factors have been adjusted by a factor of 0.94 and 0.86, respectively, to 

account for use of California ultra-low sulfur diesel fuel.

b - ROG = HC * 1.053
As of 7/11/14 D - 23 EMISSIONS TABLES

Table D-18

Locomotive Idle-Limiting Device Emission Reduction Factors

Type Factor

Switchers 0.90

Line-Haul 0.97

Passenger 0.97

Note: Factors based on assumption Idle Limiting Device

(ILD) reduces locomotive engine idling by 50 percent. 

Multiply total baseline emissions by this factor to determine 

reduced emissions with ILD.
As of 7/11/14 D - 24 EMISSIONS TABLES

MARINE VESSELS

Table D-19a 

Uncontrolled Harbor Craft Propulsion Engine

Emission Factors (g/bhp-hr)

Horsepower Model Year NOx ROG PM10

25-50 All 7.57 1.32 0.520

51-120 pre-1997 14.27 1.04 0.575

1997+ 9.70 0.71 0.524

121-250 pre-1971 15.36 0.95 0.527

1971-1978 14.27 0.79 0.451

1979-1983 13.17 0.72 0.376

1984+ 12.07 0.68 0.376

251+ pre-1971 15.36 0.91 0.506

1971-1978 14.27 0.76 0.431

1979-1983 13.17 0.68 0.363

1984-1994 12.07 0.65 0.363

251-750 1995+ 8.97 0.49 0.260

751+ 1995+ 12.07 0.60 0.363
As of 7/11/14 D - 25 EMISSIONS TABLES

Table D-19b 

Controlled Harbor Craft Propulsion Engine

Emission Factors (g/bhp-hr)

Horsepower Tier NOx ROG PM10

25-50 1 6.93 1.30 0.580

2 5.04 1.30 0.240 

3 5.04 1.30 0.176

51-120 1 6.93 0.71 0.524

2 5.04 0.71 0.240

3 5.04 0.71 0.176

121-175 1 8.97 0.49 0.290

2 4.84 0.49 0.176

3 3.60 0.49 0.077

176-750 1 8.97 0.49 0.290

2 4.84 0.49 0.120

3 3.87 0.49 0.068

751-1900 1 8.97 0.49 0.290

2 5.24 0.49 0.160

3 3.87 0.49 0.068

1901 + 1 8.97 0.49 0.290

2 5.24 0.49 0.160

3 4.14 0.49 0.085
As of 7/11/14 D - 26 EMISSIONS TABLES

Table D-20a 

Uncontrolled Harbor Craft Auxiliary Engine 

Emission Factors (g/bhp-hr)

Horsepower Model Year NOx ROG PM10

25-50 all 6.42 1.58 0.460

51-120 pre-1997 12.09 1.23 0.508

1997+ 8.14 0.85 0.417

121-250 pre-1971 13.02 1.13 0.466

1971-1978 12.09 0.94 0.399

1979-1983 11.16 0.86 0.333

1984-1995 10.23 0.82 0.333

1996+ 7.75 0.59 0.255

251-750 pre-1971 13.02 1.08 0.448

1971-1978 12.09 0.90 0.381

1979-1983 11.16 0.81 0.321

1984-1994 10.23 0.77 0.321

1995+ 7.60 0.58 0.230

751 + pre-1971 13.02 1.08 0.448

1971-1978 12.09 0.90 0.381

1979-1986 11.16 0.81 0.321

1987-1998 10.23 0.72 0.321

1999+ 7.75 0.58 0.255
As of 7/11/14 D - 27 EMISSIONS TABLES

Table D-20b 

Controlled Harbor Craft Auxiliary Engine 

Emission Factors (g/bhp-hr)

Horsepower Tier NOx ROG PM10

25-50 1 6.54 1.54 0.511

2 5.04 1.54 0.240

3 5.04 1.54 0.176

51-120 1 6.93 0.85 0.464

2 5.04 0.85 0.240

3 5.04 0.85 0.176

121-175 1 6.93 0.58 0.255

2 4.84 0.58 0.176

3 3.60 0.58 0.077

176-750 1 6.93 0.58 0.255

2 4.84 0.58 0.120

3 3.78 0.58 0.068

751-1900 1 6.93 0.58 0.255

2 5.24 0.58 0.160

3 3.87 0.58 0.068

1901 + 1 6.93 0.58 0.255

2 5.24 0.58 0.160

3 4.14 0.58 0.085
As of 7/11/14 D - 28 EMISSIONS TABLES

Table D-21

Harbor Craft Load Factors

Vessel Type Propulsion Engine Auxiliary Engine

Charter Fishing 0.52

0.43

Commercial Fishing 0.27

Ferry/Excursion 0.42

Pilot 0.51

Tow 0.68

Work 0.45

Other 0.52

Barge/Dredge 0.45 0.65

Crew & Supply 0.38 0.32

Tug 0.50 0.31
As of 7/11/14 D - 29 EMISSIONS TABLES

Table D-22

Shore Power

Default Emission Rates (Grams per kilowatt-hour (g/kW-hr)) 

Pollutant Emission Rate

NOx 13.9

ROG 0.49

PM10 (marine gas oil fuel with 

0.11- 0.5 % sulfur content)

0.38

PM10 (marine gas oil fuel with <= 

0.10 % sulfur content)

0.25

Table D-23

Shore Power

Default Power Requirements

Ship Category

Ship Size / Type Default 

(Twenty-foot Equivalent 

Unit (TEU))

Power Requirement 

(kW)

Container Vessel <1,000 1,000

1,000 – 1,999 1,300

2,000 – 2,999 1,600

3,000 – 3,999 1,900

4,000 – 4,999 2,200

5,000 – 5,999 2,300

6,000 – 6,999 2,500

7,000 – 7,999 2,900

8,000 – 9,999 3,300

10,000 – 12,000 3,700

Passenger Vessel No Default Value – Use Actual Power 

Requirement(a)

Reefer Break Bulk 1,300

Fully containerized 3,300

a - The average power requirement for passenger vessels is 7,400 kW (ARB Oceangoing Vessel 

Survey, 2005). 
As of 7/11/14 D - 30 EMISSIONS TABLES

ALL ENGINES

Table D-24

Fuel Consumption Rate Factors (bhp-hr/gal)

Category Horsepower/Application Fuel Consumption Rate

Non-Mobile Agricultural 

Engines

ALL 17.5

Locomotive Line Haul and Passenger 

(Class I/II)

20.8

Line Haul and Passenger 

(Class III)

18.2

Switcher 15.2

Other < 750 hp 18.5

> 750 hp 20.8
As of 7/11/14 D - 31 EMISSIONS TABLES

REFERENCES

The information in these tables has already been incorporated into the preceding 

emission factor tables. These tables are included for informational purposes.

Table D-25 

Pollutant Fractions 

NOx+NMHC Standards

Diesel Engines Alternative Fuel Engines

NOx NMHC NOx NMHC

0.95 0.05 0.80 0.20

Table D-26

Fuel Correction Factors

On-Road Diesel Engines 

Model Year NOx PM10 HC

Pre- 2007 0.93 0.72 0.72

2007+ 0.93 0.80 0.72

Table D-27

Fuel Correction Factors

Off-Road Diesel Engines 

Model Year NOx PM10

Pre-Tier 1 0.930 0.720

Tier 1+ 0.948 0.800

Table D-28

Conversion Factors for NOx, ROG and PM10

Heavy-Duty Vehicle Projects (bhp-hr/mile)

Model Year Medium Heavy-Duty

14,001-33,000 lbs

Heavy Heavy-Duty

33,000 lbs +

Urban Bus

33,000 lbs +

Pre-1989 1.9 3.1 4.0

1990 - 1993 1.8 3.0 4.0

1994 - 1995 1.8 2.9 4.0

1996+ 1.8 2.9 4.0
APPENDIX E 

DESCRIPTION OF CERTIFICATION AND 

VERIFICATION EXECUTIVE ORDERS 
As of 4/28/2011 E - 2 CERTIFICATION AND VERIFICATION 

APPENDIX E 

DESCRIPTION OF CERTIFICATION AND VERIFICATION EXECUTIVE ORDERS 

A. New Engine Certification 

Air Resources Board (ARB or the Board) certifies engines destined for sale in California 

and provides the engine manufacturers with an Executive Order (EO) for each certified 

engine family. All new engines used in Carl Moyer Program (CMP) projects must be 

certified. Federally preempted engines must be certified by the United States 

Environmental Protection Agency (U.S. EPA) and must comply with durability and 

warranty requirements. For the purposes of the Carl Moyer Program, a technology 

granted a conditional certification by ARB is considered certified. 

An example of an EO is shown in Figure E-1. The EO includes general information 

about the certified engine such as engine family, displacement, horsepower rating(s), 

intended service class, and emission control systems. It also shows the applicable 

certification emission standards as well as the average emission levels measured 

during the actual certification test procedure. For the purpose of the Carl Moyer 

Program, the certification emission standards are used to calculate emission reductions. 

The certification emission standards are shown in the row titled “STD” under the 

respective “FTP” column headings for each pollutant. For instance, the 11.9 liter diesel 

engine illustrated in Figure E-1 was certified to oxides of nitrogen (NOx) emission 

standard of 0.2 grams per brake horsepower-hour (g/bhp-hr), a carbon monoxide (CO) 

emission standard of 15.5 g/bhp-hr, and a particulate matter (PM) emission standard of 

0.01 g/bhp-hr. 

In the case where an EO shows emission values in the rows labeled “AVERAGE STD” 

and/or “FEL”, the engine is certified for participation in an averaging, banking, and 

trading (AB&T) program. AB&T engines (i.e., all family emission limit (FEL)-certified 

engines) are not eligible to participate in the CMP for new vehicle purchase projects 

since emission benefits from an engine certified to an FEL level are not surplus 

emissions. 

New locomotive and marine engines are not certified by ARB; they are instead certified 

by the U.S. EPA. The U.S. EPA provides a Certificate of Conformity for each certified 

engine family. Figure E-2 is an example of a certificate of conformity for a locomotive 

remanufacture kit, and figure E-3 shows an example of a certificate for a new 

locomotive. Certificates of conformity for marine engines are similar. 
As of 4/28/2011 E - 3 CERTIFICATION AND VERIFICATION 

Figure E-1 

Example of an ARB Executive Order for Heavy-Duty On-Road Engines
As of 4/28/2011 E - 4 CERTIFICATION AND VERIFICATION 

Figure E-2 

Example of U.S. EPA Certificate of Conformity for a 

Locomotive Engine Remanufacture Kit 
As of 4/28/2011 E - 5 CERTIFICATION AND VERIFICATION 

Figure E-3 

Example of U.S. EPA Certificate of Conformity for a 

New Locomotive Engine
As of 4/28/2011 E - 6 CERTIFICATION AND VERIFICATION 

B. Retrofit System Verification

ARB’s verification procedures provide a way to quantify and thoroughly evaluate the 

emission reduction capabilities and durability of a variety of emission control strategies 

as part of a retrofit in-use program. It ensures that emission reductions achieved by 

a control strategy are both real and durable and that production units in the field are 

achieving emission reductions which are consistent with their verification. 

1. Diesel: ARB has a verification procedure for in-use strategies to control 

emissions from diesel engines (diesel emission control systems or DECS). The 

verification procedure requires a minimum PM reduction of at least 25 percent. If 

a diesel emission control strategy also reduces NOx emissions by at least 

15 percent, that reduction can also be verified. Emission control strategies for 

diesel engines are verified based on a tiered verification classification shown in 

Table E-1 below. It is the responsibility of the diesel emission control strategies 

manufacturer to provide data to verify emission reduction claims. ARB issues 

EOs for verified emission control strategies destined for sale in California. An 

example of an EO for a retrofit emission control system for diesel engines is 

shown in Figure E-4. 

Table E-1 

Verification Levels for Diesel Emission Control Strategies 

Pollutant Emission Reduction Classification

PM

< 25% Not Verified

> 25% Level 1

> 50% Level 2

> 85%, or

< 0.01 g/bhp-hr Level 3

NOx < 15% Not Verified

> 15% Verified in 5% Increments

2. Large Spark-Ignition: ARB staff also has a retrofit verification procedure for large 

spark-ignited engines (LSI). This procedure can be used to verify retrofit 

systems to reduce NOx and hydrocarbon (HC) emissions from LSI engines. 

Emission control strategies for LSI engines are verified based on a tiered 

verification classification shown in Table E-2 below. 
As of 4/28/2011 E - 7 CERTIFICATION AND VERIFICATION 

Table E-2 

LSI Emission Control System Verification Levels 

Classification Percentage Reduction

(HC+NOx)

Absolute Emissions

(HC+NOx)

LSI Level 1 (1) > 25%(2) Not Applicable

LSI Level 2 (1) > 75%(3) 3.0 g/bhp-hr(3)

LSI Level 3a (1) > 85%(4) 0.5, 1.0, 1.5, 2.0, 2.5 g/bhp-hr

LSI Level 3b (5) Not Applicable 0.5, 1.0, 1.5, 2.0 g/bhp-hr

(1) Applicable to uncontrolled engines only 

(2) The allowed verified emissions reduction is capped at 25% regardless of actual emission test values 

(3) The allowed verified reduction for LSI Level 2 is capped at 75% or 3.0 g/bhp-hr regardless of actual 

emission test values 

(4) Verified in 5% increments, applicable to LSI Level 3a classifications only 

(5) Applicable to emission-controlled engines only 
As of 4/28/2011 E - 8 CERTIFICATION AND VERIFICATION 

Figure E-4 

Example of an EO for a Retrofit Emission Control System 
As of 4/28/2011 E - 9 CERTIFICATION AND VERIFICATION 
As of 4/28/2011 E - 10 CERTIFICATION AND VERIFICATION 
As of 4/28/2011 E - 11 CERTIFICATION AND VERIFICATION 
APPENDIX F 

CHAPTER REFERENCES 
As of 4/28/2011 F - 2 CHAPTER REFERENCES 

Appendix F 

Chapter References 

Chapter 1: Program Overview 

ARB, 2006. California Air Resources Board. The Carl Moyer Program Guidelines: 

Approved Revision 2005. Release Date: January 6, 2006. 

http://www.arb.ca.gov/msprog/moyer/guidelines/current.htm 

ARB, 2007. California Air Resources Board. The Carl Moyer Program 2006 Status 

Report. January 2007. http://www.arb.ca.gov/msprog/moyer/status/status.htm

ARB, 2008. California Air Resources Board. Proposition 1B: Goods Movement 

Emission Reduction Program, Staff Report on Proposed Guidelines for Implementation, 

January 3, 2008. http://www.arb.ca.gov/bonds/gmbond/docs/staff_report_jan0308.pdf

ARB, 2010. California Air Resources Board. The Carl Moyer Program Guidelines: 

Approved Near-Term Revisions to the Carl Moyer Program Guidelines, March 25, 

2010. 

BSA, 2007. The Carl Moyer Memorial Air Quality Standards Attainment Program: 

Improved Practices in Applicant Selection, Contracting, and Marketing Could Lead to 

More Cost-Effective Emission Reductions and Enhanced Operations, Report 2006-115, 

Bureau of State Audits. June 2007. http://www.bsa.ca.gov/pdfs/reports/2006-115.pdf

CA DIR, 2007. California Department of Industrial Relations. California Consumer 

Price. http://www.dir.ca.gov/dlsr/CAPriceIndex.htm and 

http://www.dir.ca.gov/dlsr/CPI/EntireCCPI.PDF

DOF, 2006. Report on the Air Resources Board: Review of the Carl Moyer Air Quality 

Attainment Program Administrative, Fund, and Project Tracking Procedures, Prepared 

by Department of Finance Office of State Audits and Evaluations. May 2006. 

http://www.arb.ca.gov/msprog/moyer/audits/2006/dof_eval_12-21-06.pdf

U.S. FRB, 2007. U.S. Federal Reserve Board. Federal Reserve Statistical Release, 

H.15, Selected Interest Rates. http://federalreserve.gov/releases/h15/

Chapter 2: General Criteria 

N/A 

 

Chapter 3: Program Administration 

N/A 
As of 4/28/2011 F - 3 CHAPTER REFERENCES 

Chapter 4: On-Road Heavy-Duty Vehicles 

ARB, 2002a. California Air Resources Board. California Exhaust Emission Standards 

and Test Procedures for 1985 through 2003 Model Heavy-Duty 

Diesel Engines and Vehicles. December 12, 2002. 

http://www.arb.ca.gov/msprog/onroadhd/85-03hddtps_levhdg02_clean_11-14.doc

ARB, 2002b. California Air Resources Board. California Exhaust Emission Standards 

and Test Procedures for 2004 and Subsequent Model Heavy-Duty Diesel Engines and 

Vehicles. December 12, 2002. 

http://www.arb.ca.gov/msprog/onroadhd/2004hddtps_levhdg02_clean_11-13.doc

ARB, 2005. California Air Resources Board. Staff Report: Airborne Toxic Control 

Measure to Limit Diesel-Fueled Commercial Motor Vehicle Idling. July 22, 2004. 

http://www.arb.ca.gov/regact/idling/isor.doc

ARB, 2004a. California Air Resources Board. Diesel Particulate Matter Control 

Measure for On-road Heavy-duty Diesel-fueled Residential and Commercial Sold Waste 

Collection Vehicles. June 4, 2004. http://www.arb.ca.gov/regact/dieselswcv/fro2.pdf

ARB, 2004b. California Air Resources Board. Airborne Toxic Control Measure for InUse Diesel-Fueled Transport Refrigeration Units (TRUs), TRU Generator Sets and 

Facilities Where TRUs Operate. November 10, 2004. 

http://www.arb.ca.gov/regact/trude03/fro1.doc

ARB, 2005. California Air Resources Board. Staff Report: Proposed Modifications to 

the Fleet Rule for the Transit Agencies and New Requirements for Transit Fleet 

Vehicles. January 7, 2005. http://www.arb.ca.gov/regact/bus04/isor.pdf

ARB, 2006. California Air Resources Board. Diesel Particulate Matter Control Measure 

for On-Road Heavy-Duty Diesel-Fueled Vehicles Owned or Operated by Public 

Agencies and Utilities. December 6, 2006. 

http://www.arb.ca.gov/regact/dpmcm05/revfro.pdf

ARB, 2008. California Air Resources Board. Final Regulation Order to Reduce 

Emissions of Diesel Particulate Matter, Oxides of Nitrogen, and Other 

Pollutants from In-Use Heavy-Duty Diesel-Fueled Vehicles. December 2008. 

http://www.arb.ca.gov/msprog/onrdiesel/onrdiesel.htm 

ARB, 2009. California Air Resources Board. Drayage Truck Regulation. 

December 2009. http://www.arb.ca.gov/regact/2007/drayage07/finreg1209.pdf 
As of 4/28/2011 F - 4 CHAPTER REFERENCES 

Chapter 5: On-Road Heavy-Duty Vehicles Fleet Modernization 

ARB, 2002a. California Air Resources Board. California Exhaust Emission Standards 

and Test Procedures for 1985 through 2003 Model Heavy-Duty Diesel Engines 

and Vehicles. December 12, 2002. 

http://www.arb.ca.gov/msprog/onroadhd/85-03hddtps_levhdg02_clean_11-14.doc

ARB, 2002b. California Air Resources Board. California Exhaust Emission Standards 

and Test Procedures for 2004 and Subsequent Model Heavy-Duty Diesel Engines and 

Vehicles. December 12, 2002. 

http://www.arb.ca.gov/msprog/onroadhd/2004hddtps_levhdg02_clean_11-13.doc

ARB, 2004. California Air Resources Board. Diesel Particulate Matter Control Measure 

for On-road Heavy-duty Diesel-fueled Residential and Commercial Sold Waste 

Collection Vehicles. June 4, 2004. http://www.arb.ca.gov/regact/dieselswcv/fro2.pdf

ARB, 2005. California Air Resources Board. Staff Report: Proposed Modifications to 

the Fleet Rule for the Transit Agencies and New Requirements for Transit Fleet 

Vehicles. January 7, 2005. http://www.arb.ca.gov/regact/bus04/isor.pdf

ARB, 2006a. California Air Resources Board. Diesel Particulate Matter Control 

Measure for On-Road Heavy-Duty Diesel-Fueled Vehicles Owned or Operated by 

Public Agencies and Utilities. December 6, 2006. 

http://www.arb.ca.gov/regact/dpmcm05/revfro.pdf

ARB, 2006b. California Air Resources Board. California Emissions Inventory Model, 

EMFAC2007, V2.3. November 1, 2006. 

http://www.arb.ca.gov/msei/onroad/latest_version.htm 

ARB, 2008. California Air Resources Board. Final Regulation Order to Reduce 

Emissions of Diesel Particulate Matter, Oxides of Nitrogen, and Other 

Pollutants from In-Use Heavy-Duty Diesel-Fueled Vehicles. December 2008. 

http://www.arb.ca.gov/msprog/onrdiesel/onrdiesel.htm 

ARB, 2009. California Air Resources Board. Drayage Truck Regulation. December 

2009. http://www.arb.ca.gov/regact/2007/drayage07/finreg1209.pdf 

Gateway Cities Council of Governments. November 2004, Gateway Cities Clean Air 

Pilot Program: Truck Fleet Modernization Program Guidelines. 

Sacramento Metropolitan Air Quality Management District. May 2005. Fleet 

Modernization Impacts on Normal Vehicle Turnover - Issue Paper. 

The Sacramento Emergency Clean Air Transportation (SECAT) Program, Policies and 

Guidelines. 

http://www.sacog.org/calendar/2010/08/caq/pdf/6-SECAT%20Attach%20A.pdf 
As of 4/28/2011 F - 5 CHAPTER REFERENCES 

Chapter 6: Emergency Vehicles (Fire Apparatus) 

California Vehicle Code Section 27156.2: Vehicle Emission Standards Emergency 

Vehicles. http://www.dmv.ca.gov/pubs/vctop/d12/vc27156_2.htm

California Vehicle Code Section 165: Authorized Emergency Vehicle. 

http://www.dmv.ca.gov/pubs/vctop/d01/vc165.htm 

Chapter 7: Off-Road Compression-Ignition Equipment 

ARB, 2000. California Air Resources Board. Final Regulation Order: Amendments to 

Off-road Compression-ignition Engine Regulations: 2000 and Later Emissions 

Standards, Compliance Requirements and Test Procedures. 

http://www.arb.ca.gov/regact/ciengine/ciengine.htm

ARB, 2005. California Air Resources Board. Final Regulation Order: Amendments to 

the California Off-road Emissions Regulations for Compression-ignition Engines and 

Equipment. http://www.arb.ca.gov/regact/offrdcie/offrdcie.htm

ARB, 2006. California Air Resources Board. Final Regulation Order: Regulation for 

Mobile Cargo Handling Equipment at Ports and Intermodal Rail Yards. 

http://www.arb.ca.gov/regact/cargo2005/cargo2005.htm

ARB, 2007. California Air Resources Board. Staff Report: Initial Statement of Reasons 

(ISOR) for the Regulation of In-Use Off-Road Diesel Vehicles. 

http://www.arb.ca.gov/regact/2007/ordiesl07/ordiesl07.htm

Chapter 8: Off-Road Large Spark-Ignition Equipment 

ARB, 2008. California Air Resources Board. Final Regulation Order: Regulations For 

Large Spark-Ignition Engine With an Engine Displacement Less Than or Equal to One 

Liter. http://www.arb.ca.gov/regact/2008/lsi2008/finfro.pdf

ARB, 2006. California Air Resources Board. Final Regulation Order: New Emission 

Standards, Fleet Requirements and Test Procedures for Forklifts and other Industrial 

Equipment. http://www.arb.ca.gov/regact/lore2006/lore2006.htm

U.S. EPA, 2002. Control of Emission from Nonroad Large Spark-Ignition Engines, and 

Recreational Engines (Marine and Land Based). http://www.epa.gov/otaq

South Coast Air Quality Management District, November 27, 2002. South Coast 

Ground Support Equipment Memorandum of Understanding. 

http://www.arb.ca.gov/msprog/offroad/gse/gse-mou-final.pdf
As of 4/28/2011 F - 6 CHAPTER REFERENCES 

Chapter 9: Off-Road Equipment Replacement 

ARB, 2006. California Air Resources Board. Final Regulation Order: New Emission 

Standards, Fleet Requirements and Test Procedures for Forklifts and other Industrial 

Equipment. http://www.arb.ca.gov/regact/lore2006/lore2006.htm

ARB, 2006. California Air Resources Board. Final Regulation Order: Regulation for 

Mobile Cargo Handling Equipment at Ports and Intermodal Rail Yards. 

http://www.arb.ca.gov/regact/cargo2005/cargo2005.htm

ARB, 2007. California Air Resources Board. Staff Report: Initial Statement of Reasons 

(ISOR) for the Regulation of In-Use Off-Road Diesel Vehicles. 

http://www.arb.ca.gov/regact/2007/ordiesl07/ordiesl07.htm

Chapter 10: Portable and Stationary Agricultural Sources 

ARB, 2003. California Air Resources Board. Staff Report: Initial Statement of Reasons, 

Airborne Toxic Control Measure for Stationary Compression Ignition Engines. 

http://www.arb.ca.gov/regact/statde/isor.pdf 

ARB, 2004. California Air Resources Board. Staff Report: Initial Statement of Reasons, 

Airborne Toxic Control Measure for Diesel-fueled Portable Engines. 

http://www.arb.ca.gov/regact/porteng/isor.pdf 

ARB, 2005. California Air Resources Board. Staff Report: Initial Statement of Reasons 

for Proposed Revisions to the Airborne Toxic Control Measure for Stationary 

Compression Ignition Engines. http://www.arb.ca.gov/regact/statde05/isor.pdf 

ARB, 2006. California Air Resources Board. Staff Report: Initial Statement of Reasons 

for Proposed Requirements for Stationary Diesel In-Use Agricultural Engines.

http://www.arb.ca.gov/regact/agen06/isor.pdf 

ARB, 2007. California Air Resources Board. Staff Report: Initial Statement of Reasons 

for Proposed Amendments to the Airborne Toxic Control Measure for Diesel Particulate 

Matter from Portable Engines. http://www.arb.ca.gov/regact/2007/perp07/isor.pdf 

ARB, 2009. California Air Resources Board. Staff Report: Initial Statement of Reason 

for Proposed Amendments to the Regulations Applicable to Portable Diesel Engines 

and Diesel Engines Used in Off-Road and On-Road Vehicles.

http://arb.ca.gov/regact/2010/perp2010/perpisor.pdf 
As of 4/28/2011 F - 7 CHAPTER REFERENCES 

Chapter 11: Locomotives 

ARB, September 19, 2007. California Air Resources Board. Goods Movement 

Emission Reduction Program – Staff Draft Concepts for Implementation. 

http://www.arb.ca.gov/bonds/gmbond/docs/gmbondfinalstaffdraftconcepts1.pdf 

Federal Register, April 16, 1998. Federal Register, Part II - Environmental Protection 

Agency, Emission Standards for Locomotives and Locomotive Engines Final Rule; 40 

CFR Parts 85, 89 and 92. April 16, 1998. 

http://www.epa.gov/oms/regs/nonroad/locomotv/frm/loco1.txt 

U.S. EPA, 2007. Regulatory Announcement: EPA Proposal for More Stringent 

Emission Standards for Locomotives and Marine Compression-Ignition Engines; 

EPA420-F-07-015. March 2007. http://www.epa.gov/nonroad/420f07015.pdf 

U.S. EPA, 2008. Final Rule: Control of Emissions from Locomotive Engines and Marine 

Compression-Ignition Engines Less than 30 Liters per Cylinder. March 14, 2008.

http://www.epa.gov/oms/regs/nonroad/420r08006.htm 

Chapter 12: Marine Vessels 

ARB, 1983. Report to the Legislature on Air Pollutant Emissions from Marine Vessels. 

http://www.arb.ca.gov/regact/marine2005/appf.pdf (page F-3)

ARB, 2003. California Air Resources Board 2003 Harbor Craft Survey. 

http://www.arb.ca.gov/ports/marinevess/documents/hcsurveyrep1203.pdf 

ARB, March 2006. California Air Resources Board. Evaluation of Cold-Ironing 

Oceangoing Vessels at California Ports. 

http://www.arb.ca.gov/ports/marinevess/documents.htm 

ARB, May 2010. California Air Resources Board. Staff Report: Initial Statement of 

Reasons for the Proposed Rulemaking – Amendments to the Regulations to Reduce 

Emissions from Diesel Engines on Commercial Harbor Craft Operated Within California 

Waters and 24 Nautical Miles of the California Baseline. 

http://www.arb.ca.gov/regact/2010/harborcraft10/harborcraftisor.pdf 

ARB, September 19, 2007. California Air Resources Board. Goods Movement 

Emission Reduction Program – Staff Draft Concepts for Implementation. 

http://www.arb.ca.gov/bonds/gmbond/docs/gmbondfinalstaffdraftconcepts1.pdf 

ARB, October 2007. California Air Resources Board. Staff Report: Initial Statement of 

Reasons for the Proposed Rulemaking – Regulations to Reduce Emissions from Diesel 

Auxiliary Engines on Ocean-Going Vessels While At-Berth at a California Port. 

http://www.arb.ca.gov/regact/2007/shorepwr07/isor.pdf 
As of 4/28/2011 F - 8 CHAPTER REFERENCES 

Federal Register, 1999. Federal Register - Environmental Protection Agency, Control of 

Emissions of Air Pollution From New Marine Compression-Ignition Engines at or Above 

37 kW. December 29, 1999 (Volume 64, Number 249). 

http://www.epa.gov/fedrgstr/EPA-AIR/1999/December/Day-29/a31658.htm 

U.S. EPA, 2003. U.S. EPA, Control of Emissions From New Marine CompressionIgnition Engines at or Above 30 Liters Per Cylinder, Federal Register 9745-9789, 

28 Feb 2003. http://www.epa.gov/OMS/regs/nonroad/marine/ci/r03003.pdf 

U.S. EPA, March 2007. Regulatory Announcement: EPA Proposal for More Stringent 

Emission Standards for Locomotives and Marine Compression-Ignition Engines; 

EPA420-F-07-015. http://www.epa.gov/nonroad/420f07015.pdf 

U.S. EPA, 2008. Final Rule: Control of Emissions from Locomotive Engines and Marine 

Compression-Ignition Engines Less than 30 Liters per Cylinder. March 14, 2008. 

http://www.epa.gov/oms/regs/nonroad/420r08006.htm 

Chapter 13: Light-Duty Vehicles 

N/A 

Chapter 14: Lawn and Garden Equipment Replacement 

N/A 
 

THE CARL MOYER PROGRAM 

VOUCHER INCENTIVE PROGRAM GUIDELINES 

PART II of III 

ON-ROAD VOUCHER INCENTIVE PROGRAM 

OFF-ROAD VOUCHER INCENTIVE PROGRAM 
APPENDIX G 

COST-EFFECTIVENESS LIMIT AND 

CAPITAL RECOVERY FACTORS 
As of 4/1/2014 G - 2 COST-EFFECTIVENESS LIMIT

CAPITAL RECOVERY FACTORS

APPENDIX G 

CARL MOYER PROGRAM REVISED COST-EFFECTIVENESS LIMIT AND 

CAPITAL RECOVERY FACTORS 

Per statute, the Air Resources Board (ARB or the Board) updates the cost-effectiveness 

limit and capital recovery factors (CRF) annually. At the date of approval of the 2011 Carl 

Moyer Program Guidelines (April 28, 2011), the cost-effectiveness limit was $16,640 per 

weighted ton of pollutants reduced and the discount rate to determine capital recovery 

factors for various project lives was 2 percent. Effective April 1, 2012 the costeffectiveness limit was updated to $17,080 and a discount rate of 2 percent remained in 

effect. Effective April 1, 2013, the cost-effectiveness limit was updated to $17,460 and 

the discount rate was updated to 1 percent. Effective April 1, 2014, the cost-effectiveness 

limit is updated to $17,720 and the discount rate remains at 1 percent. The capital 

recovery factors (as shown in Table G-3b) and updated cost-effectiveness limit ($17,720) 

may be used for contracts executed by air districts beginning April 1, 2014 but must be 

used starting July 1, 2014. ARB will continue to update these factors annually through a 

mail-out. 

Revised Cost Effectiveness Limit

In order to receive Carl Moyer Program funding, each project must meet the specified 

maximum cost-effectiveness limit. Cost-effectiveness is a measure of the dollars 

provided to a project for each ton of covered emissions reduced. To calculate Carl Moyer 

Program cost-effectiveness, the project grant amount is annualized based upon the 

project’s life and an appropriate discount rate. This annual cost is divided by the project’s 

estimated emission reductions to determine the overall cost-effectiveness of the covered 

emissions reduced as indicated in Appendix C.

Using the California Consumer Price Index 

(http://www.dir.ca.gov/dlsr/CPI/PresentCCPI.PDF, 

http://www.dir.ca.gov/dlsr/CPI/EntireCCPI.PDF), and the California Department of 

Finance method

(http://www.dof.ca.gov/HTML/FS_DATA/LatestEconData/FS_UseCPI.php) of converting 

the Consumer Price Index to an inflation rate, a change in the cost-effectiveness limit can 

be determined over a specified time period (annually). Table G-1 shows the changes in 

the cost-effectiveness limit over time based on changes in the Consumer Price Index. 
As of 4/1/2014 G - 3 COST-EFFECTIVENESS LIMIT

CAPITAL RECOVERY FACTORS

Table G-1 

Cost-Effectiveness Limit Criteria

Year

Annual 

CA CPI

Percent

(%)

change 

(inflation 

rate) 

Annual 

modified 

amount

Revised CE 

cap

1998 163.7 NA NA $12,000

1999 168.5 2.93% $352 $12,352

2000 174.8 3.74% $462 $12,814

2001 181.7 3.95% $506 $13,319

2002 186.1 2.42% $323 $13,642

2003 190.4 2.31% $315 $13,957

2004 195.4 2.63% $367 $14,324

2005 202.6 3.68% $528 $14,852

2006 210.5 3.90% $579 $15,431

2007 217.4 3.28% $506 $15,938

2008 224.8 3.40% $541 $16,479

2009 224.1 -0.31% -$51 $16,428

2010 227.0 1.29% $212 $16,640

2011 233.0 2.66% $443 $17,084

2012 238.3 2.25% $385 $17,469

2013 241.8 1.46% $255 $17,724

Revised Capital Recovery Factors

The CRF used for determining the annualized costs of Carl Moyer Program grants are 

based on a discount rate. The CRF uses an interest rate and project life to determine the 

rate at which earnings could reasonably be expected if the same funds were invested 

over a length of time. 

Previous versions of the guidelines updated the CRF using the average annual yield of 

United States (U.S.) Treasury securities (http://federalreserve.gov/releases/h15/) with a 

3-year, 5-year, 7-year, and 10-year maturation over a specific period of time. Annual data 

for 2010 using the average rates of return for U.S. Treasury securities over that year 

(January to December 2010) yielded a revised discount rate as shown in Table G-2a 

below: 

Table G-2a 

Discount Rate Factor (Available for use through June 30, 2012)

Average Monthly Rate - 2010

Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec Average

3 year 1.49% 1.40% 1.51% 1.64% 1.32% 1.17% 0.98% 0.78% 0.74% 0.57% 0.67% 0.99% 1.11%

5 year 2.48% 2.36% 2.43% 2.58% 2.18% 2.00% 1.76% 1.47% 1.41% 1.18% 1.35% 1.93% 1.93%

7 year 3.21% 3.12% 3.16% 3.28% 2.86% 2.66% 2.43% 2.10% 2.05% 1.85% 2.02% 2.66% 2.62%

10 year 3.73% 3.69% 3.73% 3.85% 3.42% 3.20% 3.01% 2.70% 2.65% 2.54% 2.76% 3.29% 3.21%

Overall average for January-December 2010 2.22%
As of 4/1/2014 G - 4 COST-EFFECTIVENESS LIMIT

CAPITAL RECOVERY FACTORS

Annual data for 2011 using the average rates of return for U.S. Treasury securities from 

January to December 2011 yielded a revised discount rate as shown in Table G-2b 

below: 

Table G-2b

Discount Rate Factor (Available for use April 1, 2012 through June 30, 2013)

Average Monthly rate - 2011

Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec Average

3 year 1.03% 1.28% 1.17% 1.21% 0.94% 0.71% 0.68% 0.38% 0.35% 0.47% 0.39% 0.39% 0.75% 

5 year 1.99% 2.26% 2.11% 2.17% 1.84% 1.58% 1.54% 1.02% 0.90% 1.06% 0.91% 0.89% 1.52% 

7 year 2.72% 2.96% 2.80% 2.84% 2.51% 2.29% 2.28% 1.63% 1.42% 1.62% 1.45% 1.43% 2.16% 

10 year 3.39% 3.58% 3.41% 3.46% 3.17% 3.00% 3.00% 2.30% 1.98% 2.15% 2.01% 1.98% 2.79% 

 Overall average for January - December 2011 1.81%

Rounding to a whole number yielded a discount rate of two percent in Table G-2b. 

Annual data for 2012 using the average rates of return for U.S. Treasury securities from 

January to December 2012 yielded a revised discount rate as shown in Table G-2c 

below. Rounding to a whole number yielded a discount rate of 1 percent.

Table G-2c

Discount Rate Factor (Available for use April 1, 2013 through June 30, 2014) 

Average Monthly rate - 2012

 Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec Average

3 year 0.36% 0.38% 0.51% 0.43% 0.39% 0.39% 0.33% 0.37% 0.34% 0.37% 0.36% 0.35% 0.38% 

5 year 0.84% 0.83% 1.02% 0.89% 0.76% 0.71% 0.62% 0.71% 0.67% 0.71% 0.67% 0.70% 0.76% 

7 year 1.38% 1.37% 1.56% 1.43% 1.21% 1.08% 0.98% 1.14% 1.12% 1.15% 1.08% 1.13% 1.22% 

10 year 1.97% 1.97% 2.17% 2.05% 1.80% 1.62% 1.53% 1.68% 1.72% 1.75% 1.65% 1.72% 1.80% 

Overall average for January – December 2012 1.04%

The most recent annual data for 2013 using the average rates of return for U.S.Treasury 

securities from January to December 2013 yield a revised discount rate as shown in 

Table G-2d below. Rounding to a whole number yields a discount rate of 1 percent.

Table G-2d 

Discount Rate Factor (Available for use beginning April 1, 2014)

Average Monthly rate - 2013

Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec Average

3 year 0.39% 0.40% 0.39% 0.34% 0.40% 0.58% 0.64% 0.70% 0.78% 0.63% 0.58% 0.69% 0.54% 

5 year 0.81% 0.85% 0.82% 0.71% 0.84% 1.20% 1.40% 1.52% 1.60% 1.37% 1.37% 1.58% 1.17%

7 year 1.30% 1.35% 1.32% 1.15% 1.31% 1.71% 1.99% 2.15% 2.22% 1.99% 2.07% 2.29% 1.74% 

10 year 1.91% 1.98% 1.96% 1.76% 1.93% 2.30% 2.58% 2.74% 2.81% 2.62% 2.72% 2.90% 2.35% 

Overall average for January – December 2014 1.45%
As of 4/1/2014 G - 5 COST-EFFECTIVENESS LIMIT

CAPITAL RECOVERY FACTORS

Refer to Table G-3a below for CRFs for various project lives at a 2 percent discount rate, 

and to Table G-3b below for CRFs for various project lives at a 1 percent discount rate. 

Each source category chapter will specify which project lives are acceptable to determine 

which CRF value to use. 

Table G-3a 

Capital Recovery Factor (CRF) for Various Project Lives

At a Two Percent Discount Rate (As of April 2011)

Project Life CRF

1

2 

3 

4 

5 

6 

7 

8 

9 

10

11

12

13

14

15

16

17

18

19

20

1.020

0.515

0.347

0.263

0.212

0.179

0.155

0.137

0.123

0.111

0.102

0.095

0.088

0.083

0.078

0.074

0.070

0.067

0.064

0.061
As of 4/1/2014 G - 6 COST-EFFECTIVENESS LIMIT

CAPITAL RECOVERY FACTORS

Table G-3b 

Capital Recovery Factor (CRF) for Various Project Lives

At a One Percent Discount Rate (As of April 2013)

Project Life CRF

1

2 

3 

4 

5 

6 

7 

8 

9 

10

11

12

13

14

15

16

17

18

19

20

1.010

0.508

0.340

0.256

0.206

0.173

0.149

0.131

0.117

0.106

0.096

0.089

0.082

0.077

0.072

0.068

0.064

0.061

0.058

0.055
CARL MOYER PROGRAM FOR 

ON-ROAD HEAVY-DUTY VEHICLES

REVISED AND APPROVED: November 26, 2013
November 26, 2013 2 of 86 ON-ROAD 

VOUCHER INCENTIVE PROGRAM

SUMMARY

These guidelines describe the minimum criteria and requirements for the Carl Moyer 

Memorial Air Quality Standards Attainment Program (CMP) On-Road Heavy-Duty 

Vehicles Voucher Incentive Program (VIP). VIP provides a streamlined approach to 

reduce emissions by replacing existing, high-polluting vehicles with newer, loweremission vehicles or by installing a Verified Diesel Emission Control Strategy (VDECS 

or “retrofit”). The VIP provides real emission benefits by retiring or retrofitting the highpolluting vehicle earlier than would have been expected through normal attrition or by 

regulation. CMP funds for voucher projects are used to offset part of the cost of the 

retrofit device or replacement vehicle. 

California air pollution control/air quality management districts (air districts) shall utilize 

these guidelines as a stand-alone document and need not refer to the current CMP

guidelines in implementing this program. Air districts must follow all VIP guidelines in 

order to offer vouchers as a funding option. Air districts have the discretion to set certain 

local eligibility requirements based upon local priorities. The Air Resources Board 

(ARB), as an intended third party beneficiary, reserves the right to enforce the terms of 

the VIP at any time during the three year voucher term to ensure emission reductions 

are obtained. These guidelines provide implementation documents in the appendices

section that must be used for funding voucher projects and may not be modified (unless 

otherwise noted). 
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VOUCHER INCENTIVE PROGRAM GUIDELINES

CARL MOYER MEMORIAL AIR QUALITY STANDARDS ATTAINMENT PROGRAM

FOR ON-ROAD HEAVY-DUTY VEHICLES

A. Projects Eligible for Funding

The following heavy-duty vehicle VIP projects are eligible for funding: 

New Replacement Vehicle Purchase: The purchase of a new 2010 model year or 

later vehicle with an engine certified to a Family Emissions Limit (FEL) or Standard 

(STD) level of 0.50 grams per brake horsepower hour (g/bhp-hr) Oxides of 

Nitrogen (NOx) and 0.01 g/bhp-hr Particulate Matter (PM) or cleaner to replace the 

existing vehicle that is to be scrapped.

Used Replacement Vehicle Purchase: The purchase of a used 2007 model year or 

later vehicle with an engine certified to a FEL or STD level of 1.20 g/bhp-hr NOx and 

0.01 g/bhp-hr PM or cleaner to replace the existing vehicle that is to be scrapped.

Retrofit Purchase and Installation: The purchase and installation of a qualifying 

retrofit device that is verified by the California Air Resources Board (ARB) for the 

specific engine family in the existing vehicle.

B. Project Funding Amounts

The maximum total project funding amounts associated with reducing the eligible costs 

of a VIP project are pre-determined and shown in Appendix O for retrofits and 

Appendix P for replacements, to be updated annually. 

C. Program Requirements

1. General Program Criteria

(A) Fleet Size Limitations: Only fleets with ten (10) or fewer vehicles are 

eligible to participate. Determination of fleet size must be based on the 

definitions and criteria in the Statewide Truck & Bus Regulation at 

California Code of Regulations, title 13, section 2025. Diesel vehicles with 

an original manufacturers gross vehicle weight rating (GVWR) greater 

than 14,000 pounds regardless of whether the vehicles operate in 

California, that are under common ownership or control even if they are 

part of different subsidiaries, division, or other organizational structures of 

a company or agency, including those leased for more than one year, 

must be included when determining fleet size. 

(B) Weight Class: Vehicles with GVWR greater than 19,500 pounds are 

eligible to participate in the VIP under the corresponding funding amounts 

specified in Appendix O and P. 
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(C) Fleet Compliance Information: Fleet owners with a fleet size of 3 or less 

vehicles and at least one vehicle with a GVWR over 26,000 pounds must 

provide one of the following items:

(1) TRUCRS report showing fleet information with at least one filter or 

meet PM BACT.

(2) Proof of purchase showing VDECS family name, serial number, VIN, 

and retrofit installer.

(3) Photographs of VDECS labels on engine and retrofit showing family 

name, serial number, and VIN.

(4) Photograph of 2007+ engine label with VIN.

(D) Fleet Compliance Information: Fleet owners with a fleet size of 4 or more 

vehicles must submit complete fleet information using the Truck and Bus 

Fleet Calculator spreadsheet under the “Reporting” tab. The information 

must be listed under the current voucher application year. If the fleet 

owner has met the reporting requirements for receiving credits for 

downsizing the fleet, installing PM retrofits early, and early addition of 

newer vehicles with OEM filters by March 30, 2012, the 2006 fleet 

information can also be included in the “2006 Fleet Information” column 

and the “PM filter before July, 2011” option can be selected, if applicable. 

The spreadsheet can be downloaded at 

http://www.arb.ca.gov/msprog/onrdiesel/compliancetool.htm. The 

spreadsheet will indicate if the fleet is currently compliant by showing the 

calendar year header in green or in red. Fleets that are subject to the 

compliance schedule by engine model year must have a green header 

and the “Meets Model Year Schedule” label for the applicable voucher 

application year. If the current voucher calendar year is red, the project is 

not eligible for funding. Other compliance tools issued by ARB may be 

used to show compliance in lieu of the fleet calculator as they become 

available. Air districts are not required to validate fleet calculator 

information and will not be held liable if fleet owners falsify fleet 

information.

(E) The following vehicles are not eligible for funding:

(1) Vehicles subject to the solid waste collection vehicle rule commencing 

with California Code of Regulations, title 13, section 2021;

(2) On-road diesel-fueled heavy-duty vehicles over 14,000 pounds owned or 

operated by a municipality that are subject to the fleet rule for public 
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agencies and utilities commencing with California Code of Regulations, 

title 13, section 2022;

(3) Vehicles subject to the fleet rule for transit agencies commencing with 

California Code of Regulations, title 13, section 2023;

(4) Vehicles subject to the rule for mobile cargo handling equipment at ports 

and intermodal rail yards commencing with California Code of 

Regulations, title 13, section 2479;

(5) Off-road vehicles subject to California Code of Regulations, title 13, 

sections 2401, 2411, 2421, 2432, and 2449;

(6) Vehicles subject to the regulation for drayage trucks commencing with 

California Code of Regulations, title 13, section 2027; and

(7) Vehicles with a GVWR of 19,500 pounds or less.

(F) Vehicles No Longer Operating in Drayage Truck Operations: A vehicle

that operated one or more times as a drayage truck, as defined in 

California Code of Regulations, title 13, section 2027(c)(15), in the 

previous two (2) years, but no longer operates as a drayage truck, is

eligible to participate. In order to ensure that the replacement or retrofitted 

vehicle does not operate as a drayage truck during the surplus emission 

reduction period, replacement and retrofitted vehicles will be added to the 

Drayage Truck Registry as non-compliant for the term specified on the 

Receipt of Replacement Voucher or Receipt of Retrofit Voucher 

(Appendix G and G1). 

(G) Emission Reduction Technologies: Emission reduction technologies must 

be certified or verified by the California Air Resources Board (ARB) and 

must comply with durability and warranty requirements. For the purposes 

of the VIP, a technology granted a conditional certification or verification 

by ARB is considered certified or verified.

(H) Vehicle Leasing is Not Allowed: If financing is necessary, the vehicle 

purchase must be financed with a conventional purchase loan. 

(I) Obtaining Financing: The participant may obtain public and/or private 

financing to assist in the purchase of a retrofit or replacement vehicle, but 

may not apply for additional public funded grants. 

(J) Emission reductions obtained through VIP projects must not be required 

by any federal, State or local regulation, memorandum of 

agreement/understanding with a regulatory agency, settlement 

agreement, mitigation requirement, or other legally binding document.
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(K) No emission reductions generated by the VIP shall be used as marketable 

emission reduction credits, or to offset any emission reduction obligation 

of any person or entity.

(L) No project funded by the VIP shall be used for credit under any federal or 

State emission averaging banking and trading program.

(M) Engines operating under a regulatory compliance extension granted by 

the ARB, a local air district, or the United States Environmental Protection 

Agency (U.S. EPA) are not eligible for funding.

(N) Projects funded by the VIP may not be used to generate a compliance 

extension or extra credit for determining regulatory compliance, and must 

be excluded when determining regulatory compliance.

(O) Projects funded by the VIP must be included when defining the size of the 

fleet to determine regulatory requirements. 

(P) Local Eligibility Requirements: Air districts have the option to limit eligibility 

to applicants that reside within the district’s air basin or operate their 

vehicles within specified air basins.

2. Participant Requirements

(A) General Participant Requirements: All participants must meet the following 

requirements to be eligible for funding: 

(1) Ownership Requirements: The participant must currently own and operate 

the existing vehicle, documented through providing a copy of the current 

existing vehicle title. If the existing vehicle title is not available at the time 

of application, all of the following may be used as alternative ownership 

documentation until a duplicate title is received from the California 

Department of Motor Vehicles (DMV): 1) copy of current and valid vehicle 

registration, and 2) copy of the DMV Vehicle Registration Inquiry Report, 

and 3) copy of the DMV receipt for duplicate title request. A copy of the 

duplicate title must be received by the air district before payment is issued 

to the dealership or retrofit installer.

(2) Prior Minimum Usage Requirement: The existing vehicle must have met 

the mileage or fuel usage requirements in Appendix O or P, as applicable, 

in each twelve (12) month period for the previous twenty four (24) months. 

Participants must submit documentation verifying usage for the previous 

twenty four (24) months for the existing vehicle. Examples of 

documentation may include, but are not limited to: logbooks, fuel records, 

maintenance records, and tax records. 
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(3) Operation in California: The applicant must certify on the application that 

the existing vehicle(s) has operated at least 75 percent of the time in 

California during each twelve (12) month period for the previous twenty 

four (24) months. 

(4) Military Service Provision: If an applicant has been on active military duty 

at any time during the previous twenty four (24) months, documentation 

prior to deployment and covering the same length of time as the 

deployment period may be used to meet the title, registration, usage, and 

operation in California requirements as described in Sections C.2.(A)(2)-

(3), C.3.(E), and C.4.(F). Applicant must submit a copy of DD Form 214, 

Certificate of Release or Discharge from Active Duty to verify military 

service during the deployment period. 

(5) Local Eligibility Requirement (If Applicable): Applicants must meet at least 

one of the following conditions as specified by the air district:

a. The owner/applicant resides within the district’s air basin. The 

owner/applicant’s address or business address (P.O. Boxes not 

eligible) must be documented either on the vehicle title, DMV 

registration, or vehicle’s insurance documents. 

b. The owner/applicant operates the existing vehicle(s) within the eligible 

operational areas specified by the district. The owner/applicant must 

indicate in the operational area map in the application the percentage 

of annual mileage or usage that occurs in each area within California.

(6) Applying for Funding in a Participating Air District: Applicants may only 

apply to one participating air district at a time. 

(7) Application Package: To be approved for VIP funds, the applicant must 

meet all guideline requirements, submit an application, and submit all of 

the documentation listed in the Application Package (Appendix A).

(B) Participant Requirements for Replacement Projects: All replacement 

project participants must meet the following requirements to be eligible for 

funding: 

(1) Specified Participating Dealership: The participant must specify the 

participating dealership used for the purchase of the replacement vehicle. 

If the application is approved, the participant must purchase the 

replacement vehicle from the specified dealership. If the participant 

chooses to change dealerships, the participant must submit a new VIP 

application to the air district. 

(2) Voucher Redemption Deadline: The dealer and owner must agree on a 

date in which the replacement vehicle will be delivered. The voucher will 
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be redeemable within 30 days of issuance or by the delivery date agreed 

upon by the dealer and owner, whichever is later. Except as described 

below, the vehicle must be delivered in the same calendar year that 

funding was approved by the air district. If the delivery date occurs in the 

calendar year following the application approval date, the air district must 

determine the eligible funding amount based on the funding tables in 

Appendix O or P for the year in which delivery occurs. 

If the owner is unable to purchase the replacement vehicle after a voucher 

has been issued, the owner must notify the dealer and air district

immediately so that funds can be reallocated. 

(3) Two-for-One Option: Owners may replace two existing vehicles with one 

replacement vehicle as long as all VIP requirements are met. The two 

existing vehicles must have cumulatively met the mileage or fuel usage 

requirements in Appendix O or P. If the two existing vehicles have 

different engine model years, then the newest engine model year shall be 

used to determine the funding amount. Participants who utilize this option 

must submit a complete application for each existing vehicle. The 

applicant should specify on each application that the applicant is choosing 

this option by checking the Two-for-One Option box. 

(4) The owner must agree to the following terms after being approved for a 

replacement voucher:

a. Register the replacement vehicle with DMV. 

b. Maintain insurance as required by law. 

c. Own and operate the replacement vehicle at least 75 percent of the 

time within California for the term specified on the Receipt of 

Replacement Voucher or Receipt of Retrofit Voucher (Appendix G and 

G1). 

d. Return annual usage reports for 3 years after voucher redemption. 

e. Do not make any modifications to the emission control system on the 

replacement vehicle engine.

f. Be available for a follow up inspection, if requested by the air district or 

ARB.

g. Allow ARB to verify the replacement vehicle registration with DMV. 
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h. Notify all involved parties including the Air District and ARB of any 

change in ownership or registration status of the replacement vehicle 

during the 36 month voucher term.

i. Repay the voucher funding amount if the owner does not follow one or 

more terms as specified in the Application or Receipt of Replacement 

Voucher. ARB and/or the air district will specify repayment terms.

(C) Participant Requirements for Retrofit Projects: All retrofit project 

participants must meet the following requirements to be eligible for 

funding: 

(1) Specified Participating Installer: The participant must specify the 

participating retrofit installer used for the purchase and installation of the 

retrofit device. If the participant chooses to change installers, the 

participant must submit a new VIP application to the air district. 

(2) Voucher Redemption Deadline: The installer and owner must agree on a 

date in which the retrofit will be installed. The voucher will be redeemable 

within 30 days of issuance or by the installation date agreed upon by the 

installer and owner, whichever is later. 

a. The voucher redemption and installation deadline cannot be extended 

beyond the last day of the same calendar year for which the retrofit 

voucher is issued to ensure that the emissions benefits are surplus. 

For example, retrofit vouchers issued during calendar year 2011 

expired December 31, 2011. 

b. If the owner is unable to have the retrofit installed after a voucher has 

been issued, the owner must notify the installer and air district

immediately so that funds can be reallocated.

(3) The owner must agree to the following terms after being approved for a 

retrofit voucher:

a. Register the replacement vehicle with DMV.

b. Maintain insurance as required by law. 

c. Own and operate the retrofitted vehicle at least 75 percent of the time 

within California for the term specified on the Receipt of Replacement 

Voucher or Receipt of Retrofit Voucher (Appendix G and G1). 

d. Return annual usage reports for 3 years after voucher redemption. 
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e. Do not make any modifications to the emission control system on the 

vehicle engine.

f. Be available for a follow up inspection, if requested by the air district or 

ARB. 

g. Allow ARB to verify the retrofitted vehicle registration with DMV. 

h. Notify all involved parties including the Air District and ARB of any 

change in ownership or registration status of the replacement vehicle 

during the 36 month voucher term.

i. Repay the incentive amount if the owner does not follow one or more 

terms as specified in the Application or the Receipt of Retrofit Voucher. 

ARB and/or the air district will specify repayment terms.

3. Existing Vehicle Requirements: Replacement Projects

For replacement projects, all existing vehicles must meet the following conditions 

before a VIP application will be approved and awarded a voucher. 

(A) Eligible Model Years for the Existing Engine: The model year of the 

existing engine must be 2006 or older. Verification of the model year must 

be submitted in the application package. Verification can include a picture 

of the model year on the engine plate or written documentation from the 

manufacturer or participating dealer that matches the engine serial 

number to a particular model year. 

(B) Diesel-fueled Vehicles: The existing vehicle must currently operate on 

diesel fuel. 

(C) Weight Class: The existing vehicle must meet the criteria for either a 

medium heavy-duty (MHD) vehicle or a heavy heavy-duty (HHD) vehicle, 

as defined below.

(1) To qualify for MHD funding levels, eligible vehicles must have an original

manufacturer GVWR of either MHD 19,501 to 26,000 pounds or MHD 

26,001 to 33,000 pounds. 

(2) To qualify for HHD funding levels, eligible vehicles must have an original

manufacturer GVWR of 33,001 pounds or greater.

(3) GVWR may be documented with a photo of the vehicle manufacturer tag 

or a copy of the manufacturer build sheet.
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(D) Vehicle Title: A copy of the existing vehicle title must be submitted with 

the application package. The owner must be listed on the title as the 

current sole owner of the vehicle, and must have owned the vehicle during 

the previous twenty four (24) months. If the existing vehicle title is not 

available at the time of application, all of the following may be used as 

alternative ownership documentation until a duplicate title is received from 

DMV: 1) copy of current and valid vehicle registration, and 2) copy of the 

DMV Vehicle Registration Inquiry Report, and 3) copy of the DMV receipt 

for duplicate title request. If the existing vehicle title or alternative 

ownership documentation shows an active lien-holder, then the vehicle 

does not qualify to participate in the VIP. A copy of the duplicate title must 

be received by the air district before payment is issued to the dealership.

(E) California Registration: The existing vehicle must either be 1) currently 

registered and have been registered in California for the past twenty four 

(24) months; or 2) must have been registered in California for the previous 

eight (8) consecutive months supplemented by alternate documentation 

showing California operation for the past twenty four (24) months. The 

application package must include copies of the DMV registration for the 

term specified above, and proof of insurance and California operation for 

the previous twenty four (24) months. The existing vehicle must be based 

in California. Applicants may provide proof of California registration by 

providing copies of California International Registration Plan (IRP)

documents. Out-of-state registration and out-of-state IRP do not qualify 

for the VIP. 

Seasonal Vehicle Exception: If the existing vehicle operates seasonally, 

then the existing vehicle may be eligible to participate in the voucher 

incentive program if it has been registered in California for three (3) to six 

(6) continuous months per twelve (12) month period for the previous 

twenty four (24) months. DMV partial year registration documentation for 

each period the vehicle was registered must be included in the application 

package. Trucks that are registered seasonally must meet the minimum 

annual usage requirements in Appendix P during the registered months. 

(F) Operational Condition Verification: The existing vehicle must be in 

operational condition to qualify for funding. Operating condition must be 

determined through an inspection by a participating dealership prior to 

submitting the application or by air district staff upon air district request. 

An operational vehicle must be able to start, move in all directions, and 

have all operational parts.

(G) Engine Verification: If the existing vehicle engine tag is missing, then 

verification of the engine information can be done with the engine serial 

number. The participant will be required to provide verification of the 

engine make, model, model year, engine serial number, and horsepower 
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from the manufacturer. Verification can include a letter or a printout from 

an engine manufacturer or participating dealer. 

(H) Glider Kits: Existing glider kit vehicles are eligible to participate in the 

voucher program. The replacement vehicle has to be a complete Original 

Equipment Manufacturer vehicle; i.e., the replacement vehicle cannot be a 

glider kit. Glider kits are replacement chassis and cab for on-road heavyduty vehicles. Glider kits are identified with a vehicle identification number 

(VIN) starting with the letters “GL”. In situations where the model years of 

the glider kit vehicle’s chassis and engine differ, approval determination 

shall be made using the model year of the engine.

(I) Existing Vehicle Body Components: The body of the existing vehicle does 

not play a part in the participation in the program. Program funds can only 

be used to purchase the new vehicle, not external body components or 

parts used for a particular vocation (e.g., dump body). The common 

practice for vehicle owners to remove non-emission related body 

components from the existing vehicle and place them on the replacement 

vehicle is still permissible as long as the components do not exist on the 

replacement vehicle and are not a part of the paid components for the 

replacement vehicle 

(J) Operation of Existing Vehicle After Approval for a Voucher: If the existing 

vehicle is in an accident or has an engine failure AFTER receiving 

approval for a voucher from the air district but prior to replacement, then 

the existing vehicle will still be eligible for receiving funds from the 

program as long as all other VIP requirements have been met. 

(K) Delivering the Existing Vehicle to the Dealer Prior to Taking Ownership of 

the Replacement Vehicle: The participant must deliver the existing vehicle 

in similar condition as it was in the pre-inspection. The air district or 

dealer can reject the condition of the existing vehicle if it is deemed 

unroadworthy or if parts were stripped from the existing vehicle. 

Reimbursement of the voucher will be withheld until the dealer or air 

district approve the condition of the existing vehicle. 

4. Existing Vehicle Requirements: Retrofit Projects

For retrofit projects, all existing vehicles must meet the following conditions before a 

VIP application will be approved and awarded a voucher. 

(A) Eligible Engine Model Years: The model year of the engine must be 1997 

or newer. Verification of the model year must be submitted in the 

application package. Verification can include a picture of the model year 

on the engine plate or written documentation from the manufacturer or 
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participating dealer that matches the engine serial number to a particular 

model year. 

(B) Vehicles with an engine certified with a diesel particulate filter by the 

engine manufacturer are not eligible for funding. 

(C) Diesel-fueled Vehicles: The vehicle must operate on diesel fuel. 

Weight Class: Eligible vehicles must have an original manufacturer GVWR

of either 19,501-26,000 pounds or 26,001-33,000 pounds. GVWR may be 

documented with a photo of the vehicle manufacturer tag or a copy of the 

manufacturer build sheet.

(D) Vehicle Title: A copy of the existing vehicle title must be submitted with 

the application package. The owner must be listed on the title as the 

owner of the vehicle and must have owned the vehicle during the previous 

twenty four (24) months. Retrofit project vehicles may, or may not, have 

an active lien-holder. If the vehicle title is not available at the time of 

application, all of the following may be used as alternative ownership 

documentation until a duplicate title is received from DMV: 1) copy of 

current and valid vehicle registration, and 2) copy of DMV Vehicle 

Registration Inquiry Report, and 3) copy of DMV receipt for duplicate title 

request. A copy of the duplicate title must be received by the air district 

before payment is issued to the dealership. 

(E) California Registration: The existing vehicle must either be 1) currently 

registered and have been registered in California for the past twenty four 

(24) months; or 2) must have been registered in California for the previous 

eight (8) consecutive months supplemented by alternate documentation 

showing California operation for the past twenty four (24) months. The 

application package must include copies of the DMV registration for the 

term specified above, and proof of insurance and California operation for 

the previous twenty four (24) months. The existing vehicle must be based 

in California. Applicants may provide proof of California registration by 

providing copies of California IRP (International Registration Plan) 

documents. Out-of-state registration and out-of-state IRP do not qualify 

for the VIP. 

(F) Seasonal Vehicle Exception: If the existing vehicle operates seasonally, 

then it may be eligible to participate in the voucher incentive program if it 

has been registered in California for three (3) to six (6) continuous months 

per twelve (12) month period for the previous twenty four (24) months. 

DMV partial year registration documentation for each period the vehicle 

was registered must be included in the application package. Trucks that 

are registered seasonally must meet the minimum annual usage 

requirements selected in Appendix O during the registered months. 
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(G) Operational Condition Verification: The vehicle must be in operational 

condition to qualify for funding. Operating condition must be determined 

through an inspection by a participating retrofit installer prior to submitting 

the application or by air district staff upon air district request. 

(H) Engine Verification: If the existing vehicle engine tag is missing, then 

verification of the engine information can be done with the engine serial 

number. The participant will be required to provide verification of the 

engine make, model, model year, engine serial number, and horsepower 

from the manufacturer. Verification can include a letter or a printout from 

an engine manufacturer or participating dealer. 

5. Replacement Vehicle Requirements (Replacement Projects Only)

For replacement projects, all replacement vehicles must meet the following 

requirements before funding is awarded to the participant: 

(A) Purchased from a Participating Dealership: The replacement vehicle must 

be purchased from an air district-approved participating dealership. 

(B) Title: The replacement vehicle must have a clean title prior to purchase. 

The replacement vehicle must not have a salvage title and must not have 

been in an accident, repaired, and became available for resale. 

(C) California Registration: The replacement vehicle must be registered in 

California or in the California IRP. 

(D) Model Year: The replacement vehicle must have a 2007 model year or 

newer engine. 

(E) New or Used: The replacement vehicle can be new or used. Used 

vehicles with an original manufacturer GVWR of 33,001 or greater must 

have less than 500,000 miles of operation, and used vehicles with an 

original manufacturer GVWR of 19,501 through 33,000 must have less 

than 250,000 miles of operation. 

(F) Engine Emission Standards: New and used replacement vehicles qualify 

for funding based on engine emissions standards, as specified below. 

The corresponding funding levels for each emissions standard are found 

in Appendix P. 

(1) New or used replacement vehicles qualify for funding under the 0.20 

g/bhp-hr NOx funding levels if the engine is certified to an emissions 

standard of 0.20 g/bhp-hr of NOx and 0.01 g/bhp-hr of PM or cleaner. FEL 

engines are not eligible for funding under the 0.20 g/bhp-hr NOx 

emissions standards.
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(2) New or used replacement vehicles qualify for funding under the 0.50 

g/bhp-hr NOx funding levels if the engine is certified to an emissions 

standard or FEL level of 0.50 g/bhp-hr of NOx and 0.01 g/bhp-hr of PM or 

cleaner.

(3) Used replacement vehicles qualify for funding if the engine is certified to 

an emissions standard or FEL level of 1.20 g/bhp-hr of NOx and 

0.01 g/bhp-hr of PM or cleaner.

(4) An ARB Executive Order certifying that the engine meets the selected 

emissions standard must be included with the application package. 

(G) Weight Class: The replacement vehicle must be in the same weight class 

as the existing vehicle (either MHD 19,501 to 26,000 pounds, MHD 26,001 

to 33,000 pounds, or HHD).

(H) Warranty Requirements: All replacement vehicles must have a minimum 

of a one-year / 100,000-mile major component engine warranty. The 

warranty must cover parts and labor. It is recommended that the highestgrade warranty be purchased in order to avoid expensive repairs in the 

future. No CMP funds will be issued for maintenance or repairs related to 

the operation of the vehicle. The participant takes sole responsibility for 

ensuring that the vehicle is in operational condition.

(I) Engine and Emission Control Modifications: Emission controls on the 

replacement vehicle engine cannot be modified in any manner. 

Unauthorized modification to engine performance (including changes in 

horsepower), emission characteristics, engine emission components (not 

including repairs with like-original equipment manufacturers replacement 

parts), or any other modifications to the engine’s emission control function 

is not allowed.

6. Retrofit Device Requirements (Retrofit Projects Only)

(A) Only ARB-verified retrofits are eligible for funding. 

(B) Retrofit projects must use the highest level technically feasible technology 

verified for the engine being retrofitted. The retrofit device that achieves 

the highest level of PM reductions (Level 3: 85 percent reduction) and the 

highest level of NOx reductions is the highest level retrofit. 

(C) VIP funded retrofit devices may not be redesignated (i.e., removed from 

one vehicle and installed on another).
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(D) More information on retrofits, including a list of currently verified retrofits, is 

available at http://www.arb.ca.gov/diesel/verdev/verdev.htm. A 

searchable database of verified retrofits is available at 

http://arb.ca.gov/diesel/verdev/vdb/vdb.php. 

7. Air District Requirements

Air districts must implement the following program requirements:

(A) The VIP guidelines and attachments provide all requirements for the 

program, therefore air districts/dealers/grantees are not required to refer to 

the CMP Guidelines for Moyer funded VIP projects. 

(B) Each air district must have a resolution or minute order of their Governing 

Board that commits the air district to comply with all VIP requirements. If 

an air district Governing Board granted broad authority to adopt a program 

like VIP, the granted authority must be sufficient to comply with all VIP 

requirements. 

(C) Air districts may not add limitations to project criteria or make changes to 

the VIP Guidelines.

(D) An air district may request CMP funds if the air district chooses to use 

those funds to implement the VIP as these funds become available. In 

order for an air district to be approved for a funding request to implement 

the VIP, the air district must provide verification of board approval to 

implement the VIP, a copy of at least one active dealer agreement, and a 

copy of at least one active dismantler agreement (as mentioned in 

Section (4)(e)(9)). 

(E) Air districts must reject VIP applications if funds are not currently 

available. Air districts cannot create a list of pre-approved VIP projects to 

receive funding in a future date. 

(F) Air districts must create an addendum to their current CMP Policies and 

Procedures using the air district VIP Policies and Procedures (Appendix 

B) within two (2) months after they begin implementation of the VIP. Air 

districts are not required to submit this addendum to ARB but it must be 

available upon ARB request. 

(G) Air districts must use the program documents provided in the appendices. 

The documents may only be modified to include air district logos and air 

district contact information. The documents will be provided electronically 

to the participating air districts. 
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(H) Air districts must work to contract with vehicle dealerships or retrofit 

installers located in their air district before contracting with dealerships or 

retrofit installers located outside of their air district. Air districts that do not 

have dealerships or retrofit installers within their air district can proceed 

directly to contract with dealerships or retrofit installers located outside of 

their air basin. Air districts can contract with dismantlers located within or 

outside of their air district. 

(I) Air districts must contract with vehicle dealerships, retrofit installers, and 

dismantler yards. Dealership and dismantler yard agreements must 

contain the language provided in Appendix C, C1, and D, respectively. If 

a dealership or retrofit installer has multiple locations, then the air district 

either needs to have one agreement for each location or list each location 

in one agreement. The process for selection of dealerships, retrofit 

installers, and dismantler yards must be specified by the air district in the 

air district’s VIP Policies and Procedures.

(J) Air districts must ensure participating dealerships, retrofit installers, and 

dismantlers meet all VIP requirements. Air districts must receive all

requested documents from the dealership, retrofit installer, or dismantler 

prior to signing an agreement. Air districts must maintain records verifying 

their participating dealerships, retrofit installers, and dismantlers meet the 

VIP requirements. 

(K) Air districts must provide participating dealership, retrofit installer, and 

dismantler contact information to ARB within ten business days of entering 

into agreement. 

(L) Air districts must ensure at least one representative from each 

participating dealership or retrofit installer is trained on the terms, 

conditions and requirements of the Program. Air districts must describe 

how this will be accomplished in the air district’s VIP Policies and 

Procedures. 

(M) Air districts must work in coordination with ARB in outreach efforts to 

increase participation of vehicle owners, dealerships, retrofit installers, and 

dismantler yards. Air districts must specify outreach efforts in the air 

district’s VIP Policies and Procedures. 

(N) Air districts must provide all applicants, dealerships, and retrofit installers 

with application packages, inspection forms, and any other applicable VIP 

materials. Districts that are invoking a local eligibility requirement must 

provide the dealerships and retrofit installers pre-evaluation materials to 

help determine applicant eligibility. 
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(O) Air districts cannot restrict where participating dealers and retrofit installers 

can send completed applications. 

(P) Air districts must review and approve applications on a first-come, firstserved basis, based on the date of receipt of the application by the air 

district. 

(Q) Air districts must approve or reject applications within five (5) business 

days of receipt.

(R) Air districts must review an application package and approve a project 

once all program requirements have been met. To facilitate the review of 

the application package, the air district must confirm that all requirements 

on the Air District Review Checklist: Initial Review have been met 

(Appendix E). The following application form fields in Table 1 are 

mandatory and must be filled in completely before the application may be 

approved: 
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Table 1

Mandatory Application Form Fields

(S) Air districts must enter the Vehicle Identification Number (VIN) into the 

CARL database as part of the initial review of the application to ensure 

that the existing vehicle has not already applied for funding. If the VIN has 

already been entered into the CARL database, then the air district must 

reject the application. 

(T) Air districts may enter into a contract, written agreement, or memorandum 

of understanding with a 1) participating dealership or retrofit installer to 

perform pre-inspections and/or post-inspections, or 2) with a participating 

dismantler to perform dismantle inspections. If an air district chooses to 

use dealerships, retrofit installers, or dismantlers to perform inspections, 

air district staff must conduct and document at least one inspection on 

each project without the use of a contractor; however air districts may 

Applicant Information:

• Owner Name

• Mailing Address (including City, State, Zip)

• Physical Address (if different from mailing)

• Owner Phone

Third Party Information:

• Third-Party Name

• Mailing address (including City, State, Zip)

• Physical Address (if different from mailing)

• Phone

• Third Party Signature & Date

Only required if a paid party other than the 

dealership completes the application

Existing Vehicle and Engine Information:

• Vehicle Make

• Vehicle Model

• Vehicle Model Year

• Vehicle Identification Number (VIN)

• License Plate Number

• Odometer Reading

• Vehicle Operational

• GVWR

• Engine Make

• Engine Model

• Engine Model Year

• Serial Number

• Engine Family Number

• Engine operational

• Fuel used

Replacement Vehicle and Engine Information:

(Replacement Projects Only)

• Vehicle Make

• Vehicle Model

• Vehicle Model Year

• Odometer Reading

• GVWR

• Engine Make

• Engine Model

• Engine Model Year

• Engine Family Number

• Engine operational

• Fuel used

• CARB Executive Order Number

Retrofit Device Information:

(Retrofit Projects Only)

• Retrofit Device Make

• Retrofit Device Model

• Retrofit Device ARB Executive Order #

• ARB-verified PM reduction percent

• ARB-verified NOx reduction percent

• Retrofit device cost

• Cost of retrofit device with installation

Dealership/Retrofit Installer Information:

All fields must be filled out or a business card must 

be attached

Inspection Forms: all applicable forms must be 

filled in based on t he information required above for 

the existing and replacement vehicles. 

Applicant Recitals

Owner must sign and date application
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work in partnership to conduct the inspection. Air districts must ensure all 

inspection requirements are met and shall retain legal responsibility for full 

compliance with the inspection provisions of these Guidelines. If the air 

district decides to conduct the inspections, the inspections must be 

scheduled and completed within the following timeframes:

(1) Pre-inspection of the existing vehicle must be completed within 

five (5) business days of the receipt of the application or request by the 

applicant or dealership.

(2) Post-inspection of the replacement vehicle or retrofit device must be 

completed within three (3) business days of being notified by the 

dealership or installer.

(3) Pre-dismantle inspection of the existing vehicle must be completed within 

three (3) business days of being notified by the dealership. The predismantle inspection is to verify the existing vehicle is in similar operating 

condition as in the pre-inspection. If the existing vehicle has been stripped 

of major parts or accessories, the air district may withhold payment until 

the existing vehicle is restored to its previous state. 

 

(U) For approved projects, the air district must provide an Approved Voucher 

Package to the dealership or retrofit installer, as applicable. Parts not 

requiring a wet signature may be provided electronically or via the 

Internet. An approved voucher package includes the following 

documents:

(1) Voucher (Appendix F)

(2) Receipt of Voucher (Appendix G)

(3) Dealer Reimbursement Invoice (for immediate signature and return to the 

air district – Appendix H)

(4) Post-inspection (replacement vehicle) and Pre-dismantle (existing vehicle) 

Inspection Forms (Appendix I)

(5) Dealer Reimbursement Package Checklist (Appendix J)

(V) If a submitted application is incomplete, illegible, or has any unclear or 

missing documentation, the air district must reject the application

immediately and return it to the applicant. 

(W) Rejected projects: Air districts must remove the existing vehicle VIN 

entered at the initial review stage from the CARL database if the 

application has been rejected. Air districts must mail or email an 
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application rejection letter and the application package to the applicant if 

their application has been rejected. This letter must be issued by the end 

of the five-day (5) review period. The air district must state the reason(s) 

for the rejection on the rejection letter. If an application is rejected 

because the VIN is already in the CARL database, then the air district

should note this is the reason for rejection on the rejection letter and keep 

it in the project folder. The air district must also notify the dealer or installer 

by mailing or emailing a copy of the rejection letter. A template of the 

rejection letter is in Appendix K. 

(X) Payment Goal: A goal of the program is to ensure payment can occur 

when the existing vehicle is turned into the dealership and the 

replacement vehicle is ready for purchase, or when the retrofit installation 

is complete. The air district shall work towards achieving this goal and 

should notify the dealership or installer of any delays in issuing payment. 

(Y) Project Payment Options: In order to achieve the payment goal, air 

districts have two project payment options. The first option is to 

immediately begin the disbursement process for the approved voucher 

project after receiving a signed Reimbursement Invoice (Appendix H). 

Payment must not be distributed until an air district-approved 

Reimbursement Package has been submitted by the dealership or 

installer. The second option is to begin the disbursement process and 

issue payment within ten (10) business days of receipt of a completed 

reimbursement package. Air districts must include in the air district’s VIP 

Policies and Procedures the option that is implemented. 

(Z) Air District Payment Checklist: Air districts should use the Air District

Payment Review Checklist to help review if a complete reimbursement 

package has been submitted and payment can be issued (Appendix L). 

Air districts must retain with the project documents evidence that payment 

has been made. Such evidence could be a copy of the check, or other 

evidence consistent with standard fiscal operating procedures within the 

district. Allowable forms of evidence must be documented in the district’s 

Policies and Procedures. 

(AA) If the process of payment is delayed, the air district must notify the 

dealership or installer by phone or email at the earliest possible time of 

such delay. 

(BB) If the reimbursement package is not complete, the air district will mail or 

email a reimbursement package rejection letter explaining the discrepancy 

to the dealership or installer (Appendix M) and keep a copy of this letter. 

(CC) Air districts must enter all project data information into the CARL database 

within five (5) business days of approving an application for a voucher. 
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The replacement vehicle VIN should not be entered until sale of the 

vehicle is finalized. Payment information including the confirmed 

replacement vehicle VIN, must be submitted within five (5) business days 

after payment is issued. 

(DD) Air district staff or a designated contractor must conduct the dismantle 

inspection of the existing vehicle at the dismantler within 60 calendar days 

of being notified the existing vehicle has been delivered to the dismantler 

yard. Inspection forms are in Appendix I. The dismantle inspection 

should include verification of engine destruction, vehicle frame rails are 

completely severed, and verification the dismantler yard has filed the 

“Application for Salvage Certificate or Non-Repairable Vehicle Certificate” 

(REG 488C) or a Notice of Acquisition/Report of Vehicle To Be 

Dismantled (REG 42) with DMV. Verification can include a copy of the 

form filed with DMV. Air districts must also receive official verification 

from the dismantler that the REG 42 form has been accepted by DMV. 

This verification may occur after the dismantle inspection. 

(EE) Air districts must mail out annual Usage Reports (Appendix N) to 

participants each year for three years after voucher redemption. The air 

district must also input data from the returned reports into CARL. Semiannually, air districts will notify ARB if a grantee does not return usage 

reports. ARB reserves the right to enforce the terms of the voucher. 

(FF) Records Retention: Air districts must retain all records of approved 

voucher projects for a minimum of five (5) years from the date of issuing 

the voucher. For rejected projects, air districts must maintain a copy of 

the application, the rejection letter, and method of notification for three (3) 

years from the date the application was received. 

(GG) Audit and Monitoring: Air districts must allow ARB to monitor their 

voucher program, which includes audits of the air district’s implementation 

of the program. Most ARB VIP audits will occur during a regular CMP

audit; however, ARB may request project information on an as-needed 

basis. 

(HH) Audit of Participating Dealers and Retrofit Installers: Air districts that do 

not conduct 100 percent of required inspections themselves must audit 5 

percent of each type of inspection (pre, post, pre-dismantle, and 

dismantle). Audits should be done randomly and occur throughout the 

implementation timeline of the air district. Table 2 includes the audit 

requirements for the air districts to follow.
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Table 2

Air District Audit Requirements

(II) Meeting Environmental Justice Requirements: Air districts with 

environmental justice (EJ) requirements shall not apply the requirements 

to VIP application review. After each year of implementation, the air 

district may review each funded project to determine if it helps to meet air 

district EJ requirements. If those requirements have not been met, other 

CMP funded projects will need to be used to fulfill the EJ requirement. 

8. Dealership Requirements

Dealership participation is an important component of the VIP. Dealers are 

responsible for providing participants with assistance in the application process. 

This includes ensuring compliance with all program requirements. 

(A) Participating vehicle dealers are required to:

(1) Enter into an agreement with at least one air district in order to be a 

participating dealer in the VIP. Dealerships may choose to enter into 

agreements with more than one air district. Template language that will 

be included in this agreement can be found in Appendix C; the air district 

will provide the dealer with exact language. 

Type of Audit Inspection Purpose(s) Timing of Audit Inspection

Pre-inspection • Verify existing truck is in 

operational condition

• Verify existing truck 

application information

After application is submitted to 

air district but prior to approving 

the application. 

Post-inspection • Verify replacement truck 

meets emission standard: 

or

• Verify that retrofit device as 

installed matches executive 

order verification

• Verify application 

information

After replacement truck is 

delivered or retrofit installation, 

and prior to payment being issued

Replacement Projects Only:

Pre-dismantle inspection • Verify existing truck is in 

operational condition and 

has not been stripped of 

parts

• Verify existing truck 

application information

After existing truck is delivered to 

dealership and payment is 

issued. Existing truck is at 

dealership location

Dismantle inspection • Verify engine destruction

• Verify that frame rails are 

completely severed

• Obtain copy of REG 42 

form filed with DMV

After engine and frame rail 

destruction.
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(2) Warrant that it meets the following minimum qualifications, and will 

continue to meet these qualifications throughout its participation in the 

Program: 

a. Dealership has had a valid business license issued in California for a 

minimum of the last two years.

b. Dealership has had a valid vehicle dealership license with DMV for a 

minimum of the last two years. 

c. Dealership maintains a minimum of one (1) employee that has 

successfully completed the training by the air district regarding the 

terms, conditions and requirements of the Program. If a participating 

dealership maintains more than one location for truck sales, then each 

location must have at least one employee trained on the VIP.

d. Dealership agrees to allow the air district or ARB to inspect vehicles or 

audit program records covered under this Agreement during normal 

business hours.

(3) Provide accurate information about the VIP to applicants. 

(4) Help participants complete the VIP application package. It is important to 

make sure that all information is filled out correctly and that the participant 

understands the VIP requirements. 

(5) Show the voucher amount on the replacement vehicle invoice. The 

voucher does not reduce the purchase price of the truck, but is an 

incentive to the truck owner that will result in a lower price paid by the 

participant. The receipt of voucher funds does not lower the base price 

nor does it reduce the tax basis of the truck. 

(6) Submit the completed application package to the air district. ARB 

recommends that dealers submit applications to the air district closest to 

an applicant’s physical address. Incomplete application packages will be 

rejected and returned to the applicant. The dealer will also be notified of 

the reasons for rejection (Appendix K). 

(7) Ensure the title for the replacement vehicle is registered to the participant 

in California. If the replacement vehicle is not registered in California, the 

voucher will be invalid and not be paid.

(8) Ensure the replacement vehicle is delivered in California. 

(9) Ensure any used vehicles with an original manufacturer GVWR of 33,001 

or greater must have less than 500,000 miles of operation, and used
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vehicles with an original manufacturer GVWR of 19,501 through 33,000 

must have less than 250,000 miles of operation. 

(10) Ensure the existing vehicle is delivered to the dealership prior to 

releasing the replacement vehicle. 

(11) Ensure the existing vehicle is in similar condition as found in the preinspection. The dealer should reject the condition of the existing vehicle 

if it is deemed unroadworthy or if parts were stripped from the existing 

vehicle. Reimbursement of the voucher will be withheld until the dealer 

(or air district) approves of the condition of the existing vehicle and is 

delivered to the dealership. 

(12) Ensure the existing vehicle and its original, signed title remains in 

dealership custody and is sent to a participating dismantler yard for 

destruction within 30 business days of dealership taking truck 

possession. Immediately notify the air district of the location and date of 

delivery of the existing vehicle to the dismantler. 

 

(B) Application Package: To ensure that an application package is complete, 

the dealer must ensure that all the following items are complete and 

included in the participant’s submission to the air district. An applicant 

checklist is available for participants and dealerships to use (Appendix A). 

The following must be completed before a voucher will be issued: 

(1) Submit a signed and complete application.

(2) Submit all other applicant-required documentation as listed in these 

guidelines and on the application checklist 

(3) If required by the air district, inspect and provide documentation showing 

that the existing vehicle is operational and roadworthy. The air district may 

decide to conduct the inspections and will notify the dealership of this. 

(4) Submit digital photographs of the existing vehicle to the air district. The air 

district will specify the required format of digital photos as listed on the 

inspection form in appendix C. Before submitting photographs to the air 

district, dealers must verify that photographs are clear with a minimum 

capture resolution of 640X480. Dealers can submit photos of more than 

one truck inspection on a disk or other media as long as the pictures are 

clearly labeled. All Vehicle Identification Numbers (VIN) and engine serial 

numbers (ESN) must be legible. 

(C) Dealer Reimbursement Package: Prior to receiving reimbursement, the 

dealer must submit a reimbursement package to the air district. A 
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checklist is available for the dealers (Appendix J). The following 

documents should be included in the reimbursement package: 

(1) Reimbursement Invoice (Appendix H) should be signed and returned to 

the air district upon receipt.

(2) Final dealership invoice signed by the applicant that shows the final 

purchase price less the voucher award. 

(3) Receipt of Voucher signed by the participant. 

(4) The original Voucher. 

(5) Copy of DMV registration paperwork showing vehicle registered to the 

participant in California. 

(6) Copy of finance documentation (if applicable). 

(7) Copy of replacement vehicle warranty.

(8) Copy of title of existing vehicle signed and dated by applicant. 

(9) Inspection forms and pictures of the existing vehicle after it is turned in to 

the dealership as specified in appendix I.

(10) Inspection forms and pictures of the replacement vehicle as specified in 

Appendix I.

(11) Location of the dismantler yard that the existing vehicle will be 

destroyed.

(12) Date the existing vehicle is delivered to or picked up by a participating 

dismantler.

9. Retrofit Installer Requirements

Retrofit installer participation is an important component of the VIP. Retrofit 

installers are responsible for providing participants with assistance in the application 

process. This includes ensuring compliance with all program requirements. 

(A) Participating retrofit installers must do the following:

(1) Enter into an agreement with at least one air district in order to be a 

participating installer in the VIP. Language that will be included in this 

agreement can be found in Appendix C (1). The air district will provide the 
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installer with the exact contract language once the installer has expressed 

interest in participating. 

(2) Installers may choose to enter into an agreement with more than one air 

district. 

(3) Installer Qualifications: Installer warrants that it meets the following 

minimum qualifications for participation in the Program, and will continue 

to meet these qualifications throughout its participation in the Program.

a. Installer has had a valid business license issued in California for a 

minimum of the last two years.

b. Installer is a Manufacturer Authorized Installer for all VIP retrofit 

installations.

c. Installer maintains a minimum of one (1) employee that has 

successfully completed the training by the air district regarding the 

terms, conditions and requirements of the Program. If a participating 

installer maintains more than one location, then each location must 

have at least one employee trained on the VIP.

d. Installer agrees to allow the air district or ARB to inspect vehicles or 

audit program records covered under this Agreement during normal 

business hours.

(4) Provide accurate information about the VIP to applicants. 

(5) Help the participants complete the VIP application package. It is important 

to make sure that all information is filled out correctly and that the 

participant understands the VIP requirements. 

(6) Installers must show the voucher amount on the retrofit device invoice. 

The voucher does not reduce the purchase price of the retrofit, but is an 

incentive to the truck owner that will result in a lower price paid by the 

participant. The receipt of voucher funds does not lower the base price of 

the retrofit nor does it reduce the tax basis of the retrofit. 

(7) Once the application package is complete, submit the application package 

to the air district. Incomplete application packages will be rejected and 

returned to the applicant. The installer will also be notified of the reasons 

for rejection (Appendix K). 

(8) Application Submittal Recommendation: ARB recommends that installers 

submit applications to contracted air districts that are closest to an 

applicant’s physical address. 
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(B) Application Package: To ensure that an application package is complete, 

the installer must ensure that all the following items are complete and 

included in the participant’s submission to the air district. An Application 

Checklist is available (Appendix A). The following must be completed 

before a voucher will be issued: 

(1) Submit a signed and complete application.

(2) Submit all other applicant-required documentation as listed in these 

guidelines and on the application checklist 

(3) If required by the air district, inspect and provide documentation showing 

that the existing vehicle is operational and roadworthy. The air district may 

decide to conduct the inspections and will notify the installer of this. 

(4) Submit digital photographs of the existing vehicle to the air district. The air 

district will specify the required format of digital photos as listed on the 

inspection form in appendix C. Before submitting photographs to the air 

district, installers must verify that photographs are clear with a minimum 

capture resolution of 640X480. Installers can submit photos of more than 

one truck inspection on a disk or other media as long as the pictures are 

clearly labeled. All Vehicle Identification Numbers (VIN) and engine serial 

numbers (ESN) must be legible. 

(C) Reimbursement Package: Prior to receiving reimbursement, the installer 

must submit a Reimbursement Package to the air district. A checklist is 

available (Appendix J). The following documents should be included in 

the reimbursement package: 

(1) Reimbursement Invoice (appendix H) should be signed and returned to 

the air district upon receipt

(2) Final invoice signed by the applicant that shows the final purchase price 

less the voucher award

(3) Receipt of Voucher signed by the participant

(4) The original Voucher

(5) Copy of DMV registration paperwork showing vehicle registered to the 

participant in California.

 

(6) Copy of finance documentation (if applicable)

(7) Copy of retrofit warranty 
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(8) Copy of vehicle title 

(9) Inspection forms and pictures of the vehicle before it is retrofitted as 

specified in Appendix I.

(10) Inspection forms and pictures of the vehicle after retrofit is complete as 

specified in Appendix I.

10.Dismantler Requirements

For replacement projects, ARB requires that the existing vehicle is destroyed. 

Destruction of the existing vehicle chassis and engine permanently removes the old, 

high-emitting vehicles from operation. This requirement has been established to 

ensure that emission reductions are real. It prevents the existing vehicles from being 

moved into another locale to continue emitting high levels of pollutants. Air districts 

will establish a list of participating dismantlers that existing vehicles can be delivered 

to or picked up for destruction. 

A dismantler must enter into an agreement with at least one air district to participate 

in VIP. Appendix D lists the terms that must be included in the air district/dismantler 

agreement. The following are requirements for participating dismantlers. 

(A) Participating vehicle dismantlers are required to meet the following 

requirements in order to participate in the VIP and provide verification to 

the air district: 

(1) Be licensed by DMV as a Dismantler for a minimum of the last two years; 

(2) Have a current, valid California Environmental Protection Agency 

(Cal/EPA) Hazardous Materials Generators Permit; 

(3) Comply with all local, state and federal laws and regulations;

(4) Owner must have a minimum of one (1) active employee who received 

training by the air district on the requirements of the Program. If a 

dismantler has more than one location, then the dismantler must have at 

least one (1) active employee trained by the air district at each location 

that will be accepting VIP trucks; and

(5) Have had a valid business license issued in California for a minimum of 

the last two years. 

(B) Funding is not available for the dismantling of any existing vehicle. 

(C) The dismantler must agree to do the following: 
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(1) Destroy the existing vehicle within 60 calendar days of receipt. 

Destruction of the vehicle includes completely severing the frame rails so 

that the frame is no longer capable of being used in a vehicle. 

(2) The existing vehicle’s engine must be destroyed and rendered useless. A 

minimum 3-inch diameter hole must be put into the engine block. 

(3) The dismantler must notify the air district that a vehicle is destroyed and 

ready for inspection. 

(4) The destruction of the engine and vehicle must be documented by the air 

district. Air district staff or a designated contractor must verify in-person 

the vehicle identification numbers and engine serial number. 

(5) The dismantler must provide verification that the existing vehicle is 

registered with DMV as non-repairable. Verification of filing DMV Form

488C or REG 42 must be provided to the air district at the dismantle 

inspection. Within 90 calendar days of the dismantle inspection date, the 

dismantler must also provide verification to the air district from DMV that 

the existing vehicle has been registered with DMV as non-repairable (nonrevivable) with a transaction code L10 (non-original Junk Non-Revivable) 

or C26 (Junk Non-Revivable Original). 
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D. Definitions

For the purposes of the VIP, definitions are as follows:

Body Components: Any components of a vehicle specific to the actual vocation of the 

vehicle. This does not include any components that are directly related to the 

propulsion of the vehicle, common component of a vehicle (e.g., steering wheel, seats, 

etc.), or related to the rigid structure of the tractor. 

Dismantler: A place of business whose purpose is to destroy heavy-duty vehicles and 

engines that also meet the requirements of section 10.

Drayage Truck: Drayage trucks are defined in California Code of Regulations, title 13, 

section 2027. More information on trucks that must comply with the Drayage Truck 

Regulation can be found at:

http://www.arb.ca.gov/msprog/onroad/porttruck/porttruck.htm 

Existing Vehicle: For replacement projects, the existing vehicle is the vehicle that will be 

turned in by the applicant for dismantling and destruction. For retrofit projects, the 

existing vehicle is the vehicle that will have a retrofit device installed.

Fleet Size: As defined in the Statewide Truck and Bus Regulation in California Code of 

Regulations, title 13, section 2025(d)(30): “ ‘Fleet Size’ means the total number of diesel 

vehicles with a GVWR greater than 14,000 lbs in a fleet, regardless of whether the 

vehicles operate in California, that are under common ownership or control even if they 

are part of different subsidiaries, divisions, or other organizational structures of a 

company or agency.”

Gross Vehicle Weight Rating (GVWR): The maximum allowable total weight of a road 

vehicle and a loaded trailer as established by the original vehicle manufacturer. The 

original GVWR is typically found on an information tag or plate permanently affixed to 

the vehicle. 

Heavy-duty vehicle (HDV): A vehicle with an original GVWR of 14,001 pounds or

greater. 

 

Heavy Heavy-Duty Vehicle (HHD): A vehicle with an original manufacturer GVWR of 

33,001 pounds or greater. 

Medium Heavy-Duty Vehicle (MHD): A vehicle with an original manufacturer GVWR of 

14,001 through 33,000 pounds. Note: the minimum GVWR for participation in VIP is 

19,501 pounds. Replacement vehicles must be in the same weight class as the existing 

vehicle (either MHD 19,501 to 26,000 pounds, MHD 26,001 to 33,000 pounds, or HHD).

Participating Dealership: A dealership that has an agreement with an air district to 

participate in the VIP. 
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Participating Dismantler: A dismantler that has an agreement with an air district to 

participate in the VIP.

Seasonal Vehicle: An “Agricultural Vehicle,” “Log Truck,” “Low-Mileage Construction 

Vehicle,” or “Specialty Agricultural Vehicle” as defined in 13 CCR Section 2025:

“Agricultural Vehicle” means a vehicle that is eligible to utilize the requirements for

agricultural vehicles in section 2025(m) and meets one of the definitions of (A)

through (E) below.

(A) A vehicle, or truck-tractor and trailer combination, owned by a farming

business and used exclusively in one or more of the following ways:

1. in agricultural operations;

2. to transport harvested farm products to the first point of processing;

3. to directly support farming or forestry operations, which may include

supply trucks, cattle trucks, and other vehicles but does not include

vehicles that do not directly support farming operations such as

personal use vehicles, vehicles rented or leased to others for nonagricultural

uses that do not qualify, or vehicles used in a transportation

business other than to transport harvested farm products to the first

point of processing.

(B) A vehicle, or truck-tractor and trailer combination, owned by a bee keeping

business and used exclusively to transport their own bees or honey to the

first point of processing.

(C) A truck, or a truck-tractor and trailer combination, that is required to display a

hazardous material placard during delivery and exclusively delivers fertilizer

or crop protection chemicals that require placard identification for use in

agricultural operations from a distribution center to a farm and back, and is

owned by a business holding a valid fertilizer or pest control license.

1. Owners of such vehicles must hold:

a. a valid pest control dealer license issued by the California

Department of Pesticide Regulation as required under Food &

Agricultural Code, Division 6, Chapter 7, Article 6, Section 12101;

or

b. a valid fertilizing materials license issued by the California

Department of Food and Agriculture as required under Food &

Agricultural Code, Division 7, Chapter 5, Article 4, Section

14591(a).

2. Such vehicles must exclusively carry products defined under one of the

following, and be required to display an appropriate placard, as required
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by the United States Department of Transportation:

a. 49 CFR, CHAPTER 1, PART 173.127 (Division 5.1); or

b. 49 CFR, CHAPTER 1, PART 173.132 (Division 6.1); or

c. 49 CFR, CHAPTER 1, PART 173.115 Class 2, (Division 2.1, 2.2,

and 2.3); or

d. 49 CFR, CHAPTER 1, PART 173.136 Class 8; or

e. 49 CFR, CHAPTER 1, PART 173.140 Class 9.

(D) A truck, or truck-tractor and trailer combination, designed for in-field

operations, that is exclusively engaged in agricultural operations on the farm.

Examples include truck configurations designed to spread manure, dispense

hay, and dispense freestall bedding. It also includes water trucks and trucks

designed or modified to be used exclusively for the dusting, spraying,

fertilizing, or seeding of crops. Except as allowed in (A) above, trucks, or

truck-tractor and trailer combinations that transport any products, materials,

personnel, or equipment are excluded.

(E) A truck, or truck-tractor and trailer combination, including yard trucks, that

exclusively transports any unprocessed horticultural, viticultural, aquacultural,

forestry, dairy, livestock, poultry, bee or farm products such as raw,

unprocessed crops, livestock, fish, or fowl between the farm and where the

first point of processing occurs after harvest. Also included are trucks that

are used to harvest crops for silage, and trucks that transport unprocessed

agricultural materials from forest or farm to a biomass facility. 

“Log Truck” means a heavy-duty vehicle with a manufacturer’s GVWR greater

than 33,000 lbs and has log bunks permanently attached that exclusively

transports logs.

“Low-Mileage Construction Truck” means a vehicle that meets the definition as follows:

A dump truck with a GVWR greater than 26,000 lbs that operates less than

20,000 miles per calendar year and is designed to transport construction

materials such as dirt, asphalt, rock or construction debris including a transfer

truck, or a tractor trailer combination used exclusively to pull bottom dump,

end dump or side dump trailers

“Specialty Agricultural Vehicle” means an agricultural vehicle having one of the

following body types and has been approved for the exemption in section

2025(m)(11) by the Executive Officer:

(A) A truck, or a truck-tractor and trailer combination, designed or modified to be

used exclusively for the fueling, repairing, or loading of an airplane or

helicopter used for the dusting, spraying, fertilizing, or seeding of crops; or

(B) A truck, or a truck tractor and trailer combination, that is equipped with a selfloading
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bed and is designed and used exclusively to transport field

manufactured cotton modules to a cotton gin; or

(C) A truck equipped with a water tank owned by a farmer, not operated for

compensation, and used exclusively in agricultural operations to provide dust

suppression on dirt roads providing access to agricultural fields and for the

transportation of water for crop or tree irrigation or for livestock; or

(D) A feed truck or mixer-feed truck specially designed for dispensing feed to

livestock. It does not include trucks designed to supply storage silos with

feed; or

(E) A truck with a self-loading bed designed to be used in the process of

harvesting lettuce. This type of vehicle is commonly referred to as a Fabco

truck.

Verified Diesel Emission Control Strategy (VDECS): an emission control strategy 

(retrofit device) that has been verified pursuant to the “Verification Procedure, Warranty 

and In-Use Compliance Requirements for In-Use Strategies to Control Emissions from 

Diesel Engines” in California Code of Regulations, title 13, section 2700.
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Voucher Incentive Program Truck Replacement Flow Chart

APPLICANT DEALER AIR DISTRICT

Visit dealer or air 

district 

Applications

Complete 

application

Inspect old vehicle (before application if done by 

dealer or after if done by district)

Application turned in 

– quick turnaround

• Application 

approved – 

provide voucher 

package to dealer 

• Application 

denied – letter to 

applicant

Sign PO or 

invoice

Order vehicle or sell 

vehicle on lot

Deliver vehicle

• Approve 

reimbursement 

package 

• Reimburse dealer

Own, operate, 

and report usage 

of vehicle for 

3 years

Funding amounts:

See Appendix P 

• Mail usage reports 

annually for 3 

years

• Maintain records 

for 5 years

• Dismantler yard 

contacted 

• Old vehicle and 

title delivered to 

dismantler for 

destruction

• Compiles dealer 

reimbursement 

package and 

turns into the air 

district 

• Turn in old 

vehicle – pick 

up new vehicle

• Signs “receipt 

of voucher”
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Voucher Incentive Program Truck Retrofit Flow Chart

APPLICANT DEALER AIR DISTRICT

Visit dealer or air 

district 

Applications

Complete 

application

Inspect old vehicle (before application if done by 

dealer or after if done by district)

Application turned in 

– quick turnaround

• Application 

approved – 

provide voucher 

package to dealer 

• Application 

denied – letter to 

applicant

Sign PO or 

invoice

Install retrofit

• Approve 

reimbursement 

package 

• Reimburse dealer

Own, operate, 

and report usage 

of vehicle for 

3 years

Funding amounts:

See Appendix O 

• Mail usage reports 

annually for 3 

years

• Maintain records 

for 5 years

Compiles dealer 

reimbursement 

package and turns 

into the air district

Owner signs 

“receipt of voucher”
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Appendix A

• Please print clearly or type all requested information on this application. 

• Submit all supporting documentation listed on the application checklist on 

page 2. 

• Complete one application for each heavy-duty on-road vehicle. 

• If the submitted application is incomplete, illegible, or any documentation 

is missing or unclear, the application will be rejected immediately and 

returned to the applicant. 

Eligibility Criteria

To be eligible for funding in the Voucher Incentive Program, projects must meet the 

criteria described in the Voucher Incentive Program Guidelines. These criteria include, 

but are not limited to, the following:

• Fleet Size: Owner/ Applicant may not own more than ten (10) on-road heavy-duty 

diesel-fueled vehicles with a Gross Vehicle Weight Rating (GVWR) greater than 

14,000 lbs. Owners of on-road vehicle fleets with more than 10 vehicles are not 

eligible to participate. Vehicles with a GVWR greater than 14,000 lbs that are 

leased for more than a year must also be included in the fleet size. 

Determination of fleet size must be based on the definitions and criteria in the 

Statewide Truck & Bus Regulation in California Code of Regulations, title 13, 

section 2025. 

• Regulations: The purchase and use of this low-emission vehicle or retrofit device 

is not required by any local, state, and/or federal rule or regulation, including the 

Drayage Truck Regulation. Note: VIN numbers will be added to the Drayage 

Truck Registry as “non-compliant” for up to three years after replacement truck 

delivery or retrofit installation.

• Compliance Extensions: Applicant may not use VIP funded projects to generate 

a compliance extension or extra credit for determining regulatory compliance.

• Existing Engine Model Year: For replacement projects, the applicant must prove 

that the existing vehicle is equipped with a model year 2006 or older engine. For 

retrofit projects, the applicant must document that the existing vehicle is 

equipped with a model year 1997 through 2006 engine. 

VOUCHER INCENTIVE PROGRAM

Application Package
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• Weight Range: Applicant must document that the existing vehicle meets the 

criteria for either a medium heavy-duty vehicle or a heavy heavy-duty vehicle as 

defined below:

 To qualify for medium heavy-duty (MHD) funding levels, eligible 

vehicles must have an original manufacturer Gross Vehicle Weight 

Rating (GVWR) of either MHD 19,501-26,000 pounds or MHD 

26,001-33,000 pounds. 

OR- 

 To qualify for heavy heavy-duty (HHD) funding levels, eligible 

vehicles must have an original manufacturer Gross Vehicle Weight 

Rating (GVWR) of 33,001 pounds or greater. 

• Vehicle Title: Applicant must prove ownership of the existing vehicle for the 

previous twenty four (24) months. For truck replacement projects, the title must 

show that there is no lien holder. 

 Registration: Applicant must prove that the existing vehicle has been registered 

in California for the previous twenty four (24) months, or for the previous eight (8) 

continuous months with twenty four 24 months of California operation

documentation. For seasonal vehicle, California registration is required for three 

(3) to six (6) continuous months per twelve (12) month period for the previous 

twenty four (24) months. 

 Insurance: Applicant must prove that the existing vehicle has been insured for 

the previous twenty four (24) months. 

 Usage: Applicant must provide the previous twenty four (24) months of vehicle 

usage documentation (fuel consumption or miles driven) in California. The 

existing vehicle must have met the selected minimum annual mileage or fuel 

usage requirements in Appendix O or P, as applicable, in each twelve (12) month 

period over the previous twenty four (24) months. 

 Military Service Provision: If a participant has been on active military duty at any 

time during the previous twenty four (24) months, documentation prior to 

deployment and covering the same length of time as the deployment period may 

be used to meet the title, registration, usage, and operation in California 

requirements. Participant must submit a copy of DD Form 214, Certificate of 

Release or Discharge from Active Duty to verify military service during the 

deployment period.

 Applying for Funds: Applicant may only apply for funds through the Voucher 

Incentive Program to one air district at a time. Applicant cannot apply for any 

other grant funds to replace or retrofit this vehicle. 
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 Two-for-One Vehicle Replacements: If an applicant is applying to replace two 

existing vehicles with one replacement vehicle, then two applications and 

supporting documentation must be submitted. Please specify this on the 

application by checking the Two-for-One Option. 
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Applicant Information Dealer Information

Company: Dealership: 

Owner: Salesperson: 

Phone: Phone: 

FAX: FAX: 

Email: Email: 

Option: attach business card Option: attach business card

√ Applicant Requirements

Completed application (signed & dated in ink)

If Military Service Provision applicable, copy of DD214 Certificate of Release or 

Discharge from Active Duty. Check the box on the application marked “Military 

Service Provision”.

Copy of existing vehicle title (no lien holder for replacement projects)

Vehicle usage documentation (for previous twenty four (24) months)

Fuel records Mileage records 

Vehicle usage documentation for the existing vehicle must prove :

selected mileage level per year for previous twenty four (24) months

OR

selected gallons per year consumed for previous twenty four (24) months 

Copy of existing vehicle DMV registration for the previous twenty four (24) months –

if existing vehicle is registered for part of a year, provide proof of registration for all 

months registered; or DMV registration for previous eight (8) consecutive months 

with 24 months of California operation documentation. AND

Copy of existing vehicle insurance cards (for the previous twenty four (24) months)

Inspection Form for the existing vehicle signed by a participating dealership, retrofit 

installer, or air district

Digital photos of the existing vehicle 

Verification of existing engine model year from the manufacturer or dealership

Quote and specification sheet for the replacement vehicle or retrofit device signed 

and dated by the dealership or retrofit installer

ARB Executive Order for replacement vehicle engine or retrofit device

If replacing two existing vehicles with one replacement vehicle, submit an 

application and the above information for each existing vehicle. Check the box on 

the application marked “Two-for-One Option”. 

If fleet size 1-3 vehicles AND at least one vehicle has a GVWR of 26,000 pounds or 

greater, provide one of the following: 1) TRUCRS report showing at least one filter 

or meet PM BACT, 2) Proof of purchase showing VDECS family name, serial 

VOUCHER INCENTIVE PROGRAM

Application Checklist
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number, VIN, and retrofit installer, 3) Photographs of VDECS labels on engine and 

retrofit showing family name, serial number, and VIN, or 4) Photograph of 2007 + 

engine label with VIN

If fleet size 4-10 vehicles, submit fleet calculator information indicating green (and 

“Meets Model Year Schedule” label if TRUCRS 1 box checked) for current year or 

other ARB issued compliance tool.
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VOUCHER INCENTIVE PROGRAM

 

VOUCHER INCENTIVE PROGRAM

Application

Date Received:

(For office use only)

Applicant Information Military Service Provision

Owner Name: Company Name: 

Mailing address: Fleet Size*:

City: State: Zip Code: 

Physical address:

City: State: Zip Code: 

Owner Email: Owner Phone:

* As defined in Truck & Bus Regulation. Fleet Size must include vehicles leased for more than one year.

Third Party Information

This box needs to be filled out if application is completed by anyone being paid to complete the application on the 

owner’s behalf. Dealers do not need to complete this section. 

Third-Party Name: Company Name: 

Mailing address: 

City: State: Zip Code: 

Physical address:

City: State: Zip Code: 

Phone: Email:

Third Party Signature: Date:

Existing Vehicle and Engine Information Two-for-One Option 

VEHICLE INFORMATION:

Vehicle Make: Vehicle Model: Vehicle Model Year:

Vehicle Identification Number: License Plate Number: Manufacture Date:

Odometer Reading: Vehicle operational?

Yes No

DOT Number (if interstate): CHP number 

(if applicable):

Fleet ID (optional):

Cab Style:

Conventional Cab-over

Original Manufacturer GVWR: 

Engine Information: 

Engine Make: Engine Model: Engine Model 

Year:

Manufacture

Date:

Serial Number: Engine Family Number: Horsepower:

Engine operational?

Yes No

Fuel used?

Diesel Other:______
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Replacement Vehicle and Engine Information (If Applicable)

VEHICLE INFORMATION: New Used

Vehicle Make: Vehicle Model: Vehicle Model Year:

Vehicle Identification Number (if 

available):

License Plate Number 

(if available):

Manufacture Date:

Odometer Reading: Vehicle operational?

Yes No

DOT Number (if interstate): CHP number (if 

applicable):

Delivery Date:

Cab Style:

Conventional Cab-over

Original Manufacturer GVWR: 

Engine Information: 

≤ 0.01g/bhp-hr PM and is at or below the following standard (STD) or family emissions 

limit (FEL) NOx level: 0.20 g/bhp-hr 0.50 g/bhp-hr 1.20 g/bhp-hr

Engine Make: Engine Model: Engine Model 

Year:

Manufacture

Date:

Serial Number (if 

available):

Engine Family Number: Horsepower:

Engine operational?

Yes No

Fuel used?

Diesel Other:______

CARB Executive Order

Number:

Retrofit Device Information (If Applicable)

Retrofit device make: Retrofit device model:

Retrofit device ARB executive order #: Retrofit device serial # (if available):

ARB-verified PM reduction (percent): ARB-verified NOx reduction (percent):

Retrofit device cost: Installation date: Cost of retrofit device with installation:

Dealership/Retrofit InstallerInformation (or attach business card)

Contact Person: Business Name: 

Phone: Address: 

City: State: Zip Code: 
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TRUCRS Reporting for Truck and Bus Regulation

Check one box. For fleet sizes 4-10 only.

TRUCRS 1:  Fleet is subject to compliance schedule by engine model year. (No 

reporting required.)

TRUCRS 2:  Fleet is not subject to compliance schedule by engine model year and 

meets applicable reporting requirements.

Operational Area

Using the map below, estimate the percentage of your annual mileage or usage that 

will occur in each area. Usage distribution within California will NOT affect your

potential funding amount. However, based on local district requirements, it may affect 

eligibility.

North Coast: Northeast Plateau:

Lake County: Sacramento Valley:

San Francisco Bay: Mountain Counties:

North Central Coast: Lake Tahoe:

South Central Coast: San Joaquin Valley:

South Coast: Great Basin Valleys:

San Diego County: Mojave Desert:

Outside California: Salton Sea:

Note: The total of all percentages must equal 100.
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By submitting this application, I certify under penalty of perjury, under the laws of the State 

of California that the information on this application is accurate and true: 

• I am the owner of the existing vehicle(s); 

• The existing vehicle is part of a fleet with no more than ten on-road heavy-duty 

diesel-fueled vehicles according to the fleet size definition of the Truck and Bus 

Regulation including vehicles leased more than one year; 

• The existing vehicle(s) has operated at least 75 percent of the time in California 

during each twelve (12) month period for the previous twenty four (24) months;

• I am not under contract and will not apply for additional grant funds from any other 

entities or programs for this vehicle;

• I understand and agree that, if my application is approved for a replacement vehicle 

purchase, my existing vehicle(s) identified on this application will be destroyed;

• The purchase of this low-emission vehicle or retrofit device is NOT required by any 

local, state, and/or federal rule or regulation, including the Drayage Truck 

Regulation;

• I understand that for a period of three years from delivery or installation date, I will 

not engage in any activities that are subject to the Drayage Truck Regulation, 

including accessing any regulated port or intermodal rail facility;

• I understand that I must be in compliance and remain in compliance with all 

applicable federal, state, and local air quality rules and r egulations;

• I understand that an incomplete or illegible application, or if any required 

documentation is missing, this application will be immediately rejected and returned 

to me;

• I understand that I can reapply for project funding if this application is rejected 

because it was incomplete, illegible, or missing required documentation;

• I understand as an applicant that incentive programs have limited funds and shall 

terminate upon depletion of program funding; 

• I have the legal authority to apply for incentive funding for the entity described in this 

application;

• I understand that ARB, as an intended third party beneficiary, reserves the right to 

enforce the terms of the VIP and the Voucher at any time during the three year 

voucher term.

• The information provided in this application and all supporting documentation are 

true and correct and meet the minimum requirements of the Voucher Incentive 

Program; and

• I agree to the above statements by signing below. 

Owner Signature: Date:

Printed Name: Title:

Please attach all documentation listed on the application checklist

Please submit this application to the air district below. If you have any questions in 

completing your application, please contact:

<Air District Contact Information>
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Appendix B

VOUCHER INCENTIVE PROGRAM

Air District VIP Policies and Procedures

NOTE to AIR DISTRICT: 

The program elements listed do NOT constitute an air district’s entire Policies and 

Procedures. This is an addendum to the air district’s already existing Policies and 

Procedures in order to explain how to administer the Voucher Incentive Program. The 

terms have been prepared to facilitate the air districts preparation of their Voucher 

Incentive Program Policies and Procedures. The air district must ensure the intent of the 

VIP Guidelines are met and include the program elements listed below into the air 

district’s VIP Policies and Procedures.

1. PROGRAM APPROVAL

How the air district is obtaining approval to implement the Carl Moyer OnRoad Heavy-Duty Vehicle Voucher Incentive Program. 

2. SELECTION OF DEALERSHIP OR RETROFIT INSTALLER 

The processes the air district goes through to solicit and select dealership or 

retrofit installer to go into agreement with.

3. DISMANTLER SELECTION

The processes the air district goes through to solicit and select dismantlers to 

go into agreement with.

4. PAYMENT PROCESS

The option in which the air district chooses to reimburse and issue payment to 

the dealership or retrofit installer. There are two options:

a.) To start the disbursement process as soon as they receive a 

Reimbursement Invoice, OR

b.) To start the disbursement process and issue a check within 

ten (10) business days of receiving a completed Reimbursement 

Package.

5. DOCUMENTATION

The method in which the air district chooses to document the activities and 

progress of the Voucher Incentive Program. 
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6. AUDITS

How the air district chooses to audit and inspect the projects. There are two 

options:

a.) The air district can choose to do all inspections.

b.) If the air district chooses to have dealerships, retrofit installers, and/or 

dismantlers conduct inspections, the air district must audit 5 percent of 

each inspection (pre-inspection, post-inspection, pre-dismantle, and 

dismantle inspection). The audits should be done randomly. The air 

district must outline how they will conduct audits in the VIP Policies 

and Procedures. 

7. DEALER & RETROFIT INSTALLER TRAINING

The air district’s method for working with ARB and setting up training for the 

participating dealers and retrofit installers on the Voucher Incentive Program. 

If the air district chooses to have dealers, retrofit installers, and/or dismantlers 

conduct the inspections, the air district must specify the media in which the 

inspection photographs will be submitted to the air district. If the air district 

has a local eligibility requirement, the air district must specify the tools and 

materials that must be used to determine eligibility. The air district must work 

with ARB in coordinating training and materials. 

8. DISMANTLER TRAINING

The air district’s method for working with ARB and setting up training for the 

participating dismantlers on the Voucher Incentive Program.

9. OUTREACH

The air district’s plan on outreach and their method of collaborating with ARB 

in the outreach goal for the Voucher Incentive Program.
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Appendix C

VOUCHER INCENTIVE PROGRAM

Dealership Agreement Terms to be included in Master Agreement 

Between the Air District and Dealer

NOTE to AIR DISTRICT: 

The terms listed do NOT constitute the Air District’s entire Agreement; standard Air 

District Agreement language (such as, confidentiality, termination, indemnification, 

insurance, etc.) must be included in conjunction with the items below. The terms have 

been prepared to facilitate the Air District’s preparation of Agreement. The Air District

must include the terms listed below and supersede any additional terms included by the 

Air District. 

1. The Air District has not reviewed the Dealership’s operations or reached any 

conclusion on the quality of the Dealership’s operations. The Air District is 

permitting the Dealership to enter into this Agreement solely because Dealership 

has represented to the Air District that it is aware of the California Air Resources 

Board Voucher Incentive Program Guidelines (Guidelines) goals, and agrees to 

abide by the Program requirements and Guidelines.

2. The Air District and Dealership agree that if the California Budget Act of the current 

year and/or any subsequent years covered under this Agreement does not 

appropriate sufficient funds for the Program, this Agreement shall be of no further 

force and effect. In this event the State shall have no liability to pay any funds 

whatsoever to the Air District and Dealership or to furnish any other considerations 

under this Agreement.

3. Payment: The Air District will not pay or otherwise directly reimburse or compensate 

in any way the Dealership for its services rendered in keeping with this Agreement, 

but the benefit received by Dealership under this Agreement is the opportunity to 

participate in the Program, which includes the corresponding opportunity for the 

Dealership to profit from the sale of vehicles to Program Participants. 

4. Reduction in Vehicle Purchase Price: The dealership should show the voucher 

amount on the replacement truck invoice. This amount should not reduce the sales 

price of the truck but should reduce the amount the participant will pay for the truck. 

The receipt of voucher funds does not lower the base price of the truck and does not 

reduce the tax basis of the truck. 

5. Voucher Payment: The Dealership will be reimbursed by the Air District for the 

voucher amount once the Dealership submits a complete Reimbursement Package 

to Air District as outlined in the Guidelines and in this Agreement. 

6. Dealership Obligations: The Dealership agrees to provide general information to 

Program participants about the Program. The Air District will provide training to 

Dealership staff. The Dealership agrees to assist Program participants to correctly 
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complete and submit the Application Package to the Air District. It is important to

verify that all information is filled out correctly and that the participant understands 

the Program.

a. Before the Air District may approve a voucher, an Application Package 

must be completed and submitted to the Air District. The Application 

Package must include all required documentation as outlined in the 

Program Guidelines. 

b. After the Air District notifies the Dealership of application approval, the 

Dealership will order the replacement vehicle with an engine that meets 

the emissions standards corresponding to the project funding level as 

specified in Appendix P and have the replacement vehicle delivered to the 

Dealership. The replacement vehicle must be delivered in California.

c. Ensure that the existing vehicle and its original, signed title remains in 

dealership custody and is sent to a participating dismantler yard for 

destruction within 30 business days of dealership taking vehicle

possession. Immediately notify the Air District of the location and date of 

delivery of the existing vehicle to the dismantler. The Air District will 

provide a list of participating dismantlers to the Dealership. 

7. Dealership Qualifications: Dealership warrants that it meets the following minimum 

qualifications for participation in the Program, and will continue to meet these 

qualifications throughout its participation in the Program. 

a. Dealership has had a valid business license issued and has been a 

dealership in California for a minimum of the last two years.

b. Dealership maintains a minimum of one (1) employee that has 

successfully completed the training by the Air District regarding the terms, 

conditions and requirements of the Program. If a participating dealership 

maintains more than one location for truck sales, then each location must 

have at least one employee trained on the VIP. Language must be 

included in the dealership agreement requiring each location have at least 

one employee is trained on the VIP. 

c. Dealership agrees to allow the Air District or California Air Resources 

Board (ARB) to inspect vehicles or audit program records covered under 

this Agreement during normal business hours.

8. Inspections: Inspections described below require inspection forms be completed and 

photographs taken to document vehicle and engine. Specific requirements are 

outlined in the Guidelines. 
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a. The Air District may enter into a contract, written agreement, or 

memorandum of understanding with a participating dealership to perform 

pre-inspections and/or post-inspections. If the Air District chooses to use 

dealerships to perform inspections, Air District staff must conduct and 

document at least one inspection on each project without the use of a 

contractor. The Air District must ensure all inspection requirements are 

met and shall retain legal responsibility for full compliance with the 

inspection provisions of these Guidelines. If the Air District requests the 

Dealership to conduct an inspection, then the inspection must be 

conducted as follows:

 

1. Pre-Inspection: Submit completed inspection form and photos to 

the Air District with the application

2. Post-Inspection: Submit completed inspection form and photos to 

the Air District with Dealer Reimbursement Package (Appendix J)

3. Pre-Dismantle: Submit completed inspection form and photos to 

the Air District with Dealer Reimbursement Package (Appendix J)

b. If the Air District conducts inspections, then inspections must be 

conducted in accordance with the VIP Guidelines. 

9. Dealership Reimbursement: Dealership must submit a Reimbursement Package to 

the Air District. A description of documents in the Reimbursement Package is listed 

in the Guidelines. The Reimbursement Package must include:

a. Reimbursement Invoice (Appendix H) should be signed and returned to 

the Air District upon receipt

b. Final dealership invoice signed by the applicant that shows the final 

purchase price less the voucher award

c. Receipt of Voucher signed by the participant

d. The original Voucher

e. Copy of DMV registration

f. Copy of finance documentation (if applicable)

g. Copy of replacement vehicle warranty information

h. Copy of existing vehicle title signed and dated by participant

i. Copy of title for used replacement vehicles to show vehicle is not salvaged

j. Inspection forms and pictures of the existing vehicle after it is turned in to 

the dealership as specified in Appendix I.

k. Inspection forms and pictures of the replacement vehicle as specified in 

Appendix I.

l. Location of the dismantler yard where the existing vehicle will be 

destroyed.

m. Date the existing vehicle is delivered to or picked up by a participating 

dismantler.
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10.Noncompliance: Noncompliance with this Agreement or Guidelines may result in the 

cancellation of the Agreement, recapturing of voucher funds, or any other remedy 

available under law. ARB and the Air District may disqualify Dealership from 

Program participation and seek other remedies as available under the law for 

noncompliance with this Agreement or Program requirements. 
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Appendix C(1)

VOUCHER INCENTIVE PROGRAM

Terms to be included in Master Agreement 

Between the Air District and Retrofit Installer

NOTE to AIR DISTRICT: 

The terms listed do NOT constitute Air District’s entire Agreement; standard Air District

Agreement language (such as, confidentiality, termination, indemnification, insurance, 

etc.) must be included in conjunction with the items below. The terms have been 

prepared to facilitate the Air District’s preparation of Agreement. The Air District must 

include the terms listed below and supersede any additional terms included by the Air 

District. 

1. The Air District has not reviewed the Retrofit Installer’s operations or reached any 

conclusion on the quality of their products, service, or operations. The Air District is 

permitting the Retrofit Installer to enter into this Agreement solely because Retrofit 

Installer has represented to the Air District that it is aware of the California Air 

Resources Board Voucher Incentive Program Guidelines (Guidelines) goals, and 

agrees to abide by the Program requirements and Guidelines.

2. The Air District and Retrofit Installer agree that if the California Budget Act of the 

current year and/or any subsequent years covered under this Agreement does not 

appropriate sufficient funds for the Program, this Agreement shall be of no further 

force and effect. In this event the State shall have no liability to pay any funds 

whatsoever to the Air District and Retrofit Installer or to furnish any other 

considerations under this Agreement.

3. Payment: The Air District will not pay or otherwise directly reimburse or compensate 

in any way the Retrofit Installer for its services (other than actual and necessary 

professional installation services as authorized by the retrofit manufacturer) 

rendered in keeping with this Agreement, but the benefit received by Retrofit Installer

under this Agreement is the opportunity to participate in the Program, which includes 

the corresponding opportunity to profit from the sale of ARB verified retrofit devices

to Program Participants. 

4. Reduction in Retrofit Purchase Price: The Retrofit Installer should show the voucher

amount on the retrofit invoice. This amount should not reduce the sales price of the 

retrofit but should reduce the amount the participant will pay for the retrofit. The 

receipt of voucher funds does not lower the base price of the retrofit nor does not 

reduce the tax basis of the retrofit. 

5. Voucher Payment: The Retrofit Installer will be reimbursed by the Air District for the 

voucher amount once the Retrofit Installer submits a complete Reimbursement 

Package to the Air District as outlined in the Guidelines and in this Agreement. 
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6. Retrofit Installer Obligations: The Retrofit Installer agrees to provide general 

information to Program participants about the Program. The Air District will provide 

training to Retrofit Installer staff. The Retrofit Installer agrees to assist Program 

participants to correctly complete and submit the Application Package to the Air 

District. Retrofit Installer agrees that it is important to verify that all information is 

filled out correctly and that the participant understands the Program.

a. Before the Air District may approve a voucher, an Application Package 

must be completed and submitted to the Air District. The Application 

Package must include all required documentation as outlined in the 

Program Guidelines. 

b. After the Air District notifies the Retrofit Installer of application approval, 

the Retrofit Installer will order the ARB verified retrofit device (if not 

already in stock), and install the device according to manufacturer 

specifications and all conditions described in the ARB verification 

executive order. 

7. Retrofit Installer Qualifications: Retrofit Installer warrants that it meets the following 

minimum qualifications for participation in the Program, and will continue to meet 

these qualifications throughout its participation in the Program. 

a. Retrofit Installer maintains a valid business license issued in California for 

a minimum of the last two years and is a manufacturer authorized installer 

for that device.

b. Retrofit Installer maintains a minimum of one (1) employee that has 

successfully completed the training by the Air District regarding the terms, 

conditions and requirements of the Program. If a participating retrofit 

installer maintains more than one location, then each location must have 

at least one employee trained on the VIP. 

c. Retrofit Installer agrees to allow the Air District or California Air Resources 

Board (ARB) to inspect vehicles and retrofit devices, or audit program 

records covered under this Agreement during normal business hours.

8. Inspections: Inspections described below require inspection forms be completed and

photographs taken to document vehicle and engine. Specific requirements are 

outlined in the Guidelines. 

a. The Air District may enter into a contract, written agreement, or 

memorandum of understanding with a retrofit installer to perform preinspections and/or post-inspections. If the Air District chooses to use 

retrofit installers to perform inspections, Air District staff must conduct and 

document at least one inspection on each project without the use of a 

contractor. The Air District must ensure all inspection requirements are 
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met and shall retain legal responsibility for full compliance with the 

inspection provisions of these Guidelines. If the Air District requests that 

the Retrofit Installer conduct an inspection, then the inspection must be 

conducted as follows:

 

1. Pre-Inspection: Submit completed inspection form and photos to 

the Air District with the application

2. Post-Inspection: Submit completed inspection form and photos to 

the Air District with Reimbursement Package (Appendix J)

b. If the Air District conducts inspections, then inspections must be 

conducted in accordance with the VIP Guidelines. 

9. Retrofit Installer Reimbursement: Retrofit Installer must submit a Reimbursement 

Package to the Air District. A description of documents in the Reimbursement 

Package is listed in the Guidelines. The Reimbursement Package must include:

a. Reimbursement Invoice (Appendix H) should be signed and 

returned to the Air District upon receipt

b. Final invoice signed by the applicant that shows the final purchase 

price less the voucher award

c. Receipt of Voucher signed by the participant

d. The original Voucher

e. Copy of DMV registration 

f. Copy of finance documentation (if applicable)

g. Copy of retrofit device warranty information

h. Copy of title of existing vehicle

i. Inspection forms and pictures of the vehicle after it is turned in to 

the Retrofit Installer prior to retrofit installation as specified in 

Appendix I.

j. Inspection forms and pictures of the vehicle after retrofit installation 

is complete, as specified in Appendix I.

10.Noncompliance: Noncompliance with this Agreement or Guidelines may result in the 

cancellation of the Agreement, recapturing of voucher funds, or any other remedy 

available under law. ARB and the Air District may disqualify Retrofit Installer from 

Program participation and seek other remedies as available under the law for 

noncompliance with this Agreement or Program requirements.
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Appendix D

VOUCHER INCENTIVE PROGRAM

Dismantler Agreement Terms to be Included in Master Agreement 

Between the Air District and Dismantler Owner

NOTE to AIR DISTRICT: 

The terms listed do NOT constitute Air District’s entire Agreement; standard Air District

Agreement language (such as, confidentiality, termination, indemnification, insurance, 

etc.) must be included in conjunction with the items below. The terms have been 

prepared to facilitate the Air District’s preparation of Agreement. The Air District must 

include the terms listed below that would supersede any additional terms included by 

the Air District. 

1. The Air District has not reviewed the Owner’s operations or reached any 

conclusion on the quality of the operations. The Air District is allowing the Owner 

to enter into this Agreement solely because the Owner has represented to the Air 

District that it is aware of the California Air Resources Board Voucher Incentive 

Program Guidelines (Guidelines) goals, and agrees to abide by the Program 

requirements and Guidelines.

2. The Air District and Dismantler agree that if the California Budget Act of the 

current year and/or any subsequent years covered under this Agreement does 

not appropriate sufficient funds for the Program, this Agreement shall be of no 

further force and effect. In this event the State shall have no liability to pay any 

funds whatsoever to the Air District and Dismantler or to furnish any other 

considerations under this Agreement.

 

3. Payment: Owner will not be paid or otherwise reimbursed directly by the Air 

District or ARB. Rather, the benefit received by Owner under this Agreement is 

the opportunity to participate in the Program, which carries the corresponding 

opportunity to profit through the receipt – for cash or free – of materials that 

Owner will dismantler with the intent to make a profit. Funding is not available 

from the Air District through this Agreement for any dismantler or material costs, 

including hazardous waste abatement fees, labor costs, fines, permits, or other 

charges resulting from destruction or disposal. 

4. Owner Obligation: The Owner must comply with the following requirements in 

accordance with the Guidelines, and submit certification to the Air District

verifying that the requirements have been met. Within 60 days of receiving 

vehicles under this Agreement, Owner will: 

a. Destroy vehicle and render it physically useless; and

 

b. Notify the Air District when the vehicle (chassis and engine) has been 

properly destroyed and schedule a destruction-inspection with the Air 

District; and
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c. The dismantler must provide verification that the vehicle is registered with 

DMV as non-repairable. Verification of filing the form with DMV must be 

provided to the Air District at the dismantle inspection. Within 90 calendar 

days of the dismantle inspection date, the dismantler must also provide 

verification to the Air District from DMV that the replaced vehicle has been 

registered with DMV as non-repairable (non-revivable) with a transaction 

code L10 (Junk Non-Revivable) or C26 (Junk Non-Revivable Original).

 

5. Owner Qualifications: Owner warrants that it meets the following minimum 

qualifications for participating in the Program, and will continue to meet these 

qualifications throughout its participation in the Program. Owner must provide 

written proof that it meets the following qualifications within 48 hours if requested 

by Air District staff. 

a. Owner must have a current, valid Dismantler’s license issued by the 

California Department of Motor Vehicles. 

b. Owner has a current, valid California Environmental Protection Agency 

Hazardous Material Generator and Storage Permit. 

c. Owner must be in compliance with all local, State, and federal regulations, 

permits and requirements. 

d. Owner must have a minimum of one (1) active employee who received 

training by the Air District on the requirements of the Program. If a 

dismantler has more than one location, then the dismantler must have at 

least one (1) active employee trained by the Air District at each location 

that will be accepting VIP trucks.

e. Dismantler has had a valid business license issued and has been a 

dismantler in California for a minimum of the last two years.

6. Dismantler Inspection: Once the Air District is notified, a dismantler-inspection 

will be scheduled and photos documenting the destruction of the engine will be 

taken in accordance with the Guidelines. Owner shall not move the vehicle off of 

their property or part out a vehicle until a dismantler inspection by the Air District

or a designated contractor has been performed and given approval by the Air 

District. 

 

7. Use of Engine or Vehicle Pending Destruction: Owner may not use or permit the 

use of, the engines or vehicles, except use necessary to move it for destruction 

or storage. 

8. Compliance: Because the prompt destruction of vehicles and engines is one of 

the critical components of the Program, and the parties agree that it will be 
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difficult to determine the monetary damages arising from Owner’s breach of the 

requirement to destroy the dismantler vehicle within 60 days, Owner agrees that 

if it fails to destroy the engine and vehicle within the 60-day period, it will pay the 

Air District up to $500 per day until the engine and vehicle is destroyed and 

provide verification that the vehicle has been registered as non-repairable with 

DMV. Owner may request that the Air District extend the 60-day period, and the 

Air District will not unreasonably withhold its approval of the extension request. 

Only written extensions are effective. Owner will not generally be eligible for an 

extension if the cause of the delay was within its control. 

9. Noncompliance: Noncompliance with this Agreement or Guidelines may result in 

the cancellation of the Agreement, recapturing of voucher funds, or any other 

remedy available under law. ARB and the Air District may disqualify Dismantler 

from Program participation and seek other remedies as available under the law 

for noncompliance with this Agreement or Program requirements.
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Appendix E

Owner: ____________________________ Approved Rejected

Company: __________________________ Voucher # _________

Dealership/Installer:_________________________ Voucher Amount: $_________

Submittal Date: ______________________ Expiration date:____________

Verify that the following information/documents are included in the application. Use 

back side of checklist for additional comments if necessary.

Existing Vehicle Requirements

 Replacement Projects: Verification that engine model year is 2006 or older:

 Retrofit Projects: Verification that the engine model year is 1997-2006

 Vehicle is diesel fueled

 Photo of vehicle manufacturer tag or copy of manufacturer build sheet shows that 

existing vehicle meets the criteria for either a medium heavy-duty vehicle or a heavy 

heavy-duty vehicle as defined below:

 To qualify for medium heavy-duty (MHD) funding levels, eligible vehicles must 

have an original manufacturer Gross Vehicle Weight Rating (GVWR) of 

19,501-26,000 pounds or 26,001-33,000 pounds. 

OR- 

 To qualify for heavy heavy-duty (HHD) funding levels, eligible vehicles must 

have an original manufacturer Gross Vehicle Weight Rating (GVWR) of 

33,001 pounds or greater.

 CARL VIN – cross check to ensure applicant has not applied for or already received 

funding for the existing vehicle

 If the applicant chose the two-for-one option, both existing vehicles meet all 

requirements of the Program (replacement projects only)

Replacement Vehicle Requirements (if applicable)

 Replacement vehicle is not a glider kit (the VIN does not start with the letters “GL”)

 Replacement vehicle with an original manufacturer GVWR of 33,001+ has less than 

500,000 miles; or

 Replacement vehicle with an original manufacturer GVWR of 19,501-33,000 has 

less than 250,000 miles 

Retrofit Requirements (if applicable)

 Retrofit is highest level (PM + NOx) verified by ARB for the specific engine family

VOUCHER INCENTIVE PROGRAM

Air District Review Checklist: Initial Review
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Documentation Requirements

 Application complete, signed and dated – original application (with wet signature)

 Copy of DD Form 214 Certificate of Release or Discharge from Active Duty, if 

applicable

 For fleet sizes of 1-3 vehicles AND at least one vehicle with GVWR over 26,000 

pounds, retrieve one of the following: 1) TRUCRS report showing at least one filter 

or meet PM BACT, 2) Proof of purchase showing VDECS family name, serial 

number, VIN, and retrofit installer, 3) Photographs of VDECS labels on engine and 

retrofit showing family name, serial number, and VIN, or 4) Photograph of 2007 + 

engine label with VIN

 For fleet sizes of 4-10, fleet calculator submission indicates green (and “Meets 

Model Year Schedule” if TRUCRS 1 box checked) for current voucher year or other 

ARB issued compliance tool.

 Copy of the existing vehicle title proving ownership for the previous twenty four (24) 

months (titles with lien holders are not eligible for replacement funding)

 Documentation of a minimum of twenty four (24) months of existing vehicle usage. 

Specific vehicle is identified in documentation. 

 meets the selected annual mileage in Appendix O or P for previous 24 months, 

OR

 meets the selected annual fuel usage in Appendix O or P for previous 24 months

 Copy of DMV registration

 previous 24 months of CA registration, or

 eight consecutive months of CA registration, with 24 months of 

California operation documentation 

 Copy of Vehicle Insurance Cards (previous twenty four (24) months)

 Documentation showing local eligibility, if applicable.

 Quote and specification sheet for the replacement vehicle or retrofit (with date and 

price) signed by the dealership or retrofit installer

 Delivery or installation date is listed and included on the voucher

 Voucher amount is reduced from quote

 Owner is listed as buyer

 Replacement Projects: ARB Executive Order for the replacement engine, which 

demonstrates the engine meets Guideline requirements of ≤ 0.01g/bhp-hr PM and is 

at or below the following standard (STD) or family emissions limit (FEL): 

 STD or FEL level of 1.20 g/bhp-hr NOx; OR

 STD or FEL level of 0.50 g/bhp-hr NOx; OR

 STD of 0.20 g/bhp-hr NOx 

Existing Vehicle Inspection Requirements

 Signed inspection form of the existing vehicle from either the dealer or the Air District 

 Existing vehicle is operational – clear evidence has been provided

 Digital photos taken at the inspection of the existing vehicle are legible

Digital photo information for existing vehicle/engine make, model year, VIN, serial 

number matches application information. The photos of the engine should help verify 
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application information. If no engine tag is available, a print out of the engine 

specifications will suffice. 
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Air District Requirements

 Issue voucher for 

 Funding year: _______ 

 Existing engine model year: _______

 Annual mileage: _____________

 OR fuel use: _____________

 Replacements - new or used: _______ 

 MHD or HHD: _______

 1.20, 0.50, or 0.20 NOx standard: 

___________

 VOUCHER AMOUNT: __________

 The following application form fields are mandatory and must be filled in completely

before the application may be approved.

Applicant Information:

• Owner Name

• Mailing Address (including City, State, 

Zip)

• Physical Address (if different from 

mailing)

• Owner Phone

Third Party Information:

• Third-Party Name

• Mailing address (including City, State, Zip)

• Physical Address (if different from mailing)

• Phone

• Third Party Signature & Date

Only required if a paid party other than the dealership 

completes the application

Existing Vehicle and Engine Information:

• Vehicle Make

• Vehicle Model

• Vehicle Model Year

• Vehicle Identification Number (VIN)

• License Plate Number

• Odometer Reading

• Vehicle Operational

• GVWR

• Engine Make

• Engine Model

• Engine Model Year

• Serial Number

• Engine Family Number

• Engine operational

• Fuel used

Replacement Vehicle and Engine Information:

(Replacement Projects Only)

• Vehicle Make

• Vehicle Model

• Vehicle Model Year

• Odometer Reading

• GVWR

• Engine Make

• Engine Model

• Engine Model Year

• Engine Family Number

• Engine operational

• Fuel used

• CARB Executive Order Number

Dealership/Retrofit Installer Information:

All fields must be filled out or a business card 

must be attached

Retrofit Device Information: (Retrofit Projects Only)

• Retrofit Device Make

• Retrofit Device Model

• Retrofit Device ARB Executive Order #

• ARB-verified PM reduction percent

• ARB-verified NOx reduction percent

• Retrofit device cost

• Cost of retrofit device with installation

Inspection Forms: all applicable forms must 

be filled in based on the information required 

above for the existing and replacement 

vehicles.

Applicant Recitals

Owner must sign and date application

 If rejected, letter sent to applicant and the dealer or installer was cc’d

Reason(s) for rejection: _______________________________________________

 If approved, voucher package sent to dealer or installer on (date):_______________ 

Air District Staff (print name): _______________________ Date Reviewed: ________ 
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Appendix F

Congratulations! You have been approved to receive funding through the Voucher 

Incentive Program. This voucher is redeemable for the purchase of the replacement 

vehicle listed below. Redemption of this voucher must be completed at the dealership 

listed below. 

Owner: please confirm the following information and sign in the first section.

Air District: _______________________

Voucher Number: __________________

Voucher Amount: $_________________

ARB, as an intended third party beneficiary, reserves the right to enforce the terms of the VIP at any time 

during the three year voucher term to ensure emission reductions are obtained.

Recipient Information Dealership Information

Owner: Dealership Name: 

Address: Address: 

City, State, Zip: City, State, Zip: 

Phone: Phone: 

Accept: Decline: 

Owner Signature Date:

Replacement Vehicle Information Engine Information

Make: Make: 

Model: Model: 

Model Year: Model Year: 

VIN: Engine Family Number:

GVWR:

To be eligible to redeem this voucher, the participant must purchase and take delivery 

of the replacement vehicle no later than <Date>. The participant must also deliver the 

existing vehicle in similar condition to the pre-inspection to the dealership prior to taking 

ownership of the replacement vehicle. 

By signing, I validate the issuance of this voucher in accordance with the Voucher Incentive Program. 

Signature of Air District Representative: ________________ Date: _____________

Printed Name: ____________________

Address: ________________________

City, State, Zip: ___________________

Phone Number: __________________

VOUCHER INCENTIVE PROGRAM

Replacement Voucher
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Appendix F(1)

Congratulations! You have been approved to receive funding through the Voucher 

Incentive Program. This voucher is redeemable for the purchase of the ARB verified 

retrofit device shown below. Redemption of this voucher must be completed at the 

retrofit installer listed below. 

Vehicle Owner: please confirm the following information and sign in the first section.

Air District: _______________________

Voucher Number: __________________

Voucher Amount: $_________________

ARB, as an intended third party beneficiary, reserves the right to enforce the terms of the VIP at any time 

during the three year voucher term to ensure emission reductions are obtained.

Recipient Information Retrofit Installer Information

Owner: Business Name: 

Address: Address: 

City, State, Zip: City, State, Zip: 

Phone: Phone: 

Accept: Decline: 

Vehicle Owner Signature Date:

Retrofit Device Information Engine Information

Make: Make: 

Model: Model: 

ARB Executive Order #: Model Year: 

Serial # (if available): Engine Family #:

To be eligible to redeem this voucher, the participant must take delivery of the 

completed retrofitted vehicle no later than <Date>.

By signing, I validate the issuance of this voucher in accordance with the Voucher Incentive Program. 

Signature of Air District Representative: ________________ Date: _____________

Printed Name: ____________________

Address: ________________________

City, State, Zip: ___________________

Phone Number: __________________

VOUCHER INCENTIVE PROGRAM

Retrofit Voucher
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Appendix G

Replacement Vehicle Dealership

Make: Dealership Name: 

Model: Address: 

Model Year: City, State, Zip: 

VIN: Phone: 

GVWR:

Voucher Recipient Air District ARB

Owner Name: Air District: Carl Moyer Program

Address: Address: Phone: (866) 6-DIESEL

City, State, ZIP: City, State, Zip: Email: 8666diesel@arb.ca.gov

Phone: Phone: 

As an applicant of the Carl Moyer On-Road Voucher Incentive Program (VIP), I agree to the following:

• Register the replacement vehicle in California with the Department of Motor Vehicles (DMV). 

• Maintain insurance as required by law. 

• Own and operate this vehicle at least 75 percent of the time within California for a minimum of 36

months from the delivery date. 

• For a period of 36 months from the delivery date, I will not engage in any activities that are 

subject to the Drayage Truck Regulation, Title 13, California Code of Regulations, Section 2027, 

including accessing any regulated port or intermodal rail facility. During this 36 month period, I 

understand and agree that the Air Resources Board (ARB) will enter my truck in the Drayage 

Truck Registry as “non-compliant”.

• NOT use VIP funded projects to generate a compliance extension or extra credit for determining 

compliance with any regulation. 

• Return annual usage reports for 3 years after voucher redemption. 

• Never modify the emission control system or the engine.

• Be available for a follow up inspection by the Air District or ARB, if requested.

• Allow ARB to verify registration with the Department of Motor Vehicles

• Notify all involved parties including the Air District and ARB of any change in ownership or 

registration status during the 36 month voucher term.

• Pay back all incentive funds if one or more of the terms of the VIP, including the terms of this 

voucher are not met. 

• ARB, as an intended third party beneficiary, reserves the right to enforce the terms of the VIP at 

any time during the three year voucher term to ensure emission reductions are obtained.

• All terms and conditions of the Application remain in effect.

I certify under penalty of perjury, under the laws of the State of California that the information provided is 

accurate

Signature of Participant: _________________________ Date: _____________

Name of Participant: ____________________________

Original to Air District, Copy to Participant

VOUCHER INCENTIVE PROGRAM

Receipt of Replacement Voucher

Voucher Number: Voucher Amount: $
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Appendix G(1)

Voucher Recipient Air District ARB

Owner Name: Air District: Carl Moyer Program

Address: Address: Phone: (866) 6-DIESEL

City, State, ZIP: City, State, Zip: Email: 8666diesel@arb.ca.gov

Phone: Phone: 

Retrofit Device Information Retrofit Installer Information

Make: Business Name: 

Model: Address: 

ARB Executive Order #: City, State, Zip: 

Serial # (if available): Phone: 

As an applicant of the Carl Moyer On-Road Voucher Incentive Program (VIP), I agree to 

the following: • Register the vehicle in California with the Department of Motor Vehicles (DMV). 

• Maintain insurance as required by law. 

• Own and operate this vehicle at least 75 percent of the time within California for a minimum of 36

months from the delivery date. 

• For a period of 36 months from the delivery date, I will not engage in any activities that are 

subject to the Drayage Truck Regulation, including accessing any regulated port or intermodal 

rail facility. During this 36 month period, I understand and agree that the Air Resources Board 

(ARB) will enter my truck in the Drayage Truck Registry as “non-compliant”.

• NOT use VIP funded projects to generate a compliance extension or extra credit for determining 

compliance with any regulation. 

• Return annual usage reports for 3 years after voucher redemption. 

• Never modify the emission control system or the engine.

• Be available for a follow up inspection by the air District or ARB, if requested.

• Allow ARB to verify registration with the Department of Motor Vehicles. 

• Notify all involved parties including the Air District and ARB of any change in ownership or 

registration status during the 36 month voucher term.

• Pay back all incentive funds if one or more of the terms of the VIP, including the terms of this 

voucher are not met. 

• ARB, as an intended third party beneficiary, reserves the right to enforce the terms of the VIP at 

any time during the three year voucher term to ensure emission reductions are obtained.

I certify under penalty of perjury, under the laws of the State of California that the 

information provided is accurate

Signature of Participant: _________________________ Date: _____________

Name of Participant: ____________________________

Original to Air District, Copy to Participant

VOUCHER INCENTIVE PROGRAM

Receipt of Retrofit Voucher

Voucher Number: Voucher Amount: $
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Appendix H

Date: 

Dealership/Retrofit Installer Information

Business Name: 

Address: 

City, State, Zip: 

Phone: 

Federal Tax ID Number: 

Please reimburse Dealer/Installer Name for $0.00 for the voucher number _______. 

A complete reimbursement package will be turned in at the time of payment. 

Thank you. 

Name: ______________________________

Signature: ___________________________ 

Date: ______________________ 

VOUCHER INCENTIVE PROGRAM

Reimbursement Invoice
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Appendix I

Type of Inspection: 

Existing Vehicle: Pre-Inspection Pre-Dismantle Dismantle

Post-Inspection: Replacement Vehicle Post-Inspection

Retrofit Device Post-Inspection

Legible Pictures: Yes No

Applicant Information

COMPANY NAME: INSPECTION LOCATION:

Owner Name: 

Address: 

City, State, Zip: 

Phone No: 

Vehicle and Engine Information 

EXISTING VEHICLE REPLACEMENT VEHICLE RETROFIT DEVICE

VEHICLE INFORMATION:

Vehicle Make: Vehicle Model: Vehicle Model Year:

Vehicle Identification Number: License Plate Number: Date of Manufacture:

Odometer 

Reading:

Hour meter 

Reading:

Vehicle operational?

Yes No

DOT Number (if interstate): CHP number: Fleet ID: 

Cab Style:

Conventional Cab-over

Original Manufacturer GVWR: 

Engine Information: 

Engine Make: Engine Model: Engine Model 

Year:

Date of 

Manufacture:

Serial Number: Engine Family Number: Horsepower:

Engine operational?

Yes No

Fuel used?

Diesel Other: 

Retrofit Device Information (retrofit projects only):

Retrofit Make: Retrofit Model: Retrofit Serial Number:

VOUCHER INCENTIVE PROGRAM

Inspection Form
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For Pre-Dismantler Inspection ONLY, Specify

DISMANTLER: CONTACT NAME: PHONE:

DMV title delivered and signed by owner? 

Yes No

Engine operational?

Yes No

For Dismantler Inspection ONLY, Specify

DISMANTLER: CONTACT NAME: PHONE:

Non-Repairable Vehicle Certificate Filed with DMV? 

Yes No

Frame Rails Cut?

Yes No

Engine Destroyed? 

Yes No

Comments: 

I certify under penalty of perjury that: (1) the information provided above is accurate, (2) 

the pictures are of the inspected vehicle (3) the pictures clearly depict the inspected 

vehicle, and (4) that I understand that this inspection form is incorporated in the 

agreement with the <air district>. 

Signature: Date:

Authorized Name: 

Air District / Dealership / Installer: 

Address:

City, State, Zip: 

Phone No: 
November 26, 2013 69 of 86 ON-ROAD 

VOUCHER INCENTIVE PROGRAM

Required Photographs

Digital photos should be clear images with a minimum of 640x480 capture resolution. The Air District will 

specify the digital media required to save the pictures on. 

(check the boxes/circles of pictures taken)

Pre-inspection of existing vehicle Post inspection of replacement vehicle

 Vehicle from left side

 Vehicle from right side

 Vehicle from front

 Vehicle from back

 Vehicle Identification Number (VIN)

 Gross Vehicle Weight Rating 

(GVWR)

 Odometer reading

 Engine from drivers side

 Engine tag (if available)*

o Engine make

o Engine model

o Engine serial number (ESN)

o Engine family number

 DOT / CHP Numbers

 Retrofit device (if installed)

 Retrofit device tag (if installed)

 Vehicle from front

 Vehicle Identification Number (VIN)

 Gross Vehicle Weight Rating 

(GVWR)

 Odometer Reading

 Engine tag 

o Engine make

o Engine model

o Engine serial number (ESN)

o Engine family number

Pre-Dismantler inspection of existing 

vehicle

Dismantler inspection of existing 

vehicle

 Vehicle from left side

 Vehicle from right side

 Vehicle from front

 Vehicle from back

 Vehicle Identification Number (VIN)

 Gross Vehicle Weight Rating 

(GVWR)

 Odometer Reading

 Engine from drivers side

 Engine serial number (ESN)

 Vehicle from front

 Vehicle Identification Number (VIN)

 Engine serial number (ESN)

 Cut in frame rails

 Hole in engine block (at least 3 

inches wide)

Post inspection of retrofit device (retrofit projects only)

 Retrofit device  Retrofit device tag

o Retrofit make

o Retrofit model

o Retrofit serial number

*If engine tag is missing, additional manufacturers documentation verifying engine 

make, model and family number associated with the photographed ESN stamped on the 

engine block must be submitted.
November 26, 2013 70 of 86 ON-ROAD 

VOUCHER INCENTIVE PROGRAM

Appendix J

Participant Name: _________________________ Date: ______________________

Voucher Number: _________________________ Voucher Amount: ____________

Checklist for Replacement Projects

√ Documents included in Dealer Reimbursement Package

Dealer Reimbursement Invoice (original) – signed by dealership

Final replacement vehicle purchase invoice

Receipt of Voucher (original) – signed by the participant

Voucher (original)

Copy of DMV registration paperwork showing vehicle registered to applicant

Copy of replacement vehicle financing documentation (if applicable)

Copy of the replacement vehicle warranty

Copy of existing vehicle title signed and dated by applicant

Copy of current title for used replacement vehicles (for non-salvage status only)

Inspection forms and digital photos for existing vehicle ready for dismantler

Inspection forms and digital photos for replacement vehicle 

Location of dismantler yard where the existing vehicle will be destroyed

Date the existing vehicle is delivered to or picked up by a dismantler

Checklist for Retrofit Projects

√ Documents included in Retrofit Reimbursement Package

Retrofit Reimbursement Invoice (original) – signed by retrofit installer

Final retrofit purchase and installation invoice

Receipt of Voucher (original) – signed by the participant

Voucher (original)

Copy of DMV registration paperwork showing vehicle registered to applicant

Copy of retrofit financing documentation (if applicable)

Copy of the retrofit manufacturer warranty

Copy of vehicle title

Inspection forms and digital photos for vehicle and retrofit device

Dealership/Installer Business Name: _____________________________________

Contact Person: _____________________________________

Phone Number: _____________________________________

VOUCHER INCENTIVE PROGRAM

Reimbursement Package Checklist
November 26, 2013 71 of 86 ON-ROAD 

VOUCHER INCENTIVE PROGRAM

Appendix K

Date

Name

Company

Address

City, State, Zip

RE: Application Rejected: On-Road Voucher Incentive Program

Dear Name:

Thank you for submitting an application to the <Air District’s> On-Road Voucher 

Incentive Program. Your application was reviewed and found to be incomplete and/or 

not meeting the requirements of the program. The application was rejected because:

The applicant did not meet the following Voucher Incentive Program criteria listed in 

the guidelines

• 

The application package was incomplete. The following information was not 

included in the application: 

• 

The application package was voluntarily withdrawn.

If your application was voluntarily withdrawn or incomplete, you can re-apply by 

submitting a new completed application. 

If you have any questions, please contact <insert contact> at <insert phone> or <insert 

email>. 

Sincerely,

<Name>

<Title>

cc: Dealership/Retrofit Installer 

Attachment: Application Package
November 26, 2013 72 of 86 ON-ROAD 

VOUCHER INCENTIVE PROGRAM

Appendix L

Applicant: Company (if any): Dealer / Retrofit Installer:

Voucher Number: Voucher Amount: Submittal Date:

Verify the following information in the reimbursement package:

 Applicant information matches application

 Voucher number is correct

 Voucher amount is correct

 Replacement vehicle or retrofit information matches application, quote information, 

and VIP requirements.

 Invoice correctly shows the final price less the voucher amount

Verify that the following documents are included in the reimbursement package: 

 Reimbursement invoice

 Receipt of voucher signed by the applicant

 Original voucher 

 Financing information, if vehicle or retrofit was financed

 Warranty information

 Completed final invoice, signed and dated by the applicant

 DMV paperwork showing California registration with owner’s name

 DMV paperwork showing that the replacement vehicle or retrofitted vehicle has been 

registered 

 Inspection forms and photos of the replacement vehicle or retrofitted vehicle

Replacement Projects Only: 

 Inspection forms and photos of the replaced vehicle in dealership custody

 Copy of Title of the existing (replaced) vehicle, signed and dated by the applicant

 Used replacement vehicle title does not show salvage status (if applicable)

Reimbursement approved?  Yes  No 

Comments (Use back side of checklist for additional comments if necessary):

Funding Date: _________________ Check Number:____________

Copy of check in project folder

Air District Staff (print name):_____________________ Date 

Reviewed:______________ 

VOUCHER INCENTIVE PROGRAM

Air District Payment Review Checklist
November 26, 2013 73 of 86 ON-ROAD 

VOUCHER INCENTIVE PROGRAM

Appendix M

Date

Salesperson

Dealership

Address

City, State, Zip

RE: Reimbursement Package Rejection Letter: Voucher Number #______

Dear Salesperson: 

Thank you for your participation in the Voucher Incentive Program. Unfortunately, the 

reimbursement package submitted for Voucher Number #______ was reviewed and 

found to be incomplete and/or not meeting the requirements of the program. The 

package was rejected because:

The reimbursement package did not meet the following Voucher Incentive Program 

criteria listed in the guidelines

• 

The reimbursement package was incomplete. The following information was not 

included in the package: 

• 

If your reimbursement package was incomplete, please re-submit the entire 

reimbursement package including the missing documentation. If your reimbursement 

package did not meet the criteria of the program, please contact air district staff 

immediately for further explanation. 

If you have any questions, please contact <insert contact> at <insert phone> or <insert 

email>. 

Sincerely,

Name

Title

Air District

Phone Number

Attachment: Reimbursement Package
November 26, 2013 74 of 86 ON-ROAD 

VOUCHER INCENTIVE PROGRAM

Return report to:

________________________

________________________

________________________

Appendix N

Thank you for participating in the Carl Moyer Voucher Incentive Program. Please fill out this usage report

as required by the voucher agreement and return to the address below within 5 business days. Please 

provide your mileage and/or fuel usage for the time period checked below based on the date of your 

voucher redemption.

 Annual Usage Year #1

Months 1 – 12

 Annual Usage Year #2

Months 13 – 24

 Annual Usage Year #3 

Months 25 – 36

Participant Information: Vehicle Information:

Name: _________________________ Make: _____________________

Address:________________________ Model/Year: _____________________

 ________________________ VIN: _____________________

I still own the vehicle and for the previous 12 months have in California: 

(please print legibly)

• driven ________ miles; AND/OR • consumed ________gallons of fuel.

The odometer reading is:

I operated the vehicle about ______percent of the time for the previous 12 months in 

California. 

I certify under penalty of perjury that the

Information provided above is accurate and true. 

Signature: _______________________ 

Name: __________________________

Date: ___________________________

VOUCHER INCENTIVE PROGRAM

Usage Report

●

Using the map at right, estimate the percentage of your 

annual mileage or fuel usage that occurred in each area.

North Coast: Northeast Plateau: 

Lake County: Sacramento Valley: 

San Francisco Bay: Mountain Counties: 

North Central Coast: Lake Tahoe: 

South Central Coast: San Joaquin Valley: 

South Coast: Great Basin Valleys: 

San Diego County: Mojave Desert: 

Outside California: Salton Sea: 

Note: The total of all percentages must equal 100.
November 26, 2013 75 of 86 ON-ROAD VOUCHER INCENTIVE PROGRAM

Appendix O

On-Road VIP Funding Matrix for Retrofits
November 26, 2013 76 of 86 ON-ROAD VOUCHER INCENTIVE PROGRAM

Table O-1 Eligibility: ● Fleets of 1-3 Trucks

 ● Retrofits Installed and Post Inspected by December 31, 2014

 

MHD*

GVWR = 19,501 to 26,000 lbs

MHD

GVWR = 26,001 to 33,000 lbs

HHD

GVWR = 33,001 lbs or more

Engine

Model

Year

Minimum Annual

Usage Funding

Amount

Minimum Annual

Usage Funding

Amount

Minimum 

Annual

Usage Funding

Miles Gallons Miles Gallons Miles Gallons Amount

1997

67,000 6,600 $5,000

Not eligible for VIP retrofit funding.

May be eligible for traditional Moyer retrofit funding.

Link to current Moyer Guidelines:

http://www.arb.ca.gov/msprog/moyer/guidelines/current.htm

80,000 7,800 $6,000

94,000 9,200 $7,000

1998-2002

28,000 2,800 $5,000

34,000 3,400 $6,000

39,000 3,800 $7,000

45,000 4,400 $8,000

51,000 5,000 $9,000

56,000 5,500 $10,000

2003-2006

45,000 4,400 $5,000

54,000 5,300 $6,000

63,000 6,200 $7,000

72,000 7,100 $8,000

81,000 7,900 $9,000

90,000 8,800 $10,000

*1996 and older model years are not eligible for retrofit funding due to Truck and B us Regulations.
November 26, 2013 77 of 86 ON-ROAD VOUCHER INCENTIVE PROGRAM

Table O-2 Eligibility: ● Fleets of 4-10 Trucks

 ● Retrofits Installed and Post Inspected by December 31, 2014

 ● AT LEAST ONE VEHICLE MUST HAVE A RETROFIT FILTER TO BE ELIGIBLE FOR FUNDING1

MHD*

GVWR = 19,501 to 26,000 lbs

MHD

GVWR = 26,001 to 33,000 lbs

HHD

GVWR = 33,001 lbs or more

Engine

Model

Year

Minimum Annual

Usage Funding

Amount

Minimum Annual

Usage Funding

Amount

Minimum 

Annual

Usage Funding

Miles Gallons Miles Gallons Miles Gallons Amount

1998-2002

28,000 2,800 $5,000

Not eligible for VIP retrofit funding.

May be eligible for traditional Moyer retrofit funding.

Link to current Moyer Guidelines:

http://www.arb.ca.gov/msprog/moyer/guidelines/current.htm

34,000 3,400 $6,000

39,000 3,800 $7,000

45,000 4,400 $8,000

51,000 5,000 $9,000

56,000 5,500 $10,000

2003-2006

45,000 4,400 $5,000

54,000 5,300 $6,000

63,000 6,200 $7,000

72,000 7,100 $8,000

81,000 7,900 $9,000

90,000 8,800 $10,000

1

Applies to fleets where at least one truck has GVWR > 26,000 pounds.

2

1997 and older model years are not eligible for retrofit funding due to Truck and B us Regulations.
November 26, 2013 78 of 86 ON-ROAD VOUCHER INCENTIVE PROGRAM

Appendix P

On-Road VIP Funding Matrix for Truck Replacements
November 26, 2013 79 of 86 ON-ROAD VOUCHER INCENTIVE PROGRAM

Table P-1: Medium Heavy-Duty (GVWR = 19,501 to 26,000 lbs)* - FLEETS OF 1-3 TRUCKS

NEW REPLACEMENT

0.2 g/bhp-hr NOx Standard or Cleaner 0.5 g/bhp-hr NOx Standard or Cleaner

Engine Model 

Year

Minimum Annual Usage Funding Amount Minimum Annual Usage Funding Amount Miles Gallons Miles Gallons

1996 and 

Older Not eligible for replacement funding due to Truck and Bus Regulations Not eligible for replacement funding due to Truck and Bus Regulations

1997

25,000 2,500 $10,000 27,000 2,700 $10,000 

37,000 3,600 $15,000 40,000 3,900 $15,000 

50,000 4,900 $20,000 

62,000 6,100 $25,000 

1998-2002

17,000 1,700 $10,000 18,000 1,800 $10,000 

25,000 2,500 $15,000 27,000 2,700 $15,000 

33,000 3,300 $20,000 

42,000 4,100 $25,000 

2003-2006

27,000 2,700 $10,000 

 40,000 3,900 $15,000 

53,000 5,200 $20,000 

66,000 6,500 $25,000 

USED REPLACEMENT

0.2 g/bhp-hr NOx Standard or Cleaner 0.5 g/bhp-hr NOx Standard or Cleaner 1.20 g/bhp-hr NOx Standard or Cleaner

Engine Model 

Year

Minimum Annual Usage Funding 

Amount

Minimum Annual Usage Funding 

Amount

Minimum Annual Usage Funding 

Miles Gallons Miles Gallons Miles Miles Amount

1996 and 

Older

Not eligible for replacement funding due to 

Truck and B us Regulations

Not eligible for replacement funding due to 

Truck and B us Regulations

Not eligible for replacement funding due to 

Truck and B us Regulations

1997 25,000 2,500 $10,000 27,000 2,700 $10,000 32,000 3,200 $10,000 

37,000 3,600 $15,000 

1998-2002 17,000 1,700 $10,000 18,000 1,800 $10,000 

25,000 2,500 $15,000 

2003-2006 27,000 2,700 $10,000 40,000 3,900 $15,000 

*Replacement vehicles delivered and post inspected by December 31, 2014.
November 26, 2013 80 of 86 ON-ROAD VOUCHER INCENTIVE PROGRAM

Table P-2: Medium Heavy-Duty (GVWR = 19,501 to 26,000 lbs)* - FLEETS OF 4-10 TRUCKS

NEW REPLACEMENT

0.2 g/bhp-hr NOx Standard or Cleaner 0.5 g/bhp-hr NOx Standard or Cleaner

Engine Model 

Year

Minimum Annual Usage Funding Amount Minimum Annual Usage Funding Amount Miles Gallons Miles Gallons

1997 and 

Older Not eligible for replacement funding due to Truck and Bus Regulations Not eligible for replacement funding due to Truck and Bus Regulations

1998-2002

17,000 1,700 $10,000 18,000 1,800 $10,000 

25,000 2,500 $15,000 27,000 2,700 $15,000 

33,000 3,300 $20,000 

42,000 4,100 $25,000 

2003-2006

27,000 2,700 $10,000 

 40,000 3,900 $15,000 

53,000 5,200 $20,000 

66,000 6,500 $25,000 

USED REPLACEMENT

0.2 g/bhp-hr NOx Standard or Cleaner 0.5 g/bhp-hr NOx Standard or Cleaner 1.20 g/bhp-hr NOx Standard or Cleaner

Engine Model 

Year

Minimum Annual Usage Funding 

Amount

Minimum Annual Usage Funding 

Amount

Minimum Annual Usage Funding 

Miles Gallons Miles Gallons Miles Miles Amount

1997 and 

Older

Not eligible for replacement funding due to 

Truck and B us Regulations

Not eligible for replacement funding due to 

Truck and B us Regulations

Not eligible for replacement funding due to 

Truck and B us Regulations

1998-2002 17,000 1,700 $10,000 18,000 1,800 $10,000 22,000 2,200 $10,000 

25,000 2,500 $15,000 

2003-2006 27,000 2,700 $10,000 40,000 3,900 $15,000 

*Replacement vehicles delivered and post inspected by December 31, 2014.
November 26, 2013 81 of 86 ON-ROAD VOUCHER INCENTIVE PROGRAM

Table P-3A: Medium Heavy-Duty (GVWR = 26,001 to 33,000 lbs)* - FLEETS OF 1-3 TRUCKS

AT LEAST ONE VEHICLE MUST HAVE A RETROFIT FILTER TO BE ELIGIBLE FOR FUNDING

NEW REPLACEMENT

 0.2 g/bhp-hr NOx Standard or Cleaner 0.5 g/bhp-hr NOx Standard or 

Cleaner

Engine Model Year Minimum Annual Usage Funding 

Amount

Minimum Annual 

Usage Funding 

Amount Miles Gallons Miles Gallons

<= 1990

17,000 1,800 $10,000 19,000 2,000 $10,000 

26,000 2,700 $15,000 28,000 2,900 $15,000 

34,000 3,500 $20,000 37,000 3,800 $20,000 

42,000 4,400 $25,000 46,000 4,800 $25,000 

51,000 5,300 $30,000 

59,000 6,100 $35,000 

1991-1993

24,000 2,400 $10,000 26,000 2,600 $10,000 

35,000 3,500 $15,000 39,000 3,800 $15,000 

47,000 4,600 $20,000 52,000 5,100 $20,000 

59,000 5,800 $25,000 65,000 6,400 $25,000 

71,000 7,000 $30,000 

83,000 8,100 $35,000 

1994-2002

25,000 2,500 $10,000 28,000 2,800 $10,000 

37,000 3,600 $15,000 41,000 4,000 $15,000 

49,000 4,800 $20,000 55,000 5,400 $20,000 

61,000 6,000 $25,000 68,000 6,700 $25,000 

74,000 7,200 $30,000 

86,000 8,400 $35,000 

2003-2006

39,000 3,800 $10,000 

 58,000 5,700 $15,000 

77,000 7,500 $20,000 

96,000 9,400 $25,000 

*Replacement vehicles delivered and post inspected by December 31, 2014.
November 26, 2013 82 of 86 ON-ROAD VOUCHER INCENTIVE PROGRAM

Table P-3B: Medium Heavy-Duty (GVWR = 26,001 to 33,000 lbs)* - FLEETS OF 1-3 TRUCKS

AT LEAST ONE VEHICLE MUST HAVE A RETROFIT FILTER TO BE ELIGIBLE FOR FUNDING

USED REPLACEMENT

0.2 g/bhp-hr NOx Standard or Cleaner 0.5 g/bhp-hr NOx Standard or Cleaner 1.20 g/bhp-hr NOx Standard or Cleaner

Engine Model 

Year

Minimum Annual Usage Funding 

Amount

Minimum Annual Usage Funding 

Amount

Minimum Annual Usage Funding 

Miles Gallons Miles Gallons Miles Miles Amount

<= 1990

17,000 1,800 $10,000 19,000 2,000 $10,000 22,000 2,300 $10,000 

26,000 2,700 $15,000 28,000 2,900 $15,000 33,000 3,400 $15,000 

34,000 3,500 $20,000 37,000 3,800 $20,000 

42,000 4,400 $25,000 

1991-1993

24,000 2,400 $10,000 26,000 2,600 $10,000 35,000 3,500 $10,000 

35,000 3,500 $15,000 39,000 3,800 $15,000 52,000 5,100 $15,000 

47,000 4,600 $20,000 52,000 5,100 $20,000 

59,000 5,800 $25,000 

1994-2002

25,000 2,500 $10,000 28,000 2,800 $10,000 37,000 3,600 $10,000 

37,000 3,600 $15,000 41,000 4,000 $15,000 56,000 5,500 $15,000 

49,000 4,800 $20,000 55,000 5,400 $20,000 

61,000 6,000 $25,000 

2003-2006

39,000 3,800 $10,000 

58,000 5,700 $15,000 

77,000 7,500 $20,000 

*Replacement vehicles delivered and post inspected by December 31, 2014.
November 26, 2013 83 of 86 ON-ROAD VOUCHER INCENTIVE PROGRAM

Table P-4: Medium Heavy-Duty (GVWR = 26,001 to 33,000 lbs)* - FLEETS OF 4-10 TRUCKS

MUST SUBMIT FLEET CALCULATOR SHOWING COMPLIANT WITH TRUCK AND BUS REGULATIONS TO BE ELIGIBLE FOR FUNDING

NEW REPLACEMENT

0.2 g/bhp-hr NOx Standard or Cleaner 0.5 g/bhp-hr NOx Standard or Cleaner

Engine Model 

Year

Minimum Annual Usage Funding Amount Minimum Annual Usage Funding Amount Miles Gallons Miles Gallons

1995 and 

Older Not eligible for replacement funding due to Truck and Bus Regulations Not eligible for replacement funding due to Truck and Bus Regulations

1996-2002

25,000 2,500 $10,000 28,000 2,800 $10,000 

37,000 3,600 $15,000 41,000 4,000 $15,000 

49,000 4,800 $20,000 55,000 5,400 $20,000 

61,000 6,000 $25,000 68,000 6,700 $25,000 

73,000 7,200 $30,000 

85,000 8,300 $35,000 

2003-2006

39,000 3,800 $10,000 

 58,000 5,700 $15,000 

77,000 7,500 $20,000 

96,000 9,400 $25,000 

USED REPLACEMENT

0.2 g/bhp-hr NOx Standard or Cleaner 0.5 g/bhp-hr NOx Standard or Cleaner 1.20 g/bhp-hr NOx Standard or Cleaner

Engine Model 

Year

Minimum Annual Usage Funding 

Amount

Minimum Annual Usage Funding 

Amount

Minimum Annual Usage Funding 

Miles Gallons Miles Gallons Miles Miles Amount

1995 and 

Older

Not eligible for replacement funding due to 

Truck and Bus Regulations

Not eligible for replacement funding due to 

Truck and Bus Regulations

Not eligible for replacement funding due to 

Truck and Bus Regulations

1996-2002

25,000 2,500 $10,000 28,000 2,800 $10,000 37,000 3,600 $10,000 

37,000 3,600 $15,000 41,000 4,000 $15,000 56,000 5,500 $15,000 

49,000 4,800 $20,000 55,000 5,400 $20,000 

61,000 6,000 $25,000 

2003-2006

39,000 3,800 $10,000 

58,000 5,700 $15,000 

77,000 7,500 $20,000 

*Replacement vehicles delivered and post inspected by December 31, 2014.
November 26, 2013 84 of 86 ON-ROAD VOUCHER INCENTIVE PROGRAM

Table P-5A: Heavy Heavy-Duty (GVWR = 33,001 lbs or more)* - FLEETS OF 1-3 TRUCKS

AT LEAST ONE VEHICLE MUST HAVE A RETROFIT FILTER TO BE ELIGIBLE FOR FUNDING

NEW REPLACEMENT

0.2 g/bhp-hr NOx Standard or Cleaner 0.5 g/bhp-hr NOx Standard or Cleaner

Engine Model 

Year

Minimum Annual Usage Funding Amount Minimum Annual Usage Funding Amount Miles Gallons Miles Gallons

<= 1990

15,000 2,600 $10,000 15,000 2,600 $10,000 

18,000 3,100 $15,000 19,000 3,200 $15,000 

24,000 4,100 $20,000 25,000 4,200 $20,000 

29,000 4,900 $25,000 32,000 5,400 $25,000 

35,000 5,900 $30,000 38,000 6,400 $30,000 

41,000 6,900 $35,000 44,000 7,400 $35,000 

47,000 7,900 $40,000 

52,000 8,800 $45,000 

1991-1993

15,000 2,500 $10,000 15,000 2,500 $10,000 

21,000 3,500 $15,000 23,000 3,800 $15,000 

28,000 4,600 $20,000 30,000 4,900 $20,000 

34,000 5,600 $25,000 38,000 6,200 $25,000 

41,000 6,700 $30,000 45,000 7,300 $30,000 

48,000 7,800 $35,000 53,000 8,600 $35,000 

55,000 9,000 $40,000 

62,000 10,100 $45,000 

1994-2002

15,000 2,400 $10,000 16,000 2,600 $10,000 

22,000 3,500 $15,000 24,000 3,800 $15,000 

29,000 4,600 $20,000 32,000 5,100 $20,000 

36,000 5,700 $25,000 40,000 6,300 $25,000 

43,000 6,800 $30,000 48,000 7,600 $30,000 

50,000 7,900 $35,000 56,000 8,800 $35,000 

58,000 9,100 $40,000 

65,000 10,200 $45,000 

2003-2006

23,000 3,700 $10,000 

 

34,000 5,400 $15,000 

46,000 7,300 $20,000 

57,000 9,000 $25,000 

69,000 10,900 $30,000 

80,000 12,600 $35,000 

91,000 14,300 $40,000 

*Replacement vehicles delivered and post inspected by December 31, 2014.
November 26, 2013 85 of 86 ON-ROAD VOUCHER INCENTIVE PROGRAM

Table P-5B: Heavy Heavy-Duty (GVWR = 33,001 lbs or more)* - FLEETS OF 1-3 TRUCKS

AT LEAST ONE VEHICLE MUST HAVE A RETROFIT FILTER TO BE ELIGIBLE FOR FUNDING

USED REPLACEMENT

0.2 g/bhp-hr NOx Standard or Cleaner 0.5 g/bhp-hr NOx Standard or Cleaner 1.20 g/bhp-hr NOx Standard or Cleaner

Engine Model 

Year

Minimum Annual Usage Funding 

Amount

Minimum Annual Usage Funding 

Amount

Minimum Annual Usage Funding 

Miles Gallons Miles Gallons Miles Miles Amount

<= 1990

15,000 2,600 $10,000 15,000 2,600 $10,000 16,000 2,700 $10,000 

18,000 3,100 $15,000 19,000 3,200 $15,000 24,000 4,100 $15,000 

24,000 4,100 $20,000 25,000 4,200 $20,000 32,000 5,400 $20,000 

29,000 4,900 $25,000 32,000 5,400 $25,000 

35,000 5,900 $30,000 38,000 6,400 $30,000 

41,000 6,900 $35,000 

1991-1993

15,000 2,500 $10,000 15,000 2,500 $10,000 20,000 3,300 $10,000 

21,000 3,500 $15,000 23,000 3,800 $15,000 30,000 4,900 $15,000 

28,000 4,600 $20,000 30,000 4,900 $20,000 40,000 6,500 $20,000 

34,000 5,600 $25,000 38,000 6,200 $25,000 

41,000 6,700 $30,000 45,000 7,300 $30,000 

48,000 7,800 $35,000 

1994-2002

15,000 2,400 $10,000 16,000 2,600 $10,000 22,000 3,500 $10,000 

22,000 3,500 $15,000 24,000 3,800 $15,000 32,000 5,100 $15,000 

29,000 4,600 $20,000 32,000 5,100 $20,000 43,000 6,800 $20,000 

36,000 5,700 $25,000 40,000 6,300 $25,000 

43,000 6,800 $30,000 48,000 7,600 $30,000 

50,000 7,900 $35,000 

2003-2006

23,000 3,700 $10,000 

34,000 5,400 $15,000 

46,000 7,300 $20,000 

57,000 9,000 $25,000 

69,000 10,900 $30,000 

*Replacement vehicles delivered and post inspected by December 31, 2014.
November 26, 2013 86 of 86 ON-ROAD VOUCHER INCENTIVE PROGRAM

Table P-6: Heavy Heavy-Duty (GVWR = 33,001 lbs or more)* - FLEETS OF 4-10 TRUCKS

MUST SUBMIT FLEET CALCULATOR SHOWING COMPLIANT WITH TRUCK AND BUS REGULATIONS TO BE ELIGIBLE FOR FUNDING

NEW REPLACEMENT

0.2 g/bhp-hr NOx Standard or Cleaner 0.5 g/bhp-hr NOx Standard or Cleaner

Engine Model 

Year

Minimum Annual Usage Funding Amount Minimum Annual Usage Funding Amount Miles Gallons Miles Gallons

1995 and Older Not eligible for replacement funding due to Truck and Bus Regulations Not eligible for replacement funding due to Truck and Bus Regulations

1996-2002

15,000 2,400 $10,000 16,000 2,600 $10,000 

23,000 3,700 $15,000 24,000 3,800 $15,000 

29,000 4,600 $20,000 32,000 5,100 $20,000 

36,000 5,700 $25,000 40,000 6,300 $25,000 

43,000 6,800 $30,000 48,000 7,600 $30,000 

50,000 7,900 $35,000 56,000 8,800 $35,000 

57,000 9,000 $40,000 

64,000 10,100 $45,000 

2003-2006

23,000 3,700 $10,000 

34,000 5,400 $15,000 

46,000 7,300 $20,000 

57,000 9,000 $25,000 

68,000 10,700 $30,000 

80,000 12,600 $35,000 

92,000 14,500 $40,000 

USED REPLACEMENT

0.2 g/bhp-hr NOx Standard or Cleaner 0.5 g/bhp-hr NOx Standard or Cleaner 1.20 g/bhp-hr NOx Standard or Cleaner

Engine Model 

Year

Minimum Annual Usage Funding 

Amount

Minimum Annual Usage Funding 

Amount

Minimum Annual Usage Funding 

Miles Gallons Miles Gallons Miles Miles Amount

1995 and Older Not eligible for replacement funding due to 

Truck and Bus Regulations

Not eligible for replacement funding due to 

Truck and Bus Regulations

Not eligible for replacement funding due to 

Truck and Bus Regulations

1996-2002

15,000 2,400 $10,000 16,000 2,600 $10,000 22,000 3,500 $10,000 

23,000 3,700 $15,000 24,000 3,800 $15,000 32,000 5,100 $15,000 

29,000 4,600 $20,000 32,000 5,100 $20,000 43,000 6,800 $20,000 

36,000 5,700 $25,000 40,000 6,300 $25,000 

43,000 6,800 $30,000 48,000 7,600 $30,000 

50,000 7,900 $35,000 

2003-2006

23,000 3,700 10,000

 

34,000 5,400 15,000

46,000 7,300 20,000

57,000 9,000 25,000

68,000 10,700 30,000

*Replacement vehicles delivered and post inspected by December 31, 2014.
CARL MOYER PROGRAM FOR 

OFF-ROAD DIESEL EQUIPMENT 

APPROVED: JULY 11, 2014 
As of 7/11/14 2 of 60 OFF-ROAD 

 VOUCHER INCENTIVE PROGRAM 

OFF-ROAD VOUCHER INCENTIVE PROGRAM GUIDELINES 

CARL MOYER MEMORIAL AIR QUALITY STANDARDS ATTAINMENT PROGRAM 

FOR OFF-ROAD DIESEL EQUIPMENT 

These guidelines describe the minimum criteria and requirements for the Carl Moyer 

Memorial Air Quality Standards Attainment Program (CMP) Off-Road Voucher Incentive 

Program (ORVIP). The ORVIP provides a streamlined approach to reduce emissions 

by replacing existing, high-polluting equipment with newer, lower-emission equipment. 

The ORVIP provides real emission benefits by retiring the high-polluting equipment 

earlier than would have been expected through normal attrition or by regulation. Carl 

Moyer Program funds for voucher projects are used to offset part of the cost of the 

replacement equipment. 

California air pollution control/air quality management districts (air districts) shall utilize 

these guidelines as a stand-alone document and need not refer to the current Carl 

Moyer Program guidelines in implementing this program. Air districts must follow all 

ORVIP guidelines in order to offer vouchers as a funding option. Air districts do not 

have the discretion to set more stringent requirements based upon local priorities. 

These guidelines provide implementation documents in the appendices section that 

must be used for funding voucher projects and may not be modified (unless otherwise 

noted). 

A. Projects Eligible for Funding 

The following ORVIP projects are eligible for funding: 

New Replacement Equipment Purchase: The purchase of new equipment to replace 

the existing equipment that is to be scrapped. The new equipment must have an 

engine that meets the current California emission standards (Tier) or the current United 

States Environmental Protection Agency (U.S. EPA) emission standards (Tier) if it is a 

federally preempted engine. 

B. Project Funding Amounts 

The maximum total project funding amounts associated with reducing the eligible costs 

of an ORVIP project are pre-determined and shown in Appendix O. If there is a 

discrepancy between the engine horsepower of the existing and replacement 

equipment, then the lower horsepower should be used to determine the voucher funding 

amount. 

C. Program Requirements 

1. General Program Criteria 

(A) Eligible Equipment: Equipment using uncontrolled off-road compression 

ignition engines that are greater than or equal to 25 horsepower (hp) and 
As of 7/11/14 3 of 60 OFF-ROAD 

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less than 175 hp, that meet the following criteria, are eligible to participate 

in the ORVIP: 

(1) Agricultural tractors that are not currently regulated by an Air Resources 

Board (ARB) in-use regulation. 

(2) Construction tractors/loaders/backhoes in small fleets that have a total 

fleet hp of 2,500 or less, as determined by the In-Use Off-Road DieselFueled Fleets Regulation, California Code of Regulations, title 13, section 

2449, et seq. (Off-Road Regulation). 

(3) Construction tractors/loaders/backhoes in medium fleets as determined by 

the Off-Road Regulation are eligible through December 31, 2013. 

(B) The following equipment are not eligible for funding: 

(1) Equipment in large fleets subject to the Off-Road Regulation; 

(2) Equipment subject to the Regulation for Mobile Cargo Handling 

Equipment at Ports and Intermodal Rail Yards, California Code of

Regulations, title 13, section 2479; 

(3) Equipment subject to the Off-Road Large Spark-Ignition (LSI) Engine Fleet 

Requirements, California Code of Regulations, title 13, section 2775, et 

seq. 

(C) Emission Reduction Technologies: Emission reduction technologies must 

be certified or verified by ARB. Federally preempted engines must be 

certified by the U.S. EPA and must comply with durability and warranty 

requirements. For the purposes of the ORVIP, a technology granted a 

conditional certification or verification by ARB is considered certified or

verified. 

(D) Equipment Leasing is Not Allowed: If financing is necessary, the 

equipment purchase must be financed with a conventional purchase loan. 

(E) Obtaining Financing: The participant may obtain public and/or private 

financing to assist in the purchase of replacement equipment, but cannot 

seek additional public funded grants, except as allowed in C.2(A)(6). 

(F) Emission reductions obtained through ORVIP projects must not be 

required by any federal, state or local regulation, memorandum of 

agreement/understanding with a regulatory agency, settlement 

agreement, mitigation requirement, or other legally binding document. 
As of 7/11/14 4 of 60 OFF-ROAD 

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(G) No emission reductions generated by the ORVIP shall be used as 

marketable emission reduction credits or to offset any emission reduction 

obligation of any person or entity. 

(H) No project funded by the ORVIP shall be used for credit under any federal 

or state emission averaging banking and trading program. 

(I) Engines operating under a regulatory compliance extension granted by 

ARB, an air district, or the U.S. EPA are not eligible for funding. 

(J) Projects funded by the ORVIP may not be used to generate a compliance 

extension or extra credit for determining regulatory compliance. 

2. Participant Requirements 

(A) General Participant Requirements: All participants must meet the 

following requirements to be eligible for funding: 

(1) Ownership Requirements: The participant must currently own and 

operate the existing equipment. The participant must be able to provide 

two (2) items from the following documentation list for the equipment: 

a. Bill of sale for the existing equipment 

b. Copy of Diesel Off-road On-line Reporting System (DOORS) 

registration 

c. Tax depreciation logs 

d. Property tax records 

e. Equipment insurance records 

f. Bank appraisals for equipment 

g. Maintenance/service records 

h. General ledgers 

(2) Prior Minimum Usage Requirement: The existing equipment must have 

met the annual usage requirements in Appendix O during each 

twelve (12) months for the previous twenty-four (24) months. Participants 

must submit documentation verifying usage for the previous 

twenty four (24) months for the existing equipment. Participants may 

submit documentation verifying usage for up to the previous 

sixty (60) consecutive months for the existing equipment.

(3) Documentation of Usage: The participant must be able to provide the 

following in order to document equipment usage: 

a. Hour meter reading log collected a minimum of once per year from an 

installed and fully functioning hour meter; or 
As of 7/11/14 5 of 60 OFF-ROAD 

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b. At least two (2) items from the following list proving existing equipment 

is being used by the fleet and indicating annual hours of use: 

1. Revenue and usage records that identify operational, standby, and 

down hours for the equipment; 

2. Employee timesheets linked to specific equipment use; 

3. Preventative maintenance records tied to specific hours of 

equipment use; or 

4. Repair work orders specific to the equipment. 

(4) Operation in California: The existing equipment must have operated at 

least 75 percent of the time in California during each twelve (12) month 

period for the previous twenty four (24) months. Applicant certifies this on 

the application. 

(5) Applying for Funding in a Participating Air District: Applicants may only 

apply to one (1) participating air district at a time per piece of equipment. 

(6) Additional Funding: If an applicant receives ORVIP funding for replacing a 

piece of equipment, an applicant cannot receive additional funding for 

replacement of that same piece of equipment. However, CMP funding for 

the addition of a retrofit for the ORVIP funded replacement equipment may 

be available through the air district. 

(7) Application Package: To be approved for ORVIP funds, the applicant 

must meet guideline requirements, submit an application, and submit all of 

the documentation listed in the Application Package (Appendix A). 

(8) Specified Participating Dealership: The participant must specify the 

participating dealership used for the purchase of the replacement 

equipment. If the application is approved, the participant must purchase 

the replacement equipment from the specified dealership. If the 

participant chooses to change dealerships, the participant must submit a 

new ORVIP application to the air district. 

(9) Voucher Redemption Deadline: The dealer and owner must agree on a 

date in which the replacement equipment will be delivered. The voucher 

will be redeemable within thirty (30) calendar days of issuance or by the 

delivery date agreed upon by the dealer and owner, whichever is later. If 

the owner is unable to purchase the replacement equipment after a 

voucher has been issued, the owner must notify the dealer and the air 

district immediately so that funds can be reallocated. 
As of 7/11/14 6 of 60 OFF-ROAD 

 VOUCHER INCENTIVE PROGRAM 

(10) Two-for-One Option: Owners may replace two existing equipment with 

one replacement equipment as long as all ORVIP requirements are met. 

The two existing equipment must have cumulatively met the annual 

usage requirements in Appendix O. If the two existing equipment have 

different engine model years, then the newest engine model year shall 

be used to determine the funding amount. The hp rating for the 

replacement equipment engine must not be greater than 125 percent of 

the original manufacturer rated hp (baseline hp) for the lowest hp of the 

existing equipment engine. Participants who utilize this option must 

submit a complete application for each existing equipment. The 

applicant should specify on each application that the applicant is 

choosing this option by checking the Two-for-One Option box. 

(11) The owner must agree to the following terms after being approved for a 

replacement voucher: 

a. If the existing equipment is subject to the requirements of the Off-Road 

Regulation, then the applicant must include proof of equipment 

registration in DOORS. 

b. Own and operate the replacement equipment at least 75 percent of the 

time within California for the term specified on the Receipt of 

Replacement Voucher (Appendix G). 

c. Notify the air district if there is any change of ownership within 

thirty-six (36) months of the date of purchase. 

d. Return annual usage surveys as requested by the air district. 

e. Do not make any modifications to the emission control system on the 

replacement equipment engine. 

f. Be available for a follow up inspection, if requested by the air district or 

ARB. 

g. Repay the voucher funding amount if the owner does not follow one or 

more terms as specified in the Application (Appendix A) or Receipt of 

Replacement Voucher (Appendix G). ARB and/or the air district will 

specify repayment terms. 

3. Existing Equipment Requirements 

All existing equipment must meet the following conditions before an ORVIP 

application will be approved and awarded a voucher. 
As of 7/11/14 7 of 60 OFF-ROAD 

 VOUCHER INCENTIVE PROGRAM 

(A) Eligible Existing Engine: The existing engine must be uncontrolled. 

Verification must be submitted in the application package. Verification can 

include a picture of the model year on the engine plate/tag or written 

documentation from the manufacturer or participating dealer that matches 

the engine serial number to a particular model year. 

(B) Diesel-Fueled Equipment: The existing equipment must currently operate 

on diesel fuel. 

(C) DOORS Registration: The existing equipment must be registered in 

DOORS if it is subject to the Off-Road Regulation. A copy of the DOORS 

fleet summary sheet that shows the fleet size, DOORS ID of the fleet, and 

indicates the piece of equipment’s identification number (EIN) must be 

submitted with the application package. 

(D) Operational Condition Verification: The existing equipment must be in 

operational condition to qualify for funding. Operating condition must be 

determined through an inspection by a participating dealership prior to 

submitting the application or by air district staff upon request. Operational 

equipment must be able to start, move in all directions, and have all 

necessary parts be operational. 

(E) Engine Verification: If the existing equipment engine plate/tag is missing, 

then verification of the engine information can be done with the engine 

serial number. The participant will be required to provide verification of 

the engine make, model, model year, engine serial number, and hp from 

the manufacturer. Verification can include a letter or a printout from an 

engine manufacturer or participating dealer. Engines without a visible and 

legible serial number must be uniquely identified by having the engine 

block stamped with a CMP number or alternative permanent marking, 

such as an engine tag. 

(F) For existing equipment in which the actual engine hp cannot be 

determined based on the engine plate/tag, manual, and engine records, 

then the engine hp can be estimated by the following formula: 

Engine Hp = Power Take Off (PTO) hp x 120%. 

(G) Existing Equipment Components: Incentive funding can only be used to 

purchase the new equipment and to pay for items essential to the 

operation of the equipment. 

(H) Operation of Existing Equipment After Approved for a Voucher: If the 

existing equipment is in an accident or has an engine failure AFTER 

receiving approval for a voucher from the air district but prior to 

replacement, then the existing equipment will still be eligible for receiving 
As of 7/11/14 8 of 60 OFF-ROAD 

 VOUCHER INCENTIVE PROGRAM 

funds from the program as long as all other ORVIP requirements have 

been met. 

(I) Delivering the Existing Equipment to the Dealer Prior to Taking Ownership 

of the Replacement Equipment: The participant must deliver the existing 

equipment in similar condition as it was in the pre-inspection. The air 

district or dealer can reject the condition of the existing equipment if it is 

deemed not operational or if parts were stripped from the existing 

equipment. Reimbursement of the voucher will be withheld until the 

dealer or air district approves the condition of the existing equipment. 

4. Replacement Equipment Requirements 

For replacement projects, all replacement equipments must meet the following 

requirements before funding is awarded to the participant: 

(A) Purchased from a Participating Dealership: The replacement equipment 

must be purchased from an air district approved participating dealership. 

(B) Replacement Equipment must be greater than or equal to 25 hp and less 

than 175 hp and either an agricultural tractor or a construction tractor, 

loader or backhoe. The hp rating for the replacement equipment engine 

must not be greater than 125 percent of the original manufacturer rated hp 

(baseline hp) for the existing equipment engine. 

(C) Engine Emission Standards: The replacement equipment must have an 

engine that meets the current California emission standards (Tier) or the 

current U.S. EPA emission standards (Tier) if it is a federally preempted 

engine. An ARB Executive Order or an U.S. EPA Certificate of Conformity 

certifying the engine meets this requirement must be included with the 

application package. 

(1) Engines participating in the averaging, banking, and trading program that 

are certified to family emission limits (FEL) higher than the Tier 4 emission 

standards, as designated on the ARB Executive Order, are eligible to 

participate in the CMP. The funding levels associated with Tier 3 must be 

used when determining allowable funding for these engines. 

(2) Engines participating in the averaging, banking, and trading program that 

are certified to family emission limits (FEL) below the applicable emission 

standards are eligible to participate in the ORVIP. The funding levels 

associated with the applicable interim Tier 4 (interim Tier 4, Tier 4 PhaseOut, Tier 4 Phase-in/Alternate NOx) or Tier 4 Final emission standards, 

per the Executive Order, must be used when determining allowable 

funding for these engines. 
As of 7/11/14 9 of 60 OFF-ROAD 

 VOUCHER INCENTIVE PROGRAM 

(3) Engines that are participating in the “Tier 4 Early Introduction Incentive for 

Engine Manufacturers” program, as detailed in California Code of 

Regulations, title 13, section 2423(b)(6), are eligible for Carl Moyer 

Program funding provided they are certified to the final Tier 4 emission 

standards. The ARB executive order for these engines indicates that the 

engines are certified under this provision. The incentive shall be the 

amount associated with replacing equipment with an engine certified to 

the Tier 3 emission standards as listed in Appendix O. 

(4) Interim Tier 4 engines between 75 and 175 hp, certified to the Phase-In, 

Phase-Out and Alternate Oxides of Nitrogen (Alt NOx) standards as 

detailed in California Code of Regulations, title 13, section 2423(b)(1)(B), 

are eligible for funding. The incentive shall be the amount associated with 

replacing equipment with an engine certified to the Tier 4 Phase-In, Tier 4 

Phase-Out or Tier 4 Alt NOx standards as listed in Appendix O. 

(5) Equipment manufactured under the “Flexibility Provisions for Equipment 

Manufacturers”, as described in California Code of Regulations, title 13, 

section 2423(d), are eligible for CMP funding as replacement equipment, 

provided the engine is certified at or below the Tier 3 emission standards. 

Eligible equipment produced under the “Flexibility Provisions for 

Equipment Manufacturers” whose engine family is certified to a FEL are 

also subject to the provisions of section C.4.(C)(1). Equipment 

manufactured under the flexibility provisions with an engine whose engine 

family meets a standard, Tier or FEL less stringent than Tier 3 are 

ineligible for funding. 

(6) The certification emission standards and/or Tier designation for the engine 

must be determined from the Executive Order or U.S. EPA Certificate of 

Conformity (for federally preempted engines) issued for that engine. 

ARB Executive Orders for off-road engines may be found at 

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

(D) Warranty Requirements: Purchasers of new CI equipment must purchase 

a minimum of a one-year or 1,600 hours power and drive train warranty for 

the replacement equipment. The warranty must cover parts and labor. 

Warranty documentation must be provided to the air district. Warranty 

costs are not eligible for funding. If the purchase of new replacement 

equipment already includes a minimum one year or 1,600 hour warranty, 

as specified above, a separate supplemental warranty is not required. 

However, it is recommended that the highest-grade warranty be 

purchased in order to avoid expensive repairs in the future. No CMP 

funds will be issued for maintenance or repairs related to the operation of 

the equipment. The participant takes sole responsibility for ensuring that 

the equipment is in operational condition. 
As of 7/11/14 10 of 60 OFF-ROAD 

 VOUCHER INCENTIVE PROGRAM 

(E) Engine and Emission Control Modifications: Emission controls on the 

replacement equipment engine cannot be modified in any manner. 

Unauthorized modification to engine performance (including changes in 

hp), emission characteristics, engine emission components (not including 

repairs with like-original equipment manufacturers replacement parts), or 

any other modifications to the engine’s emission control function is not 

allowed. 
As of 7/11/14 11 of 60 OFF-ROAD 

 VOUCHER INCENTIVE PROGRAM 

5. Air District Requirements

Air districts that decide to implement the ORVIP must follow the ORVIP guidelines. 

Air districts must implement the program under the following requirements: 

(A) The ORVIP Guidelines and attachments provide all requirements for the 

program, therefore air districts, dealers, or grantees are not required to 

refer back to the 2011 CMP Guidelines for CMP funded ORVIP projects. 

(B) Each air district must have a resolution of the air district Governing Board 

that commits the air district to comply with all ORVIP requirements. If an 

air district has been given prior authority to adopt a program like the 

ORVIP, the air district must have the ability to comply with all ORVIP 

requirements. 

(C) Air districts may not put additional limitations on project criteria or make 

changes to the ORVIP guidelines. 

(D) An air district may request CMP funds if the air district chooses to use 

those funds to implement the ORVIP as these funds become available. In 

order for an air district to be approved for a funding request to implement 

the ORVIP, the air district must provide verification of board approval to 

implement the ORVIP, a copy of at least one (1) active dealer agreement, 

and a copy of at least one (1) active dismantler agreement (as mentioned 

in C.5.(I)). 

(E) Air districts must reject all ORVIP applications if funds are not currently 

available. Air districts cannot create a list of ORVIP projects to receive 

funding in a future date. 

(F) Air districts must create an addendum to their current CMP Policies and 

Procedures using the air district’s ORVIP and Procedures (Appendix B) 

within two (2) months after they begin implementation of the ORVIP. Air 

districts are not required to submit this addendum to ARB, but it must be 

available upon request. 

(G) Air districts must use the program documents provided in the appendices. 

The documents may only be modified to include air district logos and air 

district contact information. The documents will be provided electronically 

to the participating air districts. 

(H) Air districts must work to contract with equipment dealerships located in 

their air district before contracting with dealerships located outside of their 

air district. Air districts that do not have dealerships within their air district 

can proceed directly to contract with dealerships located outside of their 
As of 7/11/14 12 of 60 OFF-ROAD 

 VOUCHER INCENTIVE PROGRAM 

air basin. Air districts can contract with dismantlers located within or 

outside of their air district. 

(I) Air districts must contract with equipment dealerships and dismantler 

yards. Dealership and dismantler yard agreements must contain the 

language provided in Appendix C, and D, respectively. If a dealership has 

multiple locations, then the air district either needs to have one agreement 

for each location or list each location in one agreement. The process for 

selection of dealerships and dismantler yards must be specified by the air 

district in the air district’s ORVIP Policies and Procedures. 

(J) Air districts must ensure participating dealerships and dismantlers meet all 

ORVIP requirements. Air districts must receive all requested documents 

from the dealership or dismantler prior to signing an agreement. Air 

districts must maintain records that verify their participating dealerships 

and dismantlers meet the ORVIP requirements. 

(K) Air districts must provide participating dealership and dismantler contact 

information to ARB within ten (10) business days of entering into 

agreement. 

(L) Air districts must ensure at least one (1) representative from each 

participating dealership is trained on the terms, conditions, and 

requirements of the Program. Air districts must describe how this will be 

accomplished in the air district’s ORVIP Policies and Procedures. 

(M) Air districts must work in coordination with ARB in outreach efforts to 

increase participation of equipment owners, dealerships, and dismantler 

yards. Air districts must specify outreach efforts in the air district’s ORVIP 

Policies and Procedures. 

(N) Air districts must provide all applicants and dealerships with application 

packages, inspection forms, and any other applicable ORVIP materials. 

(O) Air districts cannot restrict where participating dealers can send completed 

applications. 

(P) Air districts must review and approve applications on a first-come, 

first-served basis, based on the date of receipt of the application by the air 

district. 

(Q) Air districts must approve or reject applications within fifteen (15) business 

days of receipt. 

(R) Air districts must review an application package and approve a project 

once all program requirements have been met. To facilitate the review of 
As of 7/11/14 13 of 60 OFF-ROAD 

 VOUCHER INCENTIVE PROGRAM 

the application package, the air district must confirm that all requirements 

on the Air District Review Checklist: Initial Review (Appendix E) have been 

met. The following application form fields in Table 1 are mandatory and 

must be filled in completely before the application may be approved: 

Table 1 

Mandatory Application Form Fields 

Applicant Information:

 Owner Name

 Mailing Address (including City, State, Zip)

 Physical Address (if different from mailing)

 Owner Phone

 DOORS ID of fleet (if applicable)

Third Party Information:

 Third-Party Name

 Mailing address (including City, State, Zip)

 Physical Address (if different from mailing)

 Phone

 Third Party Signature & Date - Only 

required if a paid party other than the

dealership completes the application

Existing Equipment and Engine Information:

 Equipment Make

 Equipment Model

 Equipment Model Year

 DOORS EIN (if applicable)

 Equipment Serial Number

 Equipment Operational

 Engine Make

 Engine Model

 Engine Model Year

 Engine Serial Number / Engine Block Stamp or 

Alternative Tag (if engine serial number is not 

available)

 Engine Operational

 Fuel Used

Replacement Equipment and Engine 

Information:

(Replacement Projects Only)

 Equipment Make

 Equipment Model

 Equipment Model Year

 DOORS EIN (if applicable)

 Engine Make

 Engine Model

 Engine Model Year

 Engine Family Number

 Engine Operational

 Fuel Used

 ARB Executive Order Number or U.S. EPA 

Certificate of Conformity Number

Dealership Information:

All fields must be filled out or a business card must 

be attached

Applicant Recitals:

Owner must sign and date application

Inspection Forms: all applicable forms must be filled 

in based on the information required above for the 

existing and replacement equipments. 

(S) Air district staff must conduct dismantler inspections. For all other 

inspections listed below, air districts have the option of conducting 

inspections or having the dealership conduct the inspections. If the air 

district decides to conduct the inspections, the inspections must be 

scheduled and completed within the following timeframes: 

(1) Pre-inspection of the existing equipment must be completed within five (5) 

business days of the receipt of the application or request by the applicant 

or dealership. 
As of 7/11/14 14 of 60 OFF-ROAD 

 VOUCHER INCENTIVE PROGRAM 

(2) Post-inspection of the replacement equipment must be completed within 

three (3) business days of being notified by the dealership. 

(3) Pre-dismantle inspection of the existing equipment must be completed 

within three (3) business days of being notified by the dealership. The 

pre-dismantle inspection is to verify the existing equipment is in similar 

operating condition as in the pre-inspection. If the existing equipment has 

been stripped of major parts or accessories, the air district may withhold 

payment until the existing equipment is restored to its previous state. 

 

(T) For approved projects, the air district must provide an Approved Voucher 

Package to the dealership, as applicable. An Approved Voucher Package 

includes the following documents: 

(1) Replacement Voucher (Appendix F); 

(2) Receipt of Replacement Voucher (Appendix G); 

(3) Dealer Reimbursement Invoice (for immediate signature and return to the 

air district – Appendix H); 

(4) Post-Inspection (replacement equipment) and Pre-Dismantle (existing 

equipment) Inspection Forms (Appendix I); and 

(5) Dealer Reimbursement Package Checklist (Appendix J). 

(U) If a submitted application is incomplete, illegible, or has any unclear or 

missing documentation, the air district must reject the application 

immediately and return it to the applicant. 

(V) Rejected Projects: Air districts must mail or email an application rejection 

letter and the application package to the applicant if their application has 

been rejected. This letter must be issued by the end of the fifteen (15) 

business day review period. The air district must state the reason(s) for 

the rejection on the rejection letter. The air district must also notify the 

dealer by mailing or emailing a copy of the rejection letter. A template of 

the rejection letter is in Appendix K. 

(W) Payment Goal: A goal of the program is to ensure payment can occur 

when the existing equipment is turned into the dealership and the 

replacement equipment is ready for purchase. The air district shall work 

towards achieving this goal and should notify the dealership of any delays 

in issuing payment. 

(X) Project Payment Options: In order to achieve the payment goal, air 

districts have two project payment options. The first option is to 
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immediately begin the disbursement process for the approved voucher 

project after receiving a signed Reimbursement Invoice (Appendix H). 

Payment must not be distributed until an air district-approved 

Reimbursement Package has been submitted by the dealership. The 

second option is to begin the disbursement process and issue payment 

within ten (10) business days of receipt of a completed reimbursement 

package. Air districts must include in the air district’s ORVIP Policies and 

Procedures the option that is implemented. 

(Y) Air District Payment Checklist: Air districts should use the Air District 

Payment Review Checklist (Appendix L) to help review if a complete 

reimbursement package has been submitted and payment can be issued. 

Air districts must keep a copy of the check with all project documents. 

(Z) If the process of payment is delayed, the air district must notify the 

dealership by phone or email at the earliest possible time of such delay. 

(AA) If the reimbursement package is not complete, the air district will mail or 

email a reimbursement package rejection letter explaining the discrepancy 

to the dealership (Appendix M) and keep a copy of this letter. 

(BB) Air districts must enter all project data information into the CARL database 

within five (5) business days of approving an application for a voucher. 

Payment information should be submitted within fifteen (15) business days 

after payment is issued. 

(CC) Air districts must conduct the dismantle inspection of the existing 

equipment at the dismantler within sixty (60) calendar days of being 

notified the existing equipment has been delivered to the dismantler yard. 

Inspection forms are in Appendix I. The dismantle inspection should 

include verification of engine destruction and equipment frame rails are 

completely severed. 

(DD) Air districts must mail out annual usage survey reports to participants 

(Appendix N) for three (3) years after the project has been funded. The air 

district must also input data from the returned surveys into CARL. ARB 

will ensure all other participant voucher requirements are met. 

(EE) Records Retention: Air districts must retain all records of approved 

voucher projects for a minimum of seven (7) years from the date of issuing 

the voucher. For rejected projects, air districts must maintain a copy of the 

application, the rejection letter, and method of notification for 

seven (7) years from the date the application was received. 

(FF) Audit and Monitoring: Air districts must allow ARB to monitor their voucher 
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 program, which includes Incentive Program Review of the air district’s 

implementation of the program. Most ARB ORVIP reviews will occur 

during a regular CMP Incentive Program Review, however ARB may 

request project information on an as needed basis. 

(GG) Audit of Participating Dealers: Air districts that conduct 100 percent of the 

ORVIP inspections are not required to audit dealerships. Air districts that 

do not conduct 100 percent of required inspections themselves must audit 

5 percent of each type of inspection (pre, post, and pre-dismantle). Audits 

should be done randomly and occur throughout the implementation 

timeline of the air district. Table 2 includes the audit requirements for the 

air districts to follow. 

Table 2 

Air District Audit Requirements 

Type of Audit Inspection Purpose(s) Timing of Audit Inspection

Pre-inspection  Verify existing equipment is 

in operational condition

 Verify existing equipment

application information

After application is submitted to 

air district but prior to approving 

the application. 

Post-inspection  Verify replacement 

equipment meets emission 

standards: or

 Verify application 

information

After replacement equipment is 

delivered and prior to payment 

being issued

Pre-dismantle inspection  Verify existing equipment is 

in operational condition and 

has not been stripped of 

parts

 Verify existing equipment

application information

After existing equipment is 

delivered to dealership and 

payment is issued. Existing

equipment is at dealership 

location

 

(HH) Meeting Environmental Justice Requirements: Air districts with 

environmental justice (EJ) requirements shall not apply the requirements 

to ORVIP application review. After each year of implementation, the air 

district may review each funded project to determine if it helps to meet air 

district EJ requirements. If those requirements have not been met, other 

Carl Moyer funded projects will need to be used to fulfill the EJ 

requirement. 

6. Dealership Requirements

(A) Dealership participation is an important component of the ORVIP. Dealers 

are responsible for providing participants with assistance in the application 

process. This includes ensuring compliance with all program requirements. 

Participating equipment dealers are required to do the following: 

(1) Enter into an agreement with at least one air district in order to be a 

participating dealer in the ORVIP. Dealerships may choose to enter into 
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agreements with more than one air district. Template language that will 

be included in this agreement can be found in Appendix C; the air district 

will provide the dealer with exact language. 

(2) Warrant that it meets the following minimum qualifications, and will 

continue to meet these qualifications throughout its participation in the 

Program: 

a. Dealership has had a valid business license issued in California for a 

minimum of the last two (2) years. 

b. Dealership maintains a minimum of one (1) employee that has 

successfully completed the training by the air district regarding the 

terms, conditions and requirements of the Program. If a participating 

dealership maintains more than one location for equipment sales, then 

each location must have at least one (1) employee trained on the 

ORVIP. 

c. Dealership agrees to allow the air district or ARB to inspect equipment 

or audit program records covered under this Agreement during normal 

business hours. 

(3) Provide accurate information about the ORVIP to applicants. 

(4) Help the participants complete the ORVIP application package. It is 

important to make sure that all information is filled out correctly and that 

the participant understands the ORVIP requirements. 

(5) Show the voucher amount on the replacement equipment invoice. The 

voucher does not reduce the purchase price of the equipment, but is an 

incentive to the equipment owner that will result in a lower price paid by 

the participant. The receipt of voucher funds does not lower the base 

price of the equipment nor does it reduce the tax basis of the equipment. 

(6) Submit the completed application package to the air district. 

ARB recommends that dealers submit applications to the air district 

closest to an applicant’s physical address. Incomplete application 

packages will be rejected and returned to the applicant. The dealer will 

also be notified of the reasons for rejection (Appendix K). 

(7) Ensure the existing equipment is delivered to the dealership prior to 

releasing the replacement equipment. 

(8) Ensure the existing equipment is in similar condition as found in the 

pre-inspection. The dealer should reject the condition of the existing 

equipment if it is deemed not operational or if parts were stripped from the 
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existing equipment. Reimbursement of the voucher will be withheld until 

the dealer (or air district) approves of the condition of the existing 

equipment and is delivered to the dealership. 

(9) Ensure the existing equipment is sent to a participating dismantler yard for 

destruction within sixty (60) calendar days of owner delivery to the 

dealership. Immediately notify the air district of the location and date of 

delivery of the existing equipment to the dismantler. 

(B) Application Package: To ensure that an application package is complete, 

the dealer must ensure that all the following items are complete and 

included in the participant’s submission to the air district. An applicant 

checklist is available for participants and dealerships to use (Appendix A). 

The following must be completed before a voucher will be issued: 

(1) Submit a signed and complete application; 

(2) Submit all other applicant-required documentation as listed in these 

guidelines and on the application checklist; 

(3) If required by the air district, inspect and provide documentation showing 

that the existing equipment is operational. The air district may decide to 

conduct the inspections and will notify the dealership of this; and 

(4) Submit digital photographs of the existing equipment to the air district. 

The air district will specify the required format of digital photos as listed on 

the inspection form in Appendix C. Before submitting photographs to the 

air district, dealers must verify that photographs are clear with a minimum 

capture resolution of 640X480. Dealers can submit photos of more than 

one equipment inspection on a disk or other media as long as the pictures 

are clearly labeled. All DOORS EIN (if applicable) and engine serial 

numbers (or alternative engine stamp or tag) must be legible. 

(C) Dealer Reimbursement Package: Prior to receiving reimbursement, the 

dealer must submit a reimbursement package to the air district. 

A checklist is available for the dealers (Appendix J). The following 

documents should be included in the reimbursement package: 

(1) Reimbursement Invoice (Appendix H) should be signed and returned to 

the air district upon receipt; 

(2) Final dealership invoice signed by the applicant that shows the final 

purchase price less the voucher award; 

(3) Receipt of Replacement Voucher (Appendix G) signed by the participant; 
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(4) The original Replacement Voucher (Appendix F); 

(5) Copy of finance documentation (if applicable); 

(6) Copy of replacement equipment warranty; 

(7) Inspection forms and pictures of the existing equipment after it is turned in 

to the dealership as specified in Appendix I; 

(8) Inspection forms and pictures of the replacement equipment as specified 

in Appendix I; 

(9) Location of the dismantler yard where the existing equipment will be 

destroyed; and 

(10) Date the existing equipment is delivered to or picked up by a 

participating dismantler. 

7. Dismantler Requirements

For replacement projects, ARB requires that the existing equipment be destroyed. 

Destruction of the existing equipment chassis and engine permanently removes the 

old, high-emitting equipments from operation. This requirement has been 

established to ensure that emission reductions are real. It prevents the existing 

equipments from being moved into another locale to continue emitting high levels of 

pollutants. Air districts will establish a list of participating dismantlers that existing 

equipment can be delivered to or picked up for destruction. 

A dismantler must enter into an agreement with at least one (1) air district to 

participate in ORVIP. Appendix D lists the terms that must be included in the air 

district/dismantler agreement. The following are requirements for participating 

dismantlers. 

(A) Participating equipment dismantlers are required to meet the following 

requirements in order to participate in the ORVIP and provide verification 

to the air district: 

(1) Have a current, valid California Environmental Protection Agency 

(Cal/EPA) Hazardous Materials Generators Permit; 

(2) Comply with all local, state and federal laws and regulations; 

(3) Owner must have a minimum of one (1) active employee who received 

training by the air district on the requirements of the Program. If a 

dismantler has more than one location, then the dismantler must have at 
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least one (1) active employee trained by the air district at each location 

that will be accepting ORVIP equipment; and 

(4) Have had a valid California business license for a minimum of the last 

two (2) years. 

(B) Funding is not available for the dismantling of any existing equipment. 

(C) The dismantler must agree to do the following: 

(1) Destroy the existing equipment within sixty (60) days of receipt. 

Destruction of the equipment includes completely severing the frame rails 

so that the frame is no longer capable of being used in the equipment; 

(2) Destroy and render useless the existing equipment’s engine within 

sixty (60) days of receipt. A minimum 3-inch diameter hole must be put 

into the engine block; 

(3) The dismantler must notify the air district that equipment is destroyed and 

ready for inspection; and 

(4) The destruction of the engine and equipment must be documented by the 

air district. The air district must verify in-person the equipment 

identification numbers and engine serial number. 
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D. Definitions 

For the purposes of the ORVIP, definitions are as follows: 

Agricultural Tractor: A wheel type vehicle, or track vehicle designed to furnish the 

power to pull, carry, propel, or drive implements that are designed for agriculture. 

Construction Backhoe: A backhoe is powered excavating machine used to cut trenches 

by drawing a boom-mounted bucket through the ground toward the machine. The 

bucket is raised and swung to either side to deposit the excavated material. 

Construction Loader: A loader is a type of tractor, usually wheeled, sometimes on 

tracks, that has a front mounted square wide bucket connected to the end of two booms 

(arms) to scoop up loose material from the ground, such as dirt, sand or gravel, and 

move it from one place to another without pushing the material across the ground. A 

loader is commonly used to move a stockpiled material from ground level and deposit it 

into an awaiting dump truck or into an open trench excavation. 

Construction Tractors: A vehicle specifically designed to deliver a high tractive effort (or 

torque) at slow speeds, for the purposes of hauling a trailer or machinery used in 

construction. 

Dismantler: A place of business whose purpose is to destroy off-road equipment and 

engines that also meet the requirements of section C.7. 

Equipment Components: Any components of an equipment specific to the actual 

vocation of the equipment. This does not include any components that are directly 

related to the propulsion of the equipment, common component of an equipment (i.e. 

steering wheel, seats, etc.) or related to the rigid structure of the tractor. 

Existing Equipment: For replacement projects, the existing equipment is the equipment 

that will be turned in by the applicant for dismantling and destruction. 

Large fleet: A fleet with a total maximum power greater than 5,000 hp. A fleet must 

meet large fleet requirements of the Off-Road Regulations if the total vehicles under 

common ownership or control would be defined as a large fleet. All fleets owned by the 

United States, the State of California, or agencies thereof (i.e., an agency in the judicial, 

legislative, or executive branch of the federal or state government) are considered as a 

unit whole and must meet the large fleet requirements of the Off-Road Regulation 

California Code of Regulations, title 13, section 2449(c). 

Medium fleet: A fleet with total minimum power of greater than 2,500 hp and with a total 

maximum power less than or equal to 5,000 hp. 
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Off-Road Regulation: In-Use Off-Road Diesel Vehicles Regulation (Cal. Code Regs., tit. 

13, § 2449, et seq.). 

Participating Dealership: A dealership that has an agreement with an air district to 

participate in the ORVIP. 

Participating Dismantler: A dismantler that has an agreement with an air district to 

participate in the ORVIP. 

Small Fleets: As defined in the In-Use Off-Road Diesel-Fueled Fleets Regulation 

(California Code of Regulations, title 13, § 2449(c)(25)(C)): “Small Fleet” means a fleet 

with total maximum power of less than or equal to 2,500 hp that is owned by a business, 

non-profit organization, or local municipality, or a local municipality fleet in a low 

population county irrespective of total maximum power, or a non-profit training center 

irrespective of total maximum power, or a captive attainment area fleet irrespective of 

total maximum hp.. 

Uncontrolled Engine: An off-road diesel engine that is manufactured in the following 

years and is not certified to any ARB off-road diesel emission standards or any U.S. 

EPA non-road diesel emission standards, and that has not been retrofitted with a 

VDECS: 

 Pre-1999 (25 to 49 hp) 

 Pre-1998 (50 to 99 hp) 

 Pre-1997 (100 to 174 hp) 

Verified Diesel Emission Control Strategy (VDECS): An emission control strategy 

(retrofit device) that has been verified pursuant to the “Verification Procedure, Warranty 

and In-Use Compliance Requirements for In-Use Strategies to Control Emissions from 

Diesel Engines” per California Code of Regulations, title 13, section 2700, et seq. 
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Off-Road Voucher Incentive Program Equipment Replacement Flow Chart 

APPLICANT DEALER AIR DISTRICT

Visit dealer or air 

district

Applications

Complete 

application

Inspect old equipment 

(Dealer - before application submitted or 

District - after application received)

District - after application received)

Application turned in 

– quick turnaround

 Application 

approved –

provide voucher 

package to dealer 

 Application 

denied – letter to 

applicant

Sign PO or 

invoice

Order or sell 

equipment on lot

Deliver equipment  Turn in old 

equipment –

pick up new 

equipment 

 Signs “receipt of 

voucher”

 Approve 

reimbursement 

package 

 Reimburse dealer

Own, operate, 

and report usage 

of equipment for 

3 years

Funding amounts:

See Appendix O

 Mail usage

surveys annually 

for 3 years

 Maintain records 

for 7 years

 Dismantler yard 

contacted 

 Old equipment 

delivered to 

dismantler for 

destruction

 Compiles dealer 

reimbursement 

package and 

turns into the air 

district
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Appendix A 

 Please print clearly or type all requested information on this application. 

 Submit all supporting documentation listed on the application checklist on pg. 2. 

 Complete one application for each piece of off-road equipment. 

 If the submitted application is incomplete, illegible, or any documentation 

is missing or unclear, the application will be rejected immediately and 

returned to the applicant. 

Eligibility Criteria 

To be eligible for funding in the Off-Road Voucher Incentive Program, projects must 

meet the criteria described in the Off-Road Voucher Incentive Program (ORVIP) 

Guidelines. These criteria include, but are not limited to, the following: 

 Eligible Equipment: Uncontrolled off-road compression ignition equipment with 

engines that are greater than or equal to than 25 horsepower (hp) and less than 

175 hp that meet the following criteria are eligible to participate in the ORVIP: 

o Agricultural tractors that are not currently regulated by an Air Resources 

Board (ARB) in-use regulation. 

o Construction tractors/loaders/backhoes in small fleets that have a total 

fleet hp of 2500 or less, as determined by the In-Use Off-Road DieselFueled Fleets Regulation (Off-Road Regulation). 

o Construction tractors/loaders/backhoes in medium fleets as determined by 

the In-Use Off-Road Diesel-Fueled Fleets Regulation (Off-Road 

Regulation) until December 31, 2013. 

 Eligible Engines: The existing engine must be uncontrolled. Verification must be 

submitted in the application package. Verification can include a picture of the 

model year on the engine plate or written documentation from the manufacturer 

or participating dealer that matches the engine serial number to a particular 

model year. 

 Ownership Requirements: The participant must currently own and operate the 

existing equipment. The participant must be able to provide two (2) items from 

the following documentation list: 

(1) Bill of sale for the existing equipment 

(2) Copy of Diesel Off-road On-line Reporting System (DOORS) registration 

(3) Tax depreciation logs 

(4) Property tax records 

(5) Equipment insurance records 

OFF-ROAD VOUCHER INCENTIVE PROGRAM

Application Package
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(6) Bank appraisals for equipment 

(7) Maintenance/service records 

(8) General ledgers 

 Prior Minimum Usage Requirement: The existing equipment must have met the 

annual usage requirements in Appendix O, during each twelve (12) months for 

the previous twenty-four (24) months. Participants must submit documentation 

verifying usage for the previous twenty-four (24) months for the existing 

equipment. The participant must be able to provide at least one (1) of the 

following types of documentation: 

1. Hour meter reading log collected at minimum of once per year from an 

installed and fully functioning hour meter or 

2. At least two (2) items from the following list proving existing equipment is 

being used by the fleet: 

A. Revenue and usage records that identify operational, standby, and down 

hours for the equipment 

B. Employee timesheets linked to specific equipment use 

C. Preventative maintenance records tied to specific hours of equipment use 

D. Repair work orders specific to the equipment. 

 Operation in California: The existing equipment must have operated at least 

75 percent of the time in California during each twelve (12) month period for the 

previous twenty four (24) months. Applicant certifies this on the application. 

 Applying for Funds: Applicant may only apply for funds through the ORVIP to 

one air district at a time per piece of equipment. Applicant cannot apply for any 

other grant funds to replace this equipment. 

 Replacement Engine hp: The hp rating for the replacement equipment engine 

must not be greater than 125 percent of the original manufacturer rated hp 

(baseline hp) for the existing equipment engine. 

 Two-for-One Equipment Replacements: If an applicant is applying to replace two 

(2) existing equipment with one (1) replacement equipment, then two applications 

and supporting documentation must be submitted. Please specify this on the 

application by checking the Two-for-One Option. 

 The hp rating for the replacement equipment engine must not be greater than 

125 percent of the original manufacturer rated hp (baseline hp) for the lowest 

hp of the two existing equipment engines. 
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Applicant Information

Company: 

Owner: 

Phone: 

FAX: 

Email: 

Option: attach business card

 Applicant Requirements

Completed application (signed & dated in ink)

Copy of two (2) items from ownership document list

Equipment usage documentation (for previous twenty four (24) months)

Hour meter reading records 

Equipment usage documentation for the existing equipment must prove :

selected annual usage for previous twenty four (24) months

Copy of DOORS fleet summary sheet (if applicable)

Inspection Form for the existing equipment signed by a participating dealership or 

air district

Digital photos of the existing equipment 

Verification of existing engine model year from the manufacturer or dealership

Signed and dated quote and specification sheet for the replacement equipment

ARB Executive Order for replacement equipment engine. U.S. EPA Certificate of 

Conformity for federally preempted engines. 

If replacing two existing equipment with one replacement equipment, submit an 

application and the above information for each existing equipment. Check the box 

on the application marked “Two-for-One Option”. 

Replacement equipment engine hp < 125 percent of existing equipment engine.

OFF-ROAD VOUCHER INCENTIVE PROGRAM

Application Checklist

Dealer Information

Dealership: 

Salesperson: 

Phone: 

FAX: 

Email: 

Option: attach business card
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OFF-ROAD VOUCHER INCENTIVE PROGRAM

Application

Date Received:

(For office use only)

Applicant Information 

Owner Name: Company Name: 

Mailing address: 

City: State: Zip Code: 

Physical address:

City: State: Zip Code: 

Owner Email: Owner Phone:

Third Party Information 

This box needs to be filled out if application is completed by anyone being paid to complete the application on the 

owner’s behalf. Dealers do not need to complete this section. 

Third-Party Name: Company Name: 

Mailing address: 

City: State: Zip Code: 

Physical address:

City: State: Zip Code: 

Phone: Email:

Third Party Signature: Date:

Existing Equipment and Engine Information Two-for-One Option 

EQUIPMENT INFORMATION: 

Equipment Make: Equipment Model: Equipment Model 

Year:

DOORS EIN (if applicable): Equipment Serial Number: Date of Manufacture:

Fleet ID: Equipment operational?

Yes No

Engine Information: 

Engine Make: Engine Model: Engine Model 

Year:

Date of 

Manufacture:

Engine Serial Number or Air District ID Number: Engine Horsepower:

Engine operational?

Yes No

Fuel used?

Diesel Other:______
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Replacement Equipment and Engine Information (If Applicable) 

EQUIPMENT INFORMATION: 

Equipment Make: Equipment Model: Equipment Model 

Year:

Equipment Serial Number: Date of Manufacturer:

Equipment operational?

Yes No

Estimated Delivery Date:

Engine Information: 

Engine Make: Engine Model: Engine Model 

Year:

Date of 

Manufacture:

Engine Serial Number: Engine Family Number: Engine Horsepower:

Engine operational?

Yes No

Fuel used?

Diesel Other:______

ARB Executive Order Number 

or U.S. EPA Certificate of 

Conformity Number:

Dealership Information (or attach business card)

Contact Person: Business Name: 

Phone: Address: 

City: State: Zip Code: 
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Operational Area

Using the map below, estimate the percentage of your annual usage that will occur in 

each area. This information is required, but will NOT affect your eligibility or potential 

funding amount.

North Coast: Northeast Plateau:

Lake County: Sacramento Valley:

San Francisco Bay: Mountain Counties:

North Central Coast: Lake Tahoe:

South Central Coast: San Joaquin Valley:

South Coast: Great Basin Valleys:

San Diego County: Mojave Desert:

Outside California: Salton Sea:

Note: The total of all percentages must equal 100.
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By submitting this application, I certify under penalty of perjury that the information on 

this application is accurate and true: 

 I am the owner of the existing equipment; 

 The company is:

o A small fleet with total maximum power of less than or equal to 2,500 hp if 

applying for funding for a tractor/loader/backhoe subject to the Off-Road 

Regulation, or;

o A medium fleet with a total maximum power of between 2,500 and 

5,000 hp if applying for funding for a tractor/loader/backhoe subject to the 

Off-Road Regulation; 

 The information provided in this application and all supporting documentation 

are true and correct and meet the minimum requirements of the ORVIP;

 The existing equipment(s) must have operated at least 75 percent of the time in 

California during each twelve (12) month period for the previous twenty four (24) 

months;

 I understand that I cannot receive additional funding for replacement of that 

same piece of equipment. However, Carl Moyer Program funding for the 

addition of a retrofit for the ORVIP funded replacement may be available through 

the air district;

 The purchase of this low-emission equipment is NOT required by any local, 

state, and/or federal rule or regulation;

 I understand that I must be in compliance and remain in compliance with all 

applicable federal, state, and local air quality rules and regulations;

 I understand that an incomplete or illegible application, or if any required 

documentation is missing, this application will be immediately rejected and 

returned to me;

 I understand that I can reapply for project funding if this application is rejected 

because it was incomplete, illegible, or missing required documentation;

 I understand as an applicant that incentive programs have limited funds and 

shall terminate upon depletion of program funding; 

 I have the legal authority to apply for incentive funding for the entity described in 

this application;

 I understand that ARB, as an intended third party beneficiary reserves the right 

to enforce the terms of ORVIP, at time during the three year voucher term to 

ensure emission reductions are obtained; and

 I agree to the above statements by signing below. 

Owner Signature: Date:

Printed Name: Title:
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Please attach all documentation listed on the application checklist 

Please submit this application to the air district below. If you have any questions in 

completing your application, please contact: 

<Air District Contact Information>
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Appendix B 

OFF-ROAD VOUCHER INCENTIVE PROGRAM 

Air District’s ORVIP Policies and Procedures 

NOTE to AIR DISTRICT: 

The program elements listed do NOT constitute air district’s entire Policies and 

Procedures. This is an addendum to the air district’s already existing Policies and 

Procedures in order to explain how to administer the Off-Road Voucher Incentive 

Program (ORVIP). The terms have been prepared to facilitate the air district’s 

preparation of their ORVIP Policies and Procedures. The air district must ensure the 

intent of the ORVIP Guidelines are met and include the program elements listed below 

into the air district’s ORVIP Policies and Procedures. 

1. PROGRAM APPROVAL

How the air district is obtaining approval to implement the Carl Moyer ORVIP. 

2. SELECTION OF DEALERSHIP 

The processes the air district goes through to solicit and select dealership to 

go into agreement with. 

3. DISMANTLER SELECTION 

The processes the air district goes through to solicit and select dismantlers to 

go into agreement with. 

4. PAYMENT PROCESS 

The option in which the air district chooses to reimburse and issue payment to 

the dealership. There are two options: 

a.) To start the disbursement process as soon as they receive a 

Reimbursement Invoice (Appendix H), OR

b.) To start the disbursement process and issue a check within 

ten (10) business days of receiving a completed Reimbursement 

Package (Appendix J). 

5. DOCUMENTATION 

The method in which the air district chooses to document the activities and 

progress of the ORVIP. 

6. AUDITS 

How the air district chooses to audit and inspect the projects. There are 

two (2) options: 

a.) The air district can choose to do all pre and post-inspections. 

b.) If the air district chooses to have dealerships do the inspections, the air 

district must audit 5 percent of each inspection (pre-inspection, 

post-inspection, and pre-dismantle inspection). The audits should be 

done randomly and occur throughout the implementation timeline of 
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the air district. The air district must outline how they will conduct audits 

in the air district’s ORVIP Policies and Procedures. 

7. DEALER TRAINING 

The air district provides training for the participating dealers on the ORVIP. If 

the air district chooses to have dealers do the inspections, the air district must 

specify the media in which the inspection photographs will be submitted to the 

air district. The air district must work with ARB in coordinating training and 

materials. 

8. DISMANTLER TRAINING 

The air district provides training for the participating dismantlers on the 

ORVIP. 

9. OUTREACH 

The air district establishes an outreach goal for the ORVIP. 
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Appendix C 

OFF-ROAD VOUCHER INCENTIVE PROGRAM 

Dealership Agreement Terms to be included in Master Agreement 

Between the Air District and Dealer 

NOTE to AIR DISTRICT: 

The terms listed do NOT constitute Air District’s entire Agreement; standard Air District 

Agreement language (such as, confidentiality, termination, indemnification, insurance, 

etc.) must be included in conjunction with the items below. The terms have been 

prepared to facilitate the Air Districts preparation of Agreement. The Air District must 

include the terms listed below and supersede any additional terms included by the Air 

District. 

1. The Air District has not reviewed the Dealership’s operations or reached any 

conclusion on the quality of the Dealership’s operations. The Air District is 

permitting the Dealership to enter into this Agreement solely because Dealership 

has represented to the Air District that it is aware of the California Air Resources 

Board Off-Road Voucher Incentive Program (ORVIP) Guidelines (Guidelines) goals, 

and agrees to abide by the Program requirements and Guidelines. 

2. The Air District and Dealership agree that if the California Budget Act of the current 

year and/or any subsequent years covered under this Agreement does not 

appropriate sufficient funds for the ORVIP, this Agreement shall be of no further 

force and effect. In this event the State shall have no liability to pay any funds 

whatsoever to the Air District and Dealership or to furnish any other considerations 

under this Agreement. 

3. Payment: The Air District will not pay or otherwise directly reimburse or compensate 

in any way the Dealership for its services rendered in keeping with this Agreement, 

but the benefit received by Dealership under this Agreement is the opportunity to 

participate in the ORVIP, which includes the corresponding opportunity for the 

Dealership to profit from the sale of equipments to ORVIP Participants. 

4. Reduction in Equipment Purchase Price: The dealership should show the voucher 

amount on the replacement equipment invoice. This amount should not reduce the 

sales price of the equipment but should reduce the amount the participant will pay 

for the equipment. The receipt of voucher funds does not lower the base price of the 

equipment and does not reduce the tax basis of the equipment. 

5. Voucher Payment: The Dealership will be reimbursed by the Air District for the 

voucher amount once the Dealership submits a complete Reimbursement Package 

to Air District as outlined in the Guidelines and in this Agreement. 

6. Dealership Obligations: The Dealership agrees to provide general information to 

Program participants about the Program. The Air District will provide training to 

Dealership staff. The Dealership agrees to assist ORVIP participants to correctly 
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complete and submit the Application Package to the Air District. It is important to 

verify that all information is filled out correctly and that the participant understands 

the Program. 

a. Before the Air District may approve a voucher, an Application Package 

must be completed and submitted to the Air District. The Application 

Package must include all required documentation as outlined in the 

ORVIP Guidelines. 

b. After the Air District notifies the Dealership of application approval, the 

Dealership will order the replacement equipment with an eligible engine, 

as specified in the Guidelines, and have the replacement equipment

delivered to the Dealership. 

c. Within thirty (30) days after the owner delivers the existing equipment and 

original, signed title to the Dealership, the Dealership must ensure the 

existing equipment is sent to a participating dismantler for destruction. 

The Air District will provide a list of participating dismantlers to the 

Dealership. 

7. Dealership Qualifications: Dealership warrants that it meets the following minimum 

qualifications for participation in the ORVIP, and will continue to meet these 

qualifications throughout its participation in the ORVIP. 

a. Dealership has had a valid business license in California for a minimum of 

the last two (2) years. 

b. Dealership maintains a minimum of one (1) employee that has 

successfully completed the training by the Air District regarding the terms, 

conditions and requirements of the Program. If a participating dealership 

maintains more than one location for equipment sales, then each location 

must have at least one employee trained on the ORVIP. Language must 

be included in the dealership agreement requiring each location have at 

least one employee is trained on the ORVIP. 

c. Dealership agrees to allow the Air District or Air Resources Board (ARB) 

to inspect equipment or audit program records covered under this 

Agreement during normal business hours. 

8. Inspections: Inspections described below require inspection forms be completed and 

photographs taken to document equipment and engine. Specific requirements are 

outlined in the Guidelines. 

a. All inspections except for the dismantle inspection may be conducted by 

an authorized Dealership. If the Air District requests the Dealership to 

conduct an inspection, then the inspection must be conducted as follows: 
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1. Pre-Inspection: Submit completed inspection form and photos to 

Air District with the application 

2. Post-Inspection: Submit completed inspection form and photos to 

Air District with Dealer Reimbursement Package (Appendix J) 

3. Pre-Dismantle: Submit completed inspection form and photos to 

Air District with Dealer Reimbursement Package (Appendix J) 

a. If the Air District conducts inspections, then inspections must be 

conducted in accordance with the ORVIP Guidelines. 

9. Dealership Reimbursement: Dealership must submit a Reimbursement Package to 

the Air District. A description of documents in the Reimbursement Package is listed 

in the Guidelines. The Reimbursement Package must include: 

a. Reimbursement Invoice (Appendix H) should be signed and returned to 

the air district upon receipt; 

b. Final dealership invoice signed by the applicant that shows the final 

purchase price less the voucher award; 

c. Receipt of Voucher (Appendix G) signed by the participant; 

d. The original Voucher (Appendix F); 

e. Copy of DOORS registration (if applicable); 

f. Copy of finance documentation (if applicable); 

g. Copy of replacement equipment warranty information; 

h. Inspection forms and pictures of the existing equipment after it is turned in 

to the dealership as specified in Appendix I; 

i. Inspection forms and pictures of the replacement equipment as specified 

in Appendix I; 

j. Location of the dismantler yard where the existing equipment will be 

destroyed; and 

k. Date the existing equipment is delivered to or picked up by a participating 

dismantler. 

10. Noncompliance: Noncompliance with this Agreement or Guidelines, includes, but is 

not limited to canceling the Agreement and recapturing voucher funds. ARB and the 

Air District may disqualify Dealership from ORVIP participation and seek other 

remedies as available under the law for noncompliance with this Agreement or 

ORVIP requirements. 
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Appendix D 

OFF-ROAD VOUCHER INCENTIVE PROGRAM 

Dismantler Agreement Terms to be Included in Master Agreement 

Between the Air District and Dismantler Owner 

NOTE to AIR DISTRICT: 

The terms listed do NOT constitute Air District’s entire Agreement; standard Air District 

Agreement language (such as, confidentiality, termination, indemnification, insurance, 

etc.) must be included in conjunction with the items below. The terms have been 

prepared to facilitate the Air Districts preparation of Agreement. The Air District must 

include the terms listed below that would supersede any additional terms included by 

the Air District. 

1. The Air District has not reviewed the Owner’s operations or reached any 

conclusion on the quality of the operations. The Air District is allowing the Owner 

to enter into this Agreement solely because the Owner has represented to the Air 

District that it is aware of the Air Resources Board Off-Road Voucher Incentive 

Program (ORVIP) Guidelines (Guidelines) goals, and agrees to abide by the 

ORVIP requirements and Guidelines. 

2. The Air District and Dismantler agree that if the California Budget Act of the 

current year and/or any subsequent years covered under this Agreement does 

not appropriate sufficient funds for the ORVIP, this Agreement shall be of no 

further force and effect. In this event the State shall have no liability to pay any 

funds whatsoever to the Air District and Dismantler or to furnish any other 

considerations under this Agreement. 

 

3. Payment: Owner will not be paid or otherwise reimbursed directly by the Air 

District or ARB. Rather, the benefit received by Owner under this Agreement is 

the opportunity to participate in the ORVIP, which carries the corresponding 

opportunity to profit through the receipt – for cash or free – of materials that 

Owner will dismantler with the intent to make a profit. Funding is not available 

from the Air District through this Agreement for any dismantler or material costs, 

including hazardous waste abatement fees, labor costs, fines, permits, or other 

charges resulting from destruction or disposal. 

4. Owner Obligation: The Owner must comply with the following requirements in 

accordance with the Guidelines, and submit certification to the Air District 

verifying that the requirements have been met. Within sixty (60) calendar days of 

receiving equipment under this Agreement, Owner will: 

a. Destroy equipment and render it physically useless; and 

 

b. Notify the Air District when the equipment (chassis and engine) has been 

properly destroyed and schedule a destruction inspection with Air District; 

and
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c. The dismantler must provide verification that the equipment no longer 

operational. Documentation must include clear photographs of the 

destroyed engine block and cut frame rails. In addition, the following 

picture views must be taken: 

1. Equipment serial number 

2. Engine side view. 

3. Engine serial number either stamped on the block or on the tag. 

4. Destroyed engine block either in-frame or out of frame as specified 

in the program criteria. 

5. Cut structural components 

6. Destroyed attachments, if scrapped 

7. Other views dependent on the method of equipment destruction 

5. Owner Qualifications: Owner warrants that it meets the following minimum 

qualifications for participating in the ORVIP, and will continue to meet these 

qualifications throughout its participation in the ORVIP. Owner must provide 

written proof that it meets the following qualifications within forty-eight (48) hours 

if requested by Air District staff. 

a. Owner must have a current, valid Dismantler’s license issued by the 

California Department of Motor Vehicles. 

b. Owner has a current, valid California Environmental Protection Agency 

Hazardous Material Generator and Storage Permit. 

c. Owner must be in compliance with all local, State, and federal regulations, 

permits and requirements. 

d. Owner must have a minimum of one (1) active employee who received 

training by the Air District on the requirements of the ORVIP. If a 

dismantler has more than one location, then the dismantler must have at 

least one (1) active employee trained by the Air District at each location 

that will be accepting ORVIP equipment. 

e. Dismantler has had a valid business license issued in California for a 

minimum of the last two (2) years. 

6. Dismantler Inspection: Once the Air District is notified, a dismantler inspection 

will be scheduled and photos documenting the destruction of the engine will be 

taken in accordance with the Guidelines. Owner shall not move the equipment 

off of their property or part out an equipment until a dismantler inspection by the 

Air District has been performed and given approval by the Air District. 

 
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7. Use of Engine or Equipment Pending Destruction: Owner may not use or permit 

the use of, the engines or equipments, except use necessary to move it for 

destruction or storage. 

8. Compliance: Because the prompt destruction of equipment and engines is one of 

the critical components of the ORVIP, and the parties agree that it will be difficult 

to determine the monetary damages arising from Owner’s breach of the 

requirement to destroy the existing equipment within sixty (60) days, Owner 

agrees that if it fails to destroy the engine and equipment within the 60-day 

period, it will pay the Air District up to $500 per day until the engine and 

equipment is destroyed and provide verification that the equipment is no longer 

operational. Owner may request that the Air District extend the 60-day period, 

and the Air District will not unreasonably withhold its approval of the extension 

request. Only written extensions are effective. Owner will not generally be eligible 

for an extension if the cause of the delay was within its control. 

9. Noncompliance: Noncompliance with this Agreement or Guidelines, includes, but 

is not limited to canceling the Agreement and recapturing voucher funds. ARB 

and the Air District may disqualify Dismantler from ORVIP participation and seek 

other remedies as available under the law for noncompliance with this 

Agreement or Program requirements. 
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Appendix E 

Owner: __________________________________ Approved Rejected

Company: ________________________________ Voucher # _________

Dealership:_________________________ Voucher Amount: $_________

Submittal Date: ____________________________ Expiration date:____________

Verify that the following information/documents are included in the application. Use 

back side of checklist for additional comments if necessary. 

Existing Equipment Requirements 

 Verification that engine that meets the current model year California emission 

standards or the current model year U.S. EPA emission standards if it is a federally 

preempted engine 

 Equipment is diesel fueled 

 Existing equipment has an uncontrolled engine 

 If the applicant chose the Two-for-One Option, both existing equipment meet all 

requirements of the ORVIP (replacement projects only) 

Documentation Requirements 

 Application complete, signed and dated – original application (with wet signature) 

 Copy of two (2) items from ownership document list 

 Copy of DOORS fleet summary sheet (if applicable) 

 Documentation of a minimum of twenty four (24) months of existing equipment 

usage. Specific equipment identified in documentation: 

 Meets the selected annual usage in Appendix O for previous twenty four (24) 

months 

 Signed quote and specifications sheet for the replacement equipment (with date and 

price) 

 Delivery date is listed and included on the voucher 

 Voucher amount is reduced from quote 

 Owner is listed as buyer 

 Replacement Projects: ARB Executive Order for the replacement engine, which 

demonstrates the engine is meeting current model year California emission 

standards or current model year U.S. EPA emission standards if it is a federally 

preempted engine. 

Existing Equipment Inspection Requirements 

 Signed inspection form of the existing equipment from either the dealer or the Air 

District 

 Existing equipment is operational – clear evidence has been provided 

OFF-ROAD VOUCHER INCENTIVE PROGRAM

Air District Review Checklist: Initial Review
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 Digital photos taken at the inspection of the existing equipment are legible 

 Digital photo information for existing equipment/engine make, MY, DOORS EIN (if 

available), serial number matches application information. The photos of the engine 

should help verify application information. If no engine tag is available, a print out of 

the engine specifications will suffice. 

Air District Requirements 

 Issue voucher for 

 Funding year: _______ 

 Existing engine model year: _______ 

 Annual usage: _______ 

 Replacements - new: _______ 

 Voucher Amount: _______ 
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 The following application form fields are mandatory and must be filled in completely 

before the application may be approved. 

Applicant Information:

 Owner Name

 Mailing Address (including City, State, Zip)

 Physical Address (if different from mailing)

 Owner Phone

 DOORS ID of fleet (if applicable)

Third Party Information:

 Third-Party Name

 Mailing address (including City, State, Zip)

 Physical Address (if different from mailing)

 Phone

 Third Party Signature & Date

 Only required if a paid party other than the 

 dealership completes the application

Existing Equipment and Engine Information:

 Equipment Make

 Equipment Model

 Equipment Model Year

 DOORS EIN (if applicable)

 Equipment Serial Number

 Equipment Operational

 Engine Make

 Engine Model

 Engine Model Year

 Engine Serial Number / Engine Block Stamp or 

Alternative Tag (if engine serial number is not 

available)

 Engine Family Number

 Engine Operational

 Fuel Used

Replacement Equipment and Engine 

Information:

(Replacement Projects Only)

 Equipment Make

 Equipment Model

 Equipment Model Year

 DOORS EIN (if applicable)

 Engine Make

 Engine Model

 Engine Model Year

 Engine Family Number

 Engine operational

 Fuel used

 ARB Executive Order Number or U.S. EPA 

Certificate of Conformity Number

Dealership Information:

All fields must be filled out or a business card must 

be attached

Inspection Forms: all applicable forms must be 

filled in based on the information required above for 

the existing and replacement equipments. 

Applicant Recitals

Owner must sign and date application

 If rejected, letter sent to applicant and the dealer was carbon copied 

Reason(s) for rejection: 

 ___________________________________________ 

 ___________________________________________ 

 If approved, voucher package sent to dealer on (date):________________________ 

Air District Staff (print name): ___________________ Date Reviewed: __________ 
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Appendix F 

Congratulations! You have been approved to receive funding through the Off-Road 

Voucher Incentive Program (ORVIP). This voucher is redeemable for the purchase of 

the replacement equipment listed below. Redemption of this voucher must be 

completed at the dealership listed below. 

Owner: please confirm the following information and sign in the first section. 

Air District: _______________________ 

Voucher Number: __________________ 

Voucher Amount: $_________________ 

ARB, as an intended third party beneficiary, reserves the right to enforce the terms of the ORVIP at any 

time during the three year voucher term to ensure emission reductions are obtained.

Recipient Information Dealership Information

Owner: Dealership Name: 

Address: Address: 

City, State, Zip: City, State, Zip: 

Phone: Phone: 

Accept: Decline: 

Owner Signature: Date:

Replacement Equipment Information Engine Information

Make: Make: 

Model: Model: 

Model Year: Model Year: 

DOORS EIN (if applicable): Engine Family Number:

Serial Number: Serial Number:

Engine Horsepower:

U.S. EPA Certificate of Conformity 

Number or ARB Executive Order Number:

OFF-ROAD VOUCHER INCENTIVE PROGRAM

Replacement Voucher
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 To be eligible to redeem this voucher, the participant must purchase and take 

delivery of the replacement equipment within thirty (30) days of <Date> or by 

the delivery date of <Date>, whichever is later. The participant must also 

deliver the existing equipment in similar condition to the pre-inspection to the 

dealership prior to taking ownership of the replacement equipment. 

By signing, I validate the issuance of this voucher in accordance with the ORVIP. 

Signature of Air District Representative: ________________ Date: _____________ 

Printed Name: ____________________ 

Address: ________________________ 

City, State, Zip: ___________________ 

Phone Number: __________________ 
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Appendix G 

Air District: ___________________ Voucher Number: _____________ 

Address: ______________________ Voucher Amount: $____________

Phone Number: _________________ 

Recipient Information

Owner: 

Address: 

City, State, Zip: 

Phone: 

Replacement Equipment Dealership Information

Make: Dealership Name: 

Model: Address: 

Model Year: City, State, Zip: 

Serial Number: Phone:

EIN (if applicable):

As an applicant of the Carl Moyer Off-Road Voucher Incentive Program (ORVIP), 

I agree to: 

 For participants that applied for and received funding on equipment subject to the Off-Road 

Regulation, register the replacement equipment in DOORS database. 

 Provide the DOORS EIN for the replacement equipment no later than at the post-inspection of 

the replacement equipment. 

 Own and operate this equipment at least 75 percent of the time within California for a minimum 

thirty-six (36) from the date of purchase. 

 Notify the air district if there is a change in ownership over the next (36) months. 

 Return annual usage surveys, as requested by the air district. 

 Never modify the emission control system or the engine. 

 Be available for a follow up inspection by the air district or Air Resources Board, if requested. 

 Pay back all incentive funds if one or more of the above terms are not met. 

 I cannot receive additional funding for the replacement of that same piece of equipment. 

However, Carl Moyer Program funding for the addition of a retrofit for the ORVIP funded 

replacement may be available through the air district. 

 ARB, as an intended third party beneficiary, reserves the right to enforce the terms of ORVIP, at 

any time during the three year voucher term to ensure emission reductions are obtained. 

I certify under penalty of perjury that the information provided is accurate 

Signature of Participant: _________________________ Date: _____________ 

Name of Participant: ____________________________ 

Original to Air District, Copy to Participant 

OFF-ROAD VOUCHER INCENTIVE PROGRAM

Receipt of Replacement Voucher
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Appendix H 

Date: 

Dealership Information

Business Name: 

Address: 

City, State, Zip: 

Phone: 

Federal Tax ID Number: 

Please reimburse <Dealer Name> for <$0.00> for the voucher number _______. 

A complete reimbursement package will be turned in at the time of payment. 

Thank you. 

Name: ______________________________ 

Signature: ___________________________ 

Date: ______________________ 

OFF-ROAD VOUCHER INCENTIVE PROGRAM

Reimbursement Invoice
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Appendix I 

Type of Inspection: 

Existing Equipment: Pre-Inspection Pre-Dismantle Dismantle

Post-Inspection: Replacement Equipment Post-Inspection

Legible Pictures: Yes No

Applicant Information 

COMPANY NAME: INSPECTION LOCATION:

Owner Name: 

Address: 

City, State, Zip: 

Phone No: 

Equipment and Engine Information 

EXISTING EQUIPMENT REPLACEMENT EQUIPMENT

EQUIPMENT INFORMATION: 

Equipment Make: Equipment Model: Equipment Model 

Year:

DOORS EIN (if applicable): Equipment Serial 

Number:

Date of Manufacture:

Fleet ID: Hour Meter 

Reading:

Equipment operational?

Yes No

Engine Information: 

Engine Make: Engine Model: Engine Model 

Year:

Date of 

Manufacture:

Engine Serial Number or Air District ID Number: Engine Horsepower:

Engine operational?

Yes No

Fuel used?

Diesel Other: 

Engine Family Number:

OFF-ROAD VOUCHER INCENTIVE PROGRAM

Inspection Form
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For Pre-Dismantler Inspection ONLY, Specify 

DISMANTLER: CONTACT NAME: PHONE:

Engine operational?

Yes No

For Dismantler Inspection ONLY, Specify 

DISMANTLER: CONTACT NAME: PHONE:

Frame Rails Cut?

Yes No

Engine Destroyed? 

Yes No

Comments: 

I certify under penalty of perjury that: (1) the information provided above is accurate, (2) 

the pictures are of the inspected equipment (3) the pictures clearly depict the inspected 

equipment, and (4) that I understand that this inspection form is incorporated in the 

agreement with the <air district>. 

Signature: Date:

Authorized Name: 

Air District / Dealership: 

Address:

City, State, Zip: 

Phone No: 
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Required Photographs 

o Digital photos should be clear images with a minimum of 640x480 capture resolution. 

The Air District will specify the digital media required to save the pictures on. 

o If applicable to the equipment, the DOORS EIN is not required to be 

photographed at the post inspection, but the EIN will need to be obtained by the 

post inspection.

(check the boxes/circles of pictures taken) 

Pre-inspection of existing equipment Post inspection of replacement 

equipment

 Equipment from left side

 Equipment from right side

 Equipment from front

 Equipment from back

 DOORS EIN (if applicable)

 Equipment serial number

 Engine tag (if available)*

o Engine make

o Engine model

o Engine serial number

o Engine family number

 Picture(s) of equipment

 Equipment serial number

 Engine tag 

o Engine make

o Engine model

o Engine serial number

o Engine family number

Pre-Dismantler inspection of existing 

equipment

Dismantler inspection of existing 

equipment

 Equipment from left side

 Equipment from right side

 Equipment from front

 Equipment from back

 Equipment serial number

 Engine tag (if available)*

o Engine make

o Engine model

o Engine serial number

o Engine family number

 Picture(s) of equipment

 Equipment serial number

 Engine tag (if available)*

o Engine make

o Engine model

o Engine serial number

o Engine family number

 Cut in frame rails

 Hole in engine block (at least 3 

inches wide)

*If engine tag is missing, a picture of the engine serial number stamped on the engine 

block must be submitted 
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Appendix J 

Participant Name: _________________________ Date: ______________________ 

Voucher Number: _________________________ Voucher Amount: ____________ 

Checklist for Replacement Projects 

 Documents included in Dealer Reimbursement Package

Dealer Reimbursement Invoice (original) – signed by dealership

Final replacement equipment purchase invoice

Receipt of Voucher (original) – signed by the participant

Voucher (original)

Copy of replacement equipment financing documentation (if applicable)

Copy of the replacement equipment warranty

Inspection forms and digital photos for existing equipment ready for dismantler

Inspection forms and digital photos for replacement equipment

Location of dismantler yard where the existing equipment will be destroyed

Date the existing equipment is delivered to or picked up by a dismantler

Dealership Business Name: _____________________________________ 

Contact Person: _____________________________________ 

Phone Number: _____________________________________ 

OFF-ROAD VOUCHER INCENTIVE PROGRAM

Reimbursement Package Checklist
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Appendix K 

Date 

Name 

Company 

Address 

City, State, Zip 

RE: Application Rejected: Off-Road Voucher Incentive Program 

Dear Name: 

Thank you for submitting an application to the <Air District’s> Off-Road Voucher 

Incentive Program (ORVIP). Your application was reviewed and found to be incomplete 

and/or not meeting the requirements of the program. The application was rejected 

because: 

The applicant did not meet the following ORVIP criteria listed in the guidelines

 

The application package was incomplete. The following information was not 

included in the application: 

 

If your application was incomplete, you can re-apply to the ORVIP. If you wish to do so, 

you should re-apply by submitting a completed application. 

If you have any questions, please contact <insert contact> at <insert phone> or <insert 

email>. 

Sincerely, 

<Name> 

<Title> 

cc: Dealership 

Attachment: Application Package 
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Appendix L 

Applicant: Company (if any): Dealer:

Voucher Number: Voucher Amount: Submittal Date:

Verify the following information in the reimbursement package: 

 Applicant information matches application 

 Voucher number is correct 

 Voucher amount is correct 

 Replacement equipment information matches application, quote information, and 

ORVIP requirements. 

 Invoice correctly shows the final price less the voucher amount 

Verify that the following documents are included in the reimbursement package: 

 Reimbursement invoice 

 Receipt of Replacement Voucher signed by the applicant 

 Original Replacement Voucher 

 Financing information, if equipment was financed 

 Warranty information 

 Completed final invoice, signed and dated by the applicant 

 Copy of two (2) items from ownership document list 

 Inspection Forms and photos of the replacement equipment 

Replacement Projects Only: 

 Inspection forms and photos of the replaced equipment in dealership custody 

 Copy of two (2) items from ownership document list 

Reimbursement approved?  Yes  No 

Comments (Use back side of checklist for additional comments if necessary): 

Funding Date: _________________ Check Number:____________ 

Copy of check in project folder 

Air District Staff (print name):___________________ Date Reviewed:______________ 

OFF-ROAD VOUCHER INCENTIVE PROGRAM

Air District Payment Review Checklist
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Appendix M 

July 17, 2014 

Salesperson 

Dealership 

Address 

City, State, Zip 

RE: Reimbursement Package Rejection Letter: Voucher Number #______ 

Dear Salesperson: 

Thank you for your participation in the Off-Road Voucher Incentive Program (ORVIP). 

Unfortunately, the reimbursement package submitted for Voucher Number #______ 

was reviewed and found to be incomplete and/or not meeting the requirements of the 

program. The package was rejected because: 

The reimbursement package did not meet the following ORVIP criteria listed in the 

guidelines

 

The reimbursement package was incomplete. The following information was not 

included in the package: 

 

If your reimbursement package was incomplete, please re-submit the entire 

reimbursement package including the missing documentation. If your reimbursement 

package did not meet the criteria of the program, please contact air district staff 

immediately for further explanation. 

If you have any questions, please contact <insert contact> at <insert phone> or <insert 

email>. 

Sincerely, 

Name 

Title 

Air District 

Phone Number 

Attachment: Reimbursement Package
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Appendix N 

Thank you for participating in the Carl Moyer Off-Road Voucher Incentive Program. 

Please fill out this usage survey and return to the address below within 5 business days. 

Participant Information: Equipment Information: 

Name: _________________________ Make: _____________________ 

Address:________________________ Model/Year: _____________________ 

 ________________________ DOORS EIN (if applicable):__________ 

 Serial Number: ___________________ 

I still own the equipment and have (please print legibly): 

 operated ________ hours in California in 20__; 

The hour meter reading is: 

I operated the equipment about ______% of the time in California in 20__. 

I certify under penalty of perjury that the 

information provided above is accurate and true. 

Signature: ____________________ 

Name: _______________________ 

Date: _______________________ 

OFF-ROAD VOUCHER INCENTIVE PROGRAM

Usage Survey

●

Using the map at right, estimate the percentage of your 

usage that occurred in each area.

North Coast: Northeast Plateau:

Lake County: Sacramento Valley:

San Francisco Bay: Mountain Counties:

North Central Coast: Lake Tahoe:

South Central Coast: San Joaquin Valley:

South Coast: Great Basin Valleys:

San Diego County: Mojave Desert:

Outside California: Salton Sea:

Note: The total of all percentages must equal 100.

Return survey to:

________________________

________________________

________________________
As of 7/11/14 55 of 60 OFF-ROAD 

 VOUCHER INCENTIVE PROGRAM 

Appendix O 

Off-Road VIP Funding Matrixes 

VIP Replacement Funding Matrix

Construction Tractor/Loader/Backhoe 

25-49 Horsepower 50-74 Horsepower

Minimum 

Annual 

Usage 

(Hours)

Tier 4

Interim

Tier 4 

Final Tier 3

Tier 4

Interim

Tier 4 

Final

400

500 $2,500 $5,000 $5,500

600 $2,500 $3,500 $5,000 $6,000 $6,500

700 $3,000 $4,000 $6,000 $7,000 $8,000

800 $3,000 $4,500 $7,000 $8,000 $9,000

900 $3,500 $5,000 $8,000 $9,000 $10,000

1000 $4,000 $5,500 $8,500 $10,000 $11,500

1100 $4,500 $6,000 $9,500 $11,000 $12,500

1200 $5,000 $7,000 $10,500 $12,000 $13,500

1300 $5,500 $7,500 $11,500 $13,000 $14,500

1400 $6,000 $8,000 $12,000 $14,000 $16,000

1500 $6,500 $8,500 $13,000 $15,000 $17,000

1600 $6,500 $9,000 $14,000 $16,000 $18,000

1700 $7,000 $9,500 $15,000 $17,000 $19,500

1800 $7,500 $10,000 $16,000 $18,000 $20,000

1900 $8,000 $10,000 $16,500 $19,000 $20,000

2000 $8,500 $10,000 $17,500 $20,000 $20,000

2100 $9,000 $10,000 $18,500 $20,000 $20,000

2200 $9,500 $10,000 $19,500 $20,000 $20,000

 2300+ $10,000 $10,000 $20,000 $20,000 $20,000
As of 7/11/14 56 of 60 OFF-ROAD 

 VOUCHER INCENTIVE PROGRAM 

VIP Replacement Funding Matrix – Construction Tractor/Loader/Backhoe 

75-99 Horsepower 100-124 Horsepower

Minimum 

Annual 

Usage 

(Hours)

Tier 3

Tier 4 

Phase 

Out

Tier 4 

Phase-In 

or 

Alternate 

NOx

Tier 4 

Final Tier 3

Tier 4 

Phase 

Out

Tier 4 

Phase-In 

or 

Alternate 

NOx

Tier 4 

Final

400 $7,500 $10,500

500 $8,500 $8,500 $9,500 $10,000 $11,500 $11,500 $13,000

600 $8,000 $10,000 $10,500 $11,500 $12,000 $14,000 $14,000 $15,500

700 $9,000 $12,000 $12,500 $13,500 $14,000 $16,500 $16,500 $18,500

800 $10,500 $13,500 $14,000 $15,500 $16,500 $18,500 $19,000 $21,000

900 $12,000 $15,500 $16,000 $17,500 $18,500 $21,000 $21,500 $23,500

1000 $13,000 $17,000 $17,500 $19,500 $20,500 $23,500 $23,500 $26,500

1100 $14,500 $18,500 $19,500 $21,500 $22,500 $25,500 $26,000 $29,000

1200 $16,000 $20,500 $21,500 $23,500 $24,500 $28,000 $28,500 $31,500

1300 $17,000 $22,000 $23,000 $25,500 $26,500 $30,500 $31,000 $34,500

1400 $18,500 $24,000 $25,000 $27,500 $28,500 $33,000 $33,500 $37,000

1500 $20,000 $25,500 $26,500 $29,500 $31,000 $35,000 $35,500 $39,500

1600 $21,000 $27,500 $28,500 $30,000 $33,000 $37,500 $38,000 $40,000

1700 $22,500 $29,000 $30,000 $30,000 $35,000 $40,000 $40,000 $40,000

1800 $24,000 $30,000 $30,000 $30,000 $37,000 $40,000 $40,000 $40,000

1900 $25,000 $30,000 $30,000 $30,000 $39,000 $40,000 $40,000 $40,000

2000 $26,500 $30,000 $30,000 $30,000 $40,000 $40,000 $40,000 $40,000

2100 $28,000 $30,000 $30,000 $30,000 $40,000 $40,000 $40,000 $40,000

2200 $29,000 $30,000 $30,000 $30,000 $40,000 $40,000 $40,000 $40,000

 2300+ $30,000 $30,000 $30,000 $30,000 $40,000 $40,000 $40,000 $40,000
As of 7/11/14 57 of 60 OFF-ROAD 

 VOUCHER INCENTIVE PROGRAM 

VIP Replacement Funding Matrix – Construction Tractor/Loader/Backhoe 

125-149 Horsepower 150-174 Horsepower

Minimum 

Annual 

Usage 

(Hours)

Tier 3

Tier 4 

Phase 

Out

Tier 4 

Phase-In 

or 

Alternate 

NOx

Tier 4 

Final Tier 3

Tier 4 

Phase 

Out

Tier 4 

Phase-In 

or 

Alternate 

NOx

Tier 4 

Final

400 $11,000

500 $10,000 $10,000 $11,500 $12,000 $12,000 $14,000

600 $12,000 $12,000 $14,000 $11,500 $14,000 $14,500 $17,000

700 $11,000 $14,000 $14,000 $16,500 $13,500 $16,500 $17,000 $19,500

800 $13,000 $16,000 $16,000 $19,000 $15,500 $19,000 $19,500 $22,500

900 $14,500 $18,000 $18,000 $21,000 $17,500 $21,500 $22,000 $25,500

1000 $16,000 $20,000 $20,000 $23,500 $19,500 $24,000 $24,500 $28,500

1100 $17,500 $22,000 $22,000 $26,000 $21,500 $26,000 $26,500 $31,000

1200 $19,500 $24,000 $24,500 $28,500 $23,500 $28,500 $29,000 $34,000

1300 $21,000 $26,000 $26,500 $30,500 $25,000 $31,000 $31,500 $37,000

1400 $22,500 $28,000 $28,500 $33,000 $27,000 $33,500 $34,000 $39,500

1500 $24,000 $30,000 $30,500 $35,500 $29,000 $36,000 $36,500 $42,500

1600 $26,000 $32,000 $32,500 $38,000 $31,000 $38,000 $39,000 $45,500

1700 $27,500 $34,000 $34,500 $40,000 $33,000 $40,500 $41,500 $48,000

1800 $29,000 $36,000 $36,500 $42,500 $35,000 $43,000 $44,000 $51,000

1900 $31,000 $38,000 $38,500 $45,000 $37,000 $45,500 $46,500 $54,000

2000 $32,500 $40,000 $40,500 $47,500 $39,000 $48,000 $49,000 $57,000

2100 $34,000 $42,000 $42,500 $49,500 $41,000 $50,000 $51,000 $59,500

2200 $35,500 $44,000 $44,500 $50,000 $43,000 $52,500 $53,500 $60,000

2300 $37,500 $46,000 $46,500 $50,000 $45,000 $55,000 $56,000 $60,000

2400 $39,000 $48,000 $49,000 $50,000 $47,000 $57,500 $58,500 $60,000

2500 $40,500 $50,000 $50,000 $50,000 $48,500 $60,000 $60,000 $60,000

2600 $42,000 $50,000 $50,000 $50,000 $50,500 $60,000 $60,000 $60,000

2700 $44,000 $50,000 $50,000 $50,000 $52,500 $60,000 $60,000 $60,000

2800 $45,500 $50,000 $50,000 $50,000 $54,500 $60,000 $60,000 $60,000

2900 $47,000 $50,000 $50,000 $50,000 $56,500 $60,000 $60,000 $60,000

3000 $48,500 $50,000 $50,000 $50,000 $58,500 $60,000 $60,000 $60,000

 3100+ $50,000 $50,000 $50,000 $50,000 $60,000 $60,000 $60,000 $60,000
As of 7/11/14 58 of 60 OFF-ROAD 

 VOUCHER INCENTIVE PROGRAM 

VIP Replacement Funding Matrix – Agricultural Tractor

25-49 Horsepower 50-74 Horsepower

Minimum 

Annual 

Usage 

(Hours) Tier 4

Interim

Tier 4 

Final Tier 3

Tier 4

Interim

Tier 4 

Final

200 $2,000 $4,000

300 $2,000 $3,000 $5,000 $5,500 $6,500

400 $3,000 $4,000 $6,500 $7,500 $8,500

500 $4,000 $5,500 $8,000 $9,000 $10,500

600 $4,500 $6,500 $10,000 $11,000 $13,000

700 $5,500 $7,500 $11,500 $13,000 $15,000

800 $6,500 $7,500 $13,000 $15,000 $15,000

900 $7,000 $7,500 $15,000 $15,000 $15,000

 1000+ $7,500 $7,500 $15,000 $15,000 $15,000
As of 7/11/14 59 of 60 OFF-ROAD 

 VOUCHER INCENTIVE PROGRAM 

VIP Replacement Funding Matrix – Agricultural Tractor

75-99 Horsepower 100-124 Horsepower

Minimum 

Annual 

Usage 

(Hours)

Tier 3

Tier 4 

Phase 

Out

Tier 4 

Phase-In 

or 

Alternate 

NOx

Tier 4 

Final Tier 3

Tier 4 

Phase 

Out

Tier 4 

Phase-In 

or 

Alternate 

NOx

Tier 4 

Final

200 $5,000 $6,500 $6,500 $7,500 $8,500 $9,000 $10,000

300 $7,500 $9,500 $10,000 $11,000 $11,500 $13,000 $13,500 $15,000

400 $10,000 $13,000 $13,500 $15,000 $15,500 $17,500 $18,000 $20,000

500 $12,500 $16,000 $16,500 $18,500 $19,500 $22,000 $22,500 $25,000

600 $15,000 $19,500 $20,000 $22,500 $23,000 $26,500 $27,000 $30,000

700 $17,500 $22,500 $22,500 $22,500 $27,000 $30,000 $30,000 $30,000

800 $20,000 $22,500 $22,500 $22,500 $31,000 $30,000 $30,000 $30,000

900+ $22,500 $22,500 $22,500 $22,500 $31,000 $30,000 $30,000 $30,000
As of 7/11/14 60 of 60 OFF-ROAD 

 VOUCHER INCENTIVE PROGRAM 

VIP Replacement Funding Matrix – Agricultural Tractor

125-149 Horsepower 150-174 Horsepower

Minimum 

Annual 

Usage 

(Hours)

Tier 3

Tier 4 

Phase 

Out

Tier 4 

Phase-In 

or 

Alternate 

Nox

Tier 4 

Final Tier 3

Tier 4 

Phase 

Out

Tier 4 

Phase-In 

or 

Alternate 

Nox

Tier 4 

Final

200 $7,500 $7,500 $8,500 $7,000 $9,000 $9,000 $10,500

300 $9,000 $11,000 $11,500 $13,000 $11,000 $13,500 $13,500 $16,000

400 $12,000 $15,000 $15,000 $17,500 $14,500 $18,000 $18,500 $21,500

500 $15,000 $18,500 $19,000 $22,000 $18,500 $22,500 $23,000 $26,500

600 $18,500 $22,500 $23,000 $26,500 $22,000 $27,000 $27,500 $32,000

700 $21,500 $26,500 $27,000 $31,000 $25,500 $31,500 $32,000 $37,500

800 $24,500 $30,000 $30,500 $35,500 $29,500 $36,000 $37,000 $43,000

900 $27,500 $34,000 $34,500 $37,500 $33,000 $40,500 $41,500 $45,000

1000 $30,500 $37,500 $37,500 $37,500 $37,000 $45,000 $45,000 $45,000

1100 $33,500 $37,500 $37,500 $37,500 $40,500 $45,000 $45,000 $45,000

1200 $37,000 $37,500 $37,500 $37,500 $44,000 $45,000 $45,000 $45,000

1300+ $37,500 $37,500 $37,500 $37,500 $45,000 $45,000 $45,000 $45,000
THE CARL MOYER PROGRAM 

AGRICULTURAL ASSISTANCE PROGRAM 

PART III of III 
As of 4/28/2011 1 of 4 Agricultural Assistance Program

AGRICULTURAL ASSISTANCE PROGRAM 

The Agricultural Assistance Program provides funds for “the new purchase, retrofit, 

repower, or add-on of previously unregulated equipment for agricultural sources.” 

Unlike the Carl Moyer Program, the Agricultural Assistance Program does not require 

the emission reductions achieved to be surplus. Therefore, these funds can be used to 

pay for compliance in certain categories. However, the Agricultural Assistance Program 

does follow the Carl Moyer Program Guidelines for project selection and grant awards. 

A. Background 

The Agricultural Assistance Program was created through provisions of Assembly Bill 

923 (AB 923, Firebaugh) and went into effect on January 1, 2005. This legislation 

authorizes air districts to increase motor vehicle fees by up to an additional $2. Air 

districts receiving the additional $2 surcharge may use the funds to implement four 

specific programs: 

1. Projects funded through the Carl Moyer Program. 

2. The new purchase, retrofit, repower, or previously unregulated equipment for 

agricultural sources. 

3. School bus purchases through the Lower Emission School Bus Program. 

4. An accelerated vehicle retirement or repair program. 

The Agricultural Assistance Program was created to implement the second program 

listed above. 

The statutory provisions of AB 923 also require that Agricultural Assistance Program 

projects follow the Carl Moyer Guidelines. Project criteria in Chapter 3: Administration 

and Chapter 10: Portable and Stationary Agricultural Sources chapters of the 2011 Carl 

Moyer Program Guidelines are to be followed (except as specified in Section D of this 

chapter), with modifications to the surplus emission reductions requirements and 

cost-effectiveness methodology. Air district funds applied to the Agricultural Assistance 

Program do not count as air district match funds in the Carl Moyer Program. 

B. Definition 

“Agricultural source of air pollution,” for the purposes of AB 923 and the Agricultural 

Assistance Program, is defined in Health and Safety Code section 39011.5(a) as “a 

source or group of sources used in the production of crops or raising of fowl or animals 

located on contiguous property and under common ownership or control.” Four 

categories of emission sources are identified as part of this definition: 
As of 4/28/2011 2 of 4 Agricultural Assistance Program

1. Large confined animal facilities as defined in California Code of Regulations, 

title 17, section 86500. 

2. Internal combustion engines, including portable and off-road engines, unless 

used to propel instruments of husbandry. 

3. Sources subject to requirements of Title V, the federal Operating Permitting 

Program for major stationary sources. 

4. Sources of emissions otherwise subject to air district regulation. 

C. Projects Eligible for Funding 

Eligible project categories are found in Chapter 10: Portable and Stationary Agricultural 

Sources, Section C: Project Criteria of the 2011 Carl Moyer Program Guidelines. 

D. Project Criteria 

Two sets of criteria exist for agricultural assistance projects. 

1. Statutory Criteria: The statutory provisions of AB 923 include requirements for 

Agricultural Assistance Program eligible projects: 

(A) Projects must involve the new purchase, retrofit, or repower of equipment. 

(B) Projects must reduce emissions from previously unregulated sources; that 

is, sources that are unregulated as of January 1, 2005 (the effective date 

of the legislation), but are subject to regulation at the time of the grant. 

(C) Projects must be operational and post-inspected within three years of rule 

adoption or before the compliance date of the rule, whichever is later. 

(D) ARB must determine that the applicable rule complies with Health and 

Safety Code sections 40913, 40914, and 41503.1 pertaining to air 

district’s attainment plan measures. Air district’s plans must be designed 

to achieve and maintain the state ambient air quality standards by the 

earliest practicable date through the use of all feasible measures. ARB 

routinely reviews air district’s rules for compliance with these requirements 

and will treat agriculture-related rules the same way. 

2. Other Criteria: Project criteria in Chapter 2: General Criteria, Chapter 10: 

Portable and Stationary Agricultural Sources, and these sections of Chapter 3: 

Program Administration; project application, contract, inspections, and payment 

as well as other Guideline requirements of the 2011 Carl Moyer Program 

Guidelines are to be adhered to with the following exceptions: 
As of 4/28/2011 3 of 4 Agricultural Assistance Program

(A) The Agricultural Assistance Program may be used to fund projects from 

previously unregulated agricultural sources of air pollution for a minimum 

of three years from the adoption of an applicable rule or until the 

compliance date, whichever is later. 

(B) The cost-effectiveness of a project is based on total emission reductions 

over the life of the project, not surplus emission reductions. 

(C) Emission reductions in the Agricultural Assistance Program are not 

required to be surplus to regulations. The emission benefits of projects 

funded by the Agricultural Assistance Program are already counted in the 

emission benefits of individual local rules or state regulations. 

E. Cost-Effectiveness of Total Reductions 

In order to ensure that the technologies and costs of projects funded by the Agricultural 

Assistance Program are generally comparable to those funded by the Carl Moyer 

Program, Agricultural Assistance Program projects must meet a “cost-effectiveness of 

total reductions” criterion. Air districts may set more restrictive cost-effectiveness of 

total reductions limits when implementing local programs. 

The cost-effectiveness of total reductions is the annualized cost divided by the emission 

reductions as if no regulatory requirement existed: 

Cost Effectiveness ($/ton) = 

Annualized Cost ($/year) 

Weighted Emission Reductions if no Regulatory Requirement Existed (tons/yr) 

For example, the cost-effectiveness of total reductions calculation for an agricultural 

irrigation pump engine would generally assume a project life of seven years, even if a 

local rule for agricultural use engines takes effect in two years or has already taken 

effect. 

The annual emission reductions for each pollutant (oxides of nitrogen (NOx), reactive 

organic gases (ROG), and combustion particulate matter (PM)) are determined by 

calculating the annual emissions for the baseline technology and then subtracting from 

it the annual emissions of the reduced technology. Annual emissions may be calculated 

based on hours of operation or fuel consumption. The formulas for calculating 

emissions are found in Appendix C of the 2011 Carl Moyer Program Guidelines. 

The weighted total emission reductions are estimated by taking the sum of the project’s 

annual emission reductions of NOx, ROG, and combustion PM using the following 

formula: 

Weighted Total Emission Reductions = NOx reductions (tons/yr) + 

ROG reductions (tons/yr) + 20*[combustion PM reductions (tons/yr)] 
As of 4/28/2011 4 of 4 Agricultural Assistance Program

The emission standards and load factors for off-road diesel engines and large SI 

engines in Appendix D of the 2011 Carl Moyer Program Guidelines must be used for 

these calculations. The annualized cost is the amortization of the one-time incentive 

grant amount for the life of the project to yield an estimated annual cost. The capital 

recovery factors used for the annualized calculation are provided in Appendix G of the 

2011 Carl Moyer Program Guidelines. 

The incremental cost of a project is a percentage of new technology project costs. The 

percent of agricultural source engine project costs eligible for funding are in Chapter 10: 

Portable and Stationary Agricultural Sources of the 2011 Carl Moyer Program 

Guidelines. 

General examples of calculating the cost-effectiveness of projects are provided in 

Appendix C of the 2011 Carl Moyer Program Guidelines. The examples are of projects 

achieving surplus emission reductions. However the steps leading to the final formula 

are similar for both programs and may be used as a guide. 

NOTE: The cost-effectiveness of total reductions cannot be compared to the 

cost-effectiveness of Carl Moyer Program-eligible projects because it includes 

the total emission reductions associated with a project instead of only the 

surplus emission reductions.