TITLE 13, CALIFORNIA CODE OF REGULATIONS, SECTION 2449.3 

 SURPLUS OFF-ROAD OPT-IN FOR NOX (SOON) PRGRAM 

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2449.3 Surplus Off-Road Opt-In for NOx (SOON) Program 

(a) Purpose

To achieve additional reductions of oxides of nitrogen (NOx) emissions from in-use offroad diesel-fueled vehicles in California. The reductions must be surplus to those that 

would otherwise be achieved through implementation of title 13, California Code of 

Regulations, sections 2449, 2449.1 and 2449.2, “Regulation for In-Use Off-Road Diesel 

Vehicles”. 

(b) Applicability 

(1) District Applicability - Section 2449.3 applies to any air quality management 

district or air pollution control district (jointly referred to hereafter as air district) 

whose governing board elects to opt into the provisions of this section as set 

forth in section 2449.3(f) below. 

(2) Fleet Applicability – Section 2449.3 applies to a fleet that: 

(A) Operates individual vehicles within the air district; 

(B) As of January 1, 2008, on a statewide level, consisted of more than 40 

percent Tier 0 and Tier 1 vehicles, and; 

(C) Has a statewide fleet with maximum power greater than 20,000 horsepower 

(hp). 

(c) Definitions 

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

definitions: 

(1) Contract period means the period of time in which the vehicle participates in the 

program and is under contract to the air district to achieve additional emission 

reductions. 

(2) Operated within the district means a vehicle that currently operates within the

boundaries of the air district and, during the three years immediately prior to the 

solicitation deadline, operated at least one hundred hours per year and operated 

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

(3) Project means actions on one vehicle to reduce NOx emissions, such as retrofit, 

repower, or vehicle replacement, for which funding is requested. 

(4) Solicitation means a public announcement by the air district, requesting that 

fleets submit grant applications to the air district to participate in emission 

reduction incentive programs under this section. 

(5) Solicitation deadline means the last day, as provided in the solicitation, that an 

application may be physically received by the air district. 

(d) Requirements 

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

and made the program mandatory per section 2449.3(e)(9), issues a solicitation 

for applications for funding under the SOON program, and if the solicitation so 
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requires, a fleet that meets the applicability criteria of subsection (b) on the date 

of the solicitation must, before the solicitation deadline, do the following: 

(A) Report to District and ARB - File a report, in a format approved by the 

Executive Officer, of all information required under section 2449(g) with the 

air district and ARB on its statewide fleet and that part of the fleet that has 

operated within the air district, as defined in section (c)(2) above. If the 

solicitation deadline is before April 1, 2009, the fleet must provide information 

regarding the fleet as it existed on January 1, 2008. If the solicitation 

deadline is on or after April 1, 2009, the fleet must provide the information 

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

(B) Calculate NOx index - Determine the NOx index for vehicles that operated 

within the air district for the year in which the solicitation deadline occurs 

according to the formula in section 2449.1(a)(1)(A)1. 

(C) Calculate NOx target rate - Determine the NOx target rate for vehicles that 

operated within the air district for the year in which the solicitation deadline 

occurs according to the formula in section 2449.1(a)(1)(A)1, and using the 

NOx targets set forth in Table 1 below. If there is no NOx target rate for the 

year in which the solicitation deadline occurs, the nearest future target rate 

should be used. 

Table 1: NOx Targets for each Max Hp Group [g/bhp-hr]

Compliance 

Date: March 1 

of Year

25-49 

hp

50-74 

hp

75-99 

hp

100-174 

hp

175-299 

hp

300-599 

hp

600-750 

hp

>750 

hp

2011 5.6 6.2 6.7 6.0 5.4 5.1 5.3 6.4

2014 4.9 5.1 5.2 4.7 2.8 2.7 2.7 4.2

2017 4.2 4.1 3.8 3.4 1.5 1.5 1.5 3.2

2020 3.5 3.2 2.4 2.2 0.9 0.9 0.9 2.6

2023 3.5 3.2 2.4 2.2 0.9 0.9 0.9 2.6

(D) Apply for funding – Except as provided in section 2449.3(d)(2) and 

2449.3(e)(3) below, a fleet for which the NOx index, as calculated in section 

2449.3(d)(1)(B), is greater than the NOx target rate, as calculated in section 

2449.3(d)(1)(C), must apply for SOON funding. The application submitted 

must be completed according to the guidelines and conditions established 

under the solicitation and, if the necessary NOx retrofits, repower, or vehicle 

replacements are available, must indicate how NOx retrofits, repowers, or 

vehicle replacements for which funding is requested will bring the NOx index 

for vehicles that operated within the air district from where it would have been 

under compliance with section 2449.1 to less than or equal to the NOx target 

rate calculated in section 2449.3(d)(1)(C). The application must also indicate 

whether the fleet wants the application to be given high priority for SOON 

program funding by the district. The funding priority shall be determined 

under the air district guidelines developed per section 2449.3(f)(2). 

(E) Achieve NOx reductions - Fleets that receive SOON program funding must 

complete the actions for which they were funded per the conditions of the 

solicitation. Fleets that do not receive requested SOON program funding are 
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not required to take actions beyond compliance with the in-use off-road diesel 

vehicle regulation, as specified in sections 2449, 2449.1, and 2449.2. 

(2) Fleets not meeting the applicability provisions - A fleet that operates 

individual vehicles within the air district, but does not meet the applicability 

provisions of sections 2449.3(b)(2)(B) and 2449.3(b)(2)(C), are not required to 

file a report with the ARB or the air district under section 2449.3(d)(1). It is also 

not required to apply for funding under subsection (d)(1)(D), but may file a report 

with ARB or the air district under section 2449.3(d)(1) and apply for funding if the 

NOx index calculated for its fleet operating within the air district exceeds the NOx 

target rate, and the fleet would like to qualify for funding. If the air district 

approves the fleet’s application for funding, the fleet must achieve the NOx 

reductions as set forth in subsection (d)(1)(E). Participating in the SOON 

program in one year does not obligate the fleet to participate in subsequent 

years. 

(3) Air districts that opt into the SOON program – Districts must prioritize 

requested projects based on the optimum NOx cost-effectiveness and on 

whether the fleet requesting the SOON program funding has requested high 

priority for SOON program funding. Air districts must report to ARB, in a format 

approved by the Executive Officer, all projects funded under the SOON program, 

including the equipment identification number of all vehicles funded. 

(e) Special Provisions – 

(1) Accounting for the in-use off-road diesel vehicle rule - 

(A) Reductions achieved through the SOON program must be surplus, over the 

entire contract period, to those required by the “Regulation for In-Use OffRoad Diesel Vehicles”, sections 2449-2449.2 above. 

(B) During the contract period, vehicles equipped with NOx retrofits, repowered 

with new engines, or that have been replaced using SOON program funding, 

cannot use this lower emission rate to calculate NOx indices, PM indices, 

NOx target rates, PM target rates, turnover credit and retrofit credit under 

sections 2449.1 and 2449.2. Instead, for the purposes of calculating NOx 

indices, PM indices, NOx target rates, PM target rates, turnover credit and 

retrofit credit under sections 2449.1 and 2449.2, these vehicles must be 

reflected as if the actions taken under the SOON program did not occur. 

Actions taken using SOON program funding may be used for determining 

compliance under sections 2449.1 and 2449.2 after the completion of the 

SOON program project contract period for that vehicle. For example, if a Tier 

0 vehicle is repowered with a Tier 3 engine with SOON program funds, for 

purposes of compliance with sections 2449.1 and 2449.2, that vehicle is still 

treated as if it were a Tier 0 until the end of the contract period for the SOON 

program project. 

(C) If a fleet pays for a retrofit that is installed concurrently with a repower or 

vehicle replacement funded with SOON program funding, the fleet may count 

the retrofit toward determining compliance under section 2449.2. If a fleet’s 

vehicle is repowered using SOON program funding with a Tier 4 engine that 

comes with an original engine manufacturer diesel particulate filter, and if the 

fleet pays a portion of the repower costs such that it offsets the cost of an 
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equivalent retrofit diesel particulate filter, the fleet may count the retrofit 

toward determining compliance under section 2449.2. 

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

extension from the requirements in section 2449.1(a)(2)(A) if, using the 

accounting provisions in section 2449.3(e)(1), section 2449.1(a)(2)(A) would 

require, prior to March 1, 2014, a fleet to turn over vehicles that are Tier 2 or 

better. The exemptions in section 2449.1(a)(2)(A)4.a. and section 

2449.1(a)(2)(A)5. for vehicles less than 10 years old and Tier 1 vehicles do not 

apply to the SOON program. 

(3) Compliance plans - In addition to a SOON program application, a fleet applying 

for SOON program funding must prepare and submit to the air district a 

compliance plan, in the format described in the district guidelines, laying out the 

actions it is required to take under sections 2449.1 and 2449.2 and the actions 

for which it is applying for funding under section 2449.3. Compliance plans must 

demonstrate that in the absence of any actions taken to satisfy section 2449.3, 

the fleet will be able to meet the requirements of sections 2449.1 and 2449.2 

through the remaining actions set forth in the plan. 

(4) Surplus - Participation in the SOON program does not reduce the actions 

required for any fleet to comply with any requirements in the statewide in-use offroad diesel vehicle regulation under sections 2449.1 and 2449.2. 

(5) Tracking devices - An air district may require any vehicle repowered, retrofitted, 

or replaced with incentive money through the SOON program to be equipped 

with a vehicle location device (per the air district’s guidelines and conditions for 

receiving funding) to ensure that the vehicle is used in the air district for the 

required percent of operating hours. 

(6) Particulate Matter Retrofits - 

a. The exemption from retrofit requirements for vehicles less than 5 years old in 

section 2449.2(a)(2)(A)4.a. does not apply to vehicles that are replaced or 

repowered with SOON program funds. 

b. If a fleet has a vehicle that has been retrofitted within the last six years with a 

Level 2 or 3 VDECS, which was the highest level VDECS at the time of 

retrofit, the fleet may but is not required to apply for SOON funding for that 

vehicle. 

c. A fleet that receives SOON funding to repower or replace a vehicle is not 

required to install the highest level VDECS along with the repower or 

replacement. 

(7) Funding Guidelines - Projects funded under the SOON program with Carl 

Moyer program money must be administered consistent with applicable Carl 

Moyer program guidelines, except as noted in section 2449.3(e)(6)c. If a project 

is funded from other sources, the SOON program must be administered 

consistent with any applicable guidelines. The air district shall develop guidelines 

for administration of the SOON program, as provided in section 2449.3(f)(2). 

(8) Vehicles Scheduled to Leave District – A fleet that has operated within the air 

district as defined in section 2449.3(c)(1) but that is planning to move vehicles 

out of the air district such that the vehicles will not operate enough hours in the 

air district to qualify for SOON funding may leave such vehicles out of the NOx 

index calculation in section 2449.3(d)(1)(B), the NOx target rate calculation in 

section 2449.3(d)(1)(C), and the application for funding in section 
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2449.3(d)(1)(D). The fleet must submit a statement under penalty of perjury to 

the district for each such vehicle stating its intent to move each such vehicle out 

of the district. 

(9) Voluntary or Mandatory Nature of SOON- An air district, having held a public 

hearing and opted into this regulation, may issue a solicitation for applications for 

funding under the SOON program. 

a. For fleets in the South Coast Air Quality Management District and San 

Joaquin Valley Air Pollution Control District, solicitations with a deadline before 

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

April 2, 2009, the South Coast Air Quality Management District and San 

Joaquin Valley Air Pollution Control District may elect to make participation by 

fleets voluntary or mandatory. 

b. In any district other than the South Coast Air Quality Management District or 

San Joaquin Valley Air Pollution Control District, for solicitations with a 

deadline before April 2, 2010, participation by fleets is voluntary. For 

solicitations with a deadline on or after April 2, 2010, the district may choose to 

make participation by fleets voluntary or mandatory. 

c. The solicitation shall announce the air district’s decision regarding voluntary or 

mandatory participation. 

(f) Local Air District Opt-In 

(1) To participate in the SOON program, an air district’s governing board must hold a 

formally noticed public hearing, where public comment is taken, and, by majority 

vote, elect to opt into the program. As part of this hearing, for years when 

section 2449.3(e)(9) gives the district a choice between a voluntary and 

mandatory SOON program, the air district’s governing board must decide 

whether participation by fleets is voluntary or mandatory. 

(2) District Guidelines - An air district opting into section 2449.3 must develop, 

through a public process including a duly noticed public workshop and formally 

noticed public hearing, additional administrative provisions necessary to 

implement this section, including, but not limited to, funding guidelines (as 

required under section 2449.3(e)(7)), compliance planning requirements, and 

reporting and monitoring requirements. Funding guidelines may include 

limitations on the cost-effectiveness of projects that may be funded and must 

include the method used for prioritizing projects based on cost-effectiveness and 

whether applying fleets requested high priority for SOON program funding, and 

a description of any requirements on fleets that receive SOON funding to pay 

part of the SOON project cost. Compliance planning guidelines must indicate 

the format and length of compliance plans. Air district guidelines may include a 

pre-application process that collects vehicle data (model year, horsepower, 

hours of use) and then requires full SOON project applications only for vehicles 

likely to receive funding. 
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(3) ARB Approval of District Guidelines - Before any guidelines, including 

administrative or funding guidelines, approved by an air district take effect, 

they must be approved by the Executive Officer. Air district staff shall 

submit proposed guidelines to the Executive Officer before they are acted 

on by the district’s governing board. The Executive Officer will respond 

within 30 days with 

a description of any required changes to the proposed guidelines 

necessary for Executive Officer approval. In evaluating proposed air 

district guidelines, the Executive Officer shall consider, among other 

factors, the adequacy of cost-effectiveness criteria, whether fleet requests 

for high priority for SOON funding are given preference, and uniformity of 

district guidelines between air districts. After guidelines are adopted by a 

district’s governing board, air district staff shall submit the adopted 

guidelines to the Executive Officer. The Executive Officer will respond 

within 30 days with approval or a description of any required changes to 

the guidelines. 

(4) ARB Authority – ARB has sole authority to enforce the requirements of 

section 2449.3. The Executive Officer retains the authority to review any 

district’s administration of section 2449.3 and to address any unforeseen 

circumstances or events. 

Authority and References- This regulatory action is proposed under the authority 

granted to the ARB in Health and Safety Code sections 39002, 39515, 39516, 

39600, 39601, 39602, 43000, 43000.5, 43013, 43016, and 43018. This action is 

proposed to implement, interpret, or make specific Health and Safety Code 

sections 39002, 39515, 39516, 39600, 39601, 39602, 39650, 39656, 39657, 

39658, 39659, 39665, 39667, 43000, 43000.5, 43013, 43016, and 43018.