STATE OF CALIFORNIA-·OFFJCE OF ADMINISTR/\ 

NOTICE PUBLICATION/ 

STD. ··100 (REV. 01·091 ~·bAR (See instructions on 

reverse) 

: ."01!1\UF!l£ _,_ NOTICE FILE NUMBER 

.NUMBERS z_2011-0823- i \( I REGULATORY ACTION NUMBER 

ti lSI EMERGENCY NUMBER 

I zo"Iz o a' 1. 

For use by Office of Administrative Law (OAL) only 

Rt:CE\'Jtll ~ljll, ~\UN[; P\IP.UC~iiQN O~it 

AUG 2 3 '11 SEf' 0 Z '11 

Office of Administrative Law 

NOTICE 

AGENCY WITH RULEMAKJNG AUTHORITY 

Air Resources Board 

2"'17 ~.,ur "·I t1 - I·V u . .,). 

REGULATIONS 

A. PUBLICATION OF NOTICE (Complete for publication in Notice Register) 

1_ SUBJECT OF NOTICE 

ATCM for In-Use Diesel-Fueled TRU 

3.NOTICE TYPE 

lvl Notice re Proposed 0 ~ Regulatory Action i Other 

OAL USE ACTION ON _PROPOSED NOTICE . 

ONLY D Approved as o Approved as 

Submllted Modified 

TITLE(S) 

13 

D Disapproved/ 

Withdrawn 

FIRST SECTION AFFECTED 

12477 

i TELEPHONE NUMBER 

i (916) 322-6533 

NOTICE REGISTER NUMBER 

B. SUBMISSION OF REGULATIONS (Complete when submitting regulations) 

For use by Secretary of State only 

AGENCY FILE NUMBER (If nny) 

2. REQUESTED PUBLICATION DATE 

September 2, 2011 

FAX NUMBER (Optional} 

(916) 322-3928 

PUBLICATION DATE 

1a. SUBJECT OF REGULATION(S) 1b. ALL PREVIOUS RELATED OAL REGULATORY ACTION NUMBER(S) 

AircM for In-Use Diesel-Fueled TRU 

2. SPECIFY CALIFORNIA CODE OF REGULATIONS TITLE(S) AND SECTION($} {Including title 26, lfto)(ics related) 

SECTION(SI AFFECTED 

(list all section number(s) 

individually. Attach 

additional sheet if needed.) 

TITLE(S) 

13 

3. TYPE OF FILING 

RJ Regular Rulemaking (Gov.-

Code §11346) 

0 Resubmittal of disapproved or 

withdrawn nonemergency 

filing (Gov. Code §§11349.3, 

11349.4) 

ADOPT 

AMEND 

See attachment REPEAL 

D Certificate of Compliance: The agency officer named 

below certifies that this agency complied with the 

provisions of Gov. Code §§ 1 1346.2-1 1347.3 either 

before the emergency regulation was adopted or 

within the time period required by statute. 

0 Emergency Readopt (Gov. 

Code, §1 1346.1 (h)) 

D ·File&Print 

•. 

0 Changes Without Regulatory 

Effect (Cal. Code Regs., title 

1, §100). 

0 PrintOnly 

0. Emergency (Gov. Code, 

§11346.1(b)) 

D Resubmittal of disapP.roved or withdrawn 

emergency filing (Gov. Code, §11346.1) D Other(Specify) -----------------

4. ALLBEGINI~INGAND ENDING DATES OF AVAILABILITY OF MODIFIED REGULATIONS AND/OR MATERIAL ADDED TO THE ll.ULEMAKING FILE (Cal. Code Regs. title 1, §44 and Gov.Code §11347.1) 

February 28, 2012 - March 14, 2012 and June 15, 2012 - July 2, 2012 5. EFFECTIVE DATE OF CHANGES (Gov. Code,§§ 11343.4, 11346.1(d); Cal. Code Regs .. title 1, §100) 

D Effecllve 301h day afler lvl Effeclive o. n filing with 

filing with Secrelary of State l..=::J Secretary of Stale D §100 Changes Without 

Regulatory Effect D Effective other (Specify) 

6. CHECK IF THESE REGULATIONS REQUIRE NOTICE TO, OR REVIEW. CONSULTATION. APPROVAL OR CONCURRENCE BY. ANOTHER AGENCY OR ENTITY 

~ Department of Finance (Form STD. 399} (SAM §6660) 

D Other (Specify) 

0 Fair Political Practices Commission D State Fire Marshal 

7. CONTACT PERSON _I TELEPHONE NUMBER 

Afuy Whiting, Regulations Coordinator! (916) 322-6533 I 

FAX NUMBERjqptionall , 1 E-MAJL ADD['ESS .{.,Oplio1,1al) (916) 3~2-3728 1 awnitlng~aro.ca.gov 

8. I certify that the attached copy of the regulation{s) is a true and correct copy 

of the regulation{s) identified on this form, that the information specified on this form 

is true and correct, and that I am the head of the agency taking this action1 

or a designee.ofthe head of the agency, and am authorized to make this certification. 

SIGNATUR~~CY HEAD_OfjDESIGNEE 

( i h. . ../...( --1 I 

DATE 

August 31, 2012 

TYPED ~NO TITLE OF SIGNATORY ) 

Lynn Terry, Deputy Executive Officer 

For use by Office of Administrative Law (OAL) only 
ATTACHMENT TO NOTICE OF PUBLICATION/REGULATIONS SUBMISSION 

STD. 400(REV. 01/09) 

B. SUBMISSION OF REGULATIONS 

2. SPECIFY CA~!FORNIA CODE OF REGULATIONS TITLE($) AND SECTION($) (Including title 26, if taxies related) 

ADOPT 

SECTION(S) AFFECTED 2477.1' 2477.2, 2477.3, 2477.4, 2477.5, 2477.6, 2477.7, 2477.8, 

(List all section 2477.9,2477.10,2477.11,2477.12,2477.13,2477.14,2477.15, 

number(s) 2477.16,2477.17,2477.18,2477.19, and 2477.20 

individually. Attach AMEND 

additional sheet if 2477 

needed.) . 

TITLE{S) REPEAL 

13 
FINAL REGULATION ORDER 

Airborne Toxic Control Measure for In-Use Diesel-Fueled Transport Refrigeration 

Units (TRU) and TRU Generator Sets, and Facilities Where TRUs Operate 

Amend article 8, Off-Road Airborne Toxic Control Measures section 2477 and adopt 

sections 2477.1, 2477.2, 2477.3, 2477.4, 2477.5, 2477.6, 2477.7, 2477.8, 2477.9, 

2477.10,2477.11,2477.12,2477.13,2477.14,2477.15,2477.16,2477.17,2477.18, 

2477.19, 2477.20, and 2477.21, within division 3, chapter 9, title 13, California Code of 

Regulations, to read as follows: 

Note: Proposed amendments are shown in underline to indicate additions and strikeout 

to indicate deletions. 

Article 8. Off-Road Airborne Toxic Control Measures 

Section 2477. Airborne Toxic Control Measure for In-Use Diesel-Fueled 

Transport Refrigeration Units (TRU) and TRU Generator Sets, and Facilities 

Where TRUs Operate. 

(a-}2477;1 Purpose. ··· 

Diesel particulate matter (PM) was identified in 1998 as a toxic air contaminant. This 

regulation implements provisions of the Diesel Risk Reduction Plan, adopted by the Air · 

Resources Board in October, 2000, as mandated by the Health and Safety Code 

Sections 39650-39675, to reduce emissions of substances that have been determined 

to be toxic air contaminants. Specifically, this regulationwiU use.§ a phased·.approach .to·. :; ·· · .. ,,, 

· reduce the diesel PM emissions from incuse transport refrigeration units·(TRUs)•and• · · ···· · • · ·•·· ... 

TRU generator(gen) set equipment used to power electrically driven refrigerated · .. · · 

. shipping containers and trailers that are operated.in California.· · c:.: ?r· 

NOTE: Authority ciied: sections 39600, 39601, 396-18. 39658, 39659, 39666, 39667. 39674. 39675. 42400, 42400.1, . 

42400.2 42400.3.5, 42402 42402.2,42410.43013 43018, California Health and Safety Code. Reference: sections 

39618.39650,39658 39659 39666,39667.39674,39675,42400.42400.1 42400.2, 42400.3.5. 42402 42402.2,. 

42410.40717.9,43013. and 43018. 

fl:li2477.2 Applicability. 

01@1 Owners and operators· Except as provided in 6-lffisection M2477.3, 

section 2477.5 of this regulation applies to owners and operators of diesel-fueled 

TRUs and TRU gen sets (see definition of operator and owner in 6-lffisection 

f€l12477.4) that operate in the sState of California, regardless of where the 

vehicle is based. This specifically includes California-based and non-Californiabased TRUs and TRU gen sets that are installed on trucks, trailers, shipping 

containers, and railcars.7 
.:-.~ .. 

fAt Operators and o•.vners of California based TRUs and TRU gen sets that are 

installed on trucks, or trailers, shipping containers, or railcars; and 

(B) Operators and owners of non California based TRUs and TRU gen sets that 

are installed on trucl~s. trailers, shipping containers, or trailers. 

(b) Terminal operators: Section 2477.6 of this regulation applies to operators of 

terminals located in California where TRU-equipped trucks, trailers, or shipping 

containers. orTRU gen sets are regularly garaged, maintained. operated, or 

dispatched from. including a dispatch office. cross-doc facility, maintenance 

shop, business, or private residence. 

(c) Drivers: Section 2477.7 applies to drivers (as defined in section 2477.4) that 

drive trucks or trailers that use TRUs or TRU gen sets on California highways .. 

(d) Freight brokers and freight forwarders: Section 2477.8 applies to freight brokers 

and freight forwarders (as defined in section 2477.4) that arrange, hire. tender 

contracts for. or dispatch the transport of perishable goods on California 

highways or railways in trucks, trailers. shipping containers. or railcars that are 

equipped with TRUs or TRU gen sets. 

(e) Carriers: Section 2477.9 applies to motor carriers (as defined in section 2477A·) · 

that use. cause to be used. or dispatch TRU-equipped trucks. trailers, or railcars, . 

or trailer chassis or shipping containers with TRU gen sets that are driven on 

California highways or railways. · 

(D California-based shippers: . Section 2477.1 O.applies to California-based shippers :0·.: :i .!.'''' '" 

(as defined in section 24 77 .4) that arrange. tender contracts for, or dispatch the"'·' • '" ., · ······ · 

transp.ort of perishable goods from any location in California in TRUcequipped or 

TRU gen set-equipped trucks, trailers; shipping containers. or railcars .. , ·•"'·'''''•ec·.::.•••_,_·,• .. c··············""''· 

(g) California-based receivers: Section 2477.11 applies to California-based ...• ·. 

receivers (as defined in section 2477.4) that arrange, tender contracts for, or • 

dispatch the transport of perishable goods to any location in California inTRU· 

equipped or TRU gen set-equipped trucks, trailers, shipping containers, or 

railcars. · 

(h) Lessors and Lessees: Section 24 77.12 aoolies to anv oerson that rents or 

leases (lessor) TRUs or TRU gen sets and those persons renting (renter) or 

leasing (lessee) such equipment that is operated in California or that is based in 

California. 

(i) TRU and TRU gen set original equipment manufacturers: Section 2477.13 

applies to original equipment manufacturers (as defined in section 2477.4) that 

direct TRU or TRU gen set sales to the California market.· 

2 
(j) TRU. TRU gen set. and TRU-equipped truck and trailer dealers located in 

California: Section 2477.14 applies to TRU. TRU g·en set. and TRU-eguipped 

truck and trailer dealers that maintain a business location in California and sell, 

maintain, or repair new or in-use TRUs, TRU gen sets. or TRU-equipped trucks 

or trailers. 

(k) Repair shops located in California that work on TRUs or TRU gen sets: Section 

2477.15 applies to repair shops that maintain a business located in California 

and install replacement engines in TRUs or TRU gen sets, or retrofit THUs or 

TRU gen sets with verified diesel emissions control strategies to comply with this 

subarticle. 

(I) Engine rebuilders: Section 2477.16 applies to TRU or TRU gen set engine 

rebuilders that sell to the California market. 

t2ffrr:!l Facilities: Section 2477.17 This regulation applies to facilities located in 

California with 20 or more loading dock €loOfS spaces serving refrigerated areas 

where perishable goods are loaded or unloaded for distribution on trucks, trailers, 

shipping containers, or rail cars that are equipped with TRUs and TRU gen sets 

and that are owned, leased, or contracted for bythe facility, its parent company, 

affiliate, or subsidiary that are under facility control (see definition). 

· ~ill.l ·· ·· To the extent not already covered under subsections (b)(1) ·and (b)(2)fill· 

through (m), above, stffisection fg1 2477.18 of this regulation shall apply to any 

person engaged in this State in the business of selling to an ultimate purchaser,· 

or renting or leasing new or used TRUs or TRU gen sets, including, but not. 

limited to, manufacturers, distributors,--afl€1 dealers. auctioneers, carriers, private 

fleets. independent owner-operators,·· and rental and ·leasing. companies;. _L:•i:;;c;~~:i}:.:.'L,•;·\:c:::L~·.; 

'., '''-.·-,· 

(o) For purposes of this.subarticle, the terms "lease." ':leased," "lessor," and ''lessee~' , . _- _ 

· ·. _ .. mean the same as ''rental agreement/ ''rented," .. "owner.of rented vehicle,": and:· .. :;·:• 

"renter," respectively. 

(4) TRU and TRU gen set original equipment manufacturers that directly or indirectly •· 

sell or offer fur sale TRUs and TRU gen sots to the California marlmt: ·" - ·· 

(at Severability. If any subsection, paragraph, subparagraph, sentence, olause, . 

phrase, or portion of this regulations is, for any reason, held invalid, 

unconstitutional, or unenforceable by any court of competent jurisdiction, such 

portion shall be deemed as a separate, distinct, and independent provision, and 

such holding shall not affect tho validity of the remaining portions of the 

regulation. 

NOTE: Authority cited: sections 39600 39601. 39618. 39658. 39659 39666 39667. 39674. 39675. 42400. 42400.1 

42400.2. 42400.3.5. 42402.42402.2 42410.43013.43018. California Health and Safety Code. Reference: sections 

39618.39650 39658.39659.39666,39667.39674.39675 42400,42400.1.42400.2 42400.3.5. 42402 42402.2. 

42410 40717.9 43013 and 43018. 

3 
fet2477.3 Exemptions. 

(a) This regulation does not apply to military tactical support equipment. 

(b) Obviously non-operational TRUs or TRU gen sets are exempt from certain 

sections of this subarticle, as specified below. except that the prohibitions in section 

2477.18 apply with respect to selling, renting, or leasing to a person that could be 

reasonably expected to operate the TRU in California: 

(1) Any TRU that is removed or separated from the truck or trailer van, shipping 

container. or rail car. This exemption does not include TRU gen sets that are not 

attached to a shipping container or trailer chassis. 

(2) Any trailer TRU housing that remains attached to a trailer van, but the fuel tank 

and battery have been removed and a label with the word "NONOPERATIONAL" 

has been affixed or attached to the housing in letters that contrast sharply with 

the color of the TRU housing and can be seen from 50 feet during daylight hours 

when the vehicle is stationary. 

(3) Any truck TRU housing that remains attached to a truck van, but the positive and 

negative battery cables, fuel supply and return lines, and condensate drain line 

have been removed so that there are no visible ancillary connections to theTRU ·· 

housing and a label with the word ''NONOPERATIONAL" has been affixed or ··· ·· '"' 

attached to the housing in letters that contrast sharply with the color of the TRU 

·. housing and can be seen from 50. feet during daylight hours when the vehicle is ·· c.• •· ·· 

stationary. 

·• :· .• {4) Any TRU or TRU gen set that has no engine or fuel injection system installed;'U'''Lt 0'.•'l'i'~'' " • 

making the engine incapable of being started. · ·· ·· • • ··•·• •• ··•·>• ·•·· · 

- ---- ·--

):~:·;,. :· .•.• ··: :.:~: :{5) TRU gen sets. that .have been quarantined· in a designated area that is .separated :;;""':;;;·~·)·: ;•,:3.·''· 

from other compliant TRU gen sets by a cordon or barrier with signs that read · · · 

"NONCOMPLIANT-~ DO NOT OPERATE IN CALIFORNIA". Bright red tags 

must be affixed. to the TRU gen set control panel at all times while in California 

that read: "NONCOMPLIANT- DO NOT OPERATE IN CALIFORNIA".· TRU gen 

sets may be stored in a shipping container in lieu of being quarantined in a .... 

cordoned area. 

(c) Transport refrigeration systems that are not driven by an integral diesel internal 

combustion engine are exempt from the requirements of this subarticle. Examples of 

exempt equipment include, but are not limited to: 

(1) transport refrigeration systems that are driven by gasoline-fueled internal 

combustion engines; 

4 
'.::, . 

. . - ,_,. 

(2) transport refrigeration systems that are driven by electric motors with no integral 

diesel engine providing power; or 

(3) Pure cryogenic temperature control systems with no diesel engine driven 

refrigeration system integration . 

. (d) TRUs that are used during an emergency (as defined) are exempt from the in-use 

performance standards of section 2477.5(al of this subarticle. provided the 

requirements of section 2477.5(j) are met. This exemption expires on 

January 1, 2025. California-based TRUs are not exempt from the ARBER 

registration requirements in section 2477.5(e). 

(e) (1) Noncompliant TRUs on refrigerated railcars that are not operated while traveling 

through California shall be exempted provided the Executive Officer has previously 

.. approved a written compliance plan submitted by the railway carrier. 

.·. ' ··-.: . 

(2) The written compliance plan must clearly identify the monitoring, recordkeeping, 

and reporting procedures that the railway carrier will implement and utilize to 

ensure that noncompliant TRUs on refrigerated railcars will not operate while in 

California. 

(3) The compliance plan shall establish monitoring, recordkeeping, and· reportingi:c,,,.,,. • •"' 

· proceduralrequirements that the Executive Officer finds are sufficient to,identify. · · · -·· ·. · 

non-compliant TRUs being moved on railways in California and to ensure that 

such TRUs will not operate at any time while they are present within California. '" • ··· · 

(A) The compliance plan must include, without limitation: the procedure for · · . 

. . tracking and.recording.routesand dates oftravelwithin Californiaofeach:','c. ,;_::i;:;,::,::c;L'Li: 

noncompliant TRU, ·information identifying each noncompliant TRU (e,g. the,·· ,.,. · ·• ••7• · 

railway carrier's reporting mark followed by the one-to-six-digit numberwhich,: __ , 

together uniquely identifies the railcar). a description of the automated· .. ,":'JL'c.'.~··::c'.'·'''-'•~':,_,-,::,-.. ::.• 

monitoring and record keeping system for reporting the TRU "engine on" or· ·· 

"engine off" status, and the procedure for expeditiously reporting violations -. . 

observed and/or discovered by the railway.carrier.' · · 

(B) A statement is required, signed by an authorized railroad representative, 

declaring that the railway carrier agrees to be bound by the compliance plan. , ................ . 

(4) Within 30 days of the submission of a complete compliance plan, the Executive 

Officer shall approve or disapprove the compliance plan based on the information 

submitted by a railway carrier as specified in sections 2477.3(e)(2) and (3) 

above, and based on good engineering judgment. If the compliance plan is 

disapproved, the Executive Officer shall inform the railway carrier of the reasons 

for the disapproval. The railway carrier may revise the compliance plan to 

address the basis for disapproval and resubmit the compliance plan for EO 

approval or disapproval. 

5 
(5) The railway carrier shall maintain records collected pursuant to the approved 

compliance plan for a period of at least three (3) years and make these records 

available to ARB upon request. 

ill Railway carriers are exempt from the owner or owner/operator requirements of 

section 2477.5 for any TRU or TRU gen set that is not owned by the railway carrier. 

provided: 

(.1) The TRU or TRU gen set is not leased by the railway carrier. in which case. 

section 2477.12 applies: or 

(2) The railway carrier or its agent is only fueling, monitoring to assure proper 

operation. keeping in operation. arranging repairs at the request of the owner. or 

restarting the TRU or TRU gen set engine after an unscheduled shut-down or 

. repair. and is not performing any of the other activities listed under the definition 

of "operate". 

NOTE: Authority cited: sections 39600, 39601 39618, 39658, 39659 39666, 39667 39674, 39675, 42400, 42400.1, 

42400.2,42400,3.5 42402. 42402.2, 42410, 43013. 43018, California Health and Safety Code. Reference: sections. 

39618, 39650; 39658,39659.39666 39667,39674,39675 42400,42400.1 42400.2,42400.3.5, 42402,42402.2, 

42410 40717.9 43013 and 43018. 

Definitions. 

@)_For purposes of thisregulation, the following definitions apply: 

(1) "Affiliate or Affiliation" refers to a relationship of direct or indirect control.or.• ... . ·· . . . . 

,.,._.,,.,c_}:.: ··>.'':<•: .. : .. ·.·:.·;cc_•.:·: .··' sbar(;)Q i!li@rests·b~tll\ll:)e.nthe sqpje_c:;tp:usiness andan.Qther.business, ''·' c£0?;:::?:• .• '·-··· ' 

. (2) "Aitl:)rna,tive_Fue_l" means na~wal gas,propane, ethc:uipl; methanol, or •··- · · · · · -·· 

., :a~tvanQ~Q. -.t~?.Gh n 9!Q:g:i:es.:Jh.~t:-d Q.':--~f! qt r~J.y:·~g_n::Q:i~.§~ J JLI~_!,'~· ~-~9E?Pt '~.$.~.?:. pi:Jq_t·?:-~ ~ _'.~:3;~~5~2 .. ·:.:.i _ ~:~~~ ,~:_::;~;--;_~-->;:: 

ignition source at an average ratio of less than 1 part diesel fuel to 10 parts· · 

. total fuel on an energy equivalentbasjE; ... Alternative fuels also means any of· •· 

these fuels used in combination with_ea_c:h otheror incombination with other '· · 

non-diesel fuels. Alternative-fueled engines shall not have the capability of 

idling or operating sglely on diesi:)I fu~l at any time ... 

(3) "Alternative-Fueled Engine" means an engine that is fueled with a fuel 

meeting the definition of alternative fuel. 

(4) "Alternative Diesel Fuel" means any fuel used in diesel engines that is not 

commonly or eommereially lmovm, sold or represented as a reformulated 

diesel fuel No. 1 D or No. 2 D, 13ursuant to the SFJeeifieation for Diesel f'uel 

Oils 0975 81 as defined in sections 2281 and 2281 of title 13, California Code 

of Regulations ICCR), and does not require engine or fuel system 

modifications for the engine to operate, although minor modifications (e.g. 

6 
recalibration of the engine fuel control) may enhance performance. Examples 

of alternative diesel fuels include, but are not limited to, biodiesel, Fischer 

Tropsch fuels, and emulsions of water in diesel fuel. Natural gas is not an 

alternative diesel fuel. An emission control strategy using a fuel additive will 

be treated as an alternative diesel fuel based strategy unless: 

(A) The additive is supplied to the vehicle or engine fuel by an on-board 

dosing mechanism, or 

(B) The additive is directly mixed into the base fuel inside the fuel tank of the 

vehicle or engine, or 

(C) The additive and base fuel are not mixed until vehicle or engine fueling 

commences, and no more additive plus base fuel combination is mixed 

than required for a single fueling of a single engine or vehicle. 

(5) "ARB" means the California Air Resources Board. 

(6) "ARBER" means the ARB's Equipment Registration system. 

fefill "B100 Biodiesel Fuel" means 100% biodiesel fuel derived from vegetable 

oil or animal. fat and complying with .American Society for Testing Materiais; .. ; . • 

fASTM}D 6751-02 and commonly or commercially known, sold, or • · · · ·· --···- -

represented as "neat" biodiesel or B100. B100 biodiesel fuel is an alternative 

diesel fuel. 

-RfiD. "B100 Biodiesei-Fueled" (compression-ignition engine) means a.· 

··•·· compressioncignition enginethatisJuelecLbyBJOO.biodieselfuel: 

. (9) "Broker" means a person, other than amotorcarrier or an employee or agent~-':,_·;.'>:_, __ ;: ...... 

. < : .. ..•... : ofa motor carrier, that as a .principal or•agent sells; offers for sale;.neqotiates:?''iL~2' •::-c-;.;_i'i 

for, or holds itself out by solicitation, advertisement, or otherwise as selling, · 

providing, or arranging for, transportation by motor carrier for compensation. • •• • .r ; ' 

tsf.{1Q}"Business" means an entity organized for profit including, but not limited 

to, an individual, sole proprietorship, partnership, limited liability partnership; 

corporation, limited liability company, joint venture, association or 

cooperative; or solely for purposes of the Prompt Payment Act (Government 

Code 927 et seq.), a duly authorized nonprofit corporation. 

(11) "California-based shipper" means a shipper that operates a facility in 

California where wholesale freight is located prior to its transportation. 

(12) "California-based receiver" means a receiver that operates a facility in 

California where wholesale freight is received. 

7 
I. 

l.. 

I 

f91Ul}"California-Based TRUs and TRU Gen Sets" means TRUs and TRU gen 

sets equipped on trucks, trailers, shipping containers, or railcars that a 

reasonabJe person would find to be regularly assigned to terminals within 

California. 

fWj.(Hl"CARB Diesel Fuel" means any diesel fuel that is commonly or 

commercially known, sold or represented as diesel fuel No. 1-D or No. 2-D, 

pursuant to the specification for Diesel Fuel Oils D975-81 and meets the 

specifications defined in 13 CCR 2281, 1.3 CCR 2282, .and 13 CCR 2284. 

ft'i1.{1§l"Carbon Monoxide (CO)" means a colorless, odorless gas resulting from 

the incomplete combustion of hydrocarbon fuels. 

~@"Carrier" means any person, party, or entity who undertal(eS the transport 

of goods H-om one point to another "motor carrier". 

~.{1ll"Certification" means the obtaining of an Executive Order for a new 

off-road compression-ignition engine family that complies with the off-road 

compression-ignition emission standards and requirements specified in the 

title 13 California Code of Regulations, Title 13, a§.ection 2423. A "certified 

engine" is an engine that belongs to an engine family that has received a 

·certification- Executive Order. . ,,. ''• 

f-14111.ID."Certification Data" means the ARB Executive Order number and related 

exhaust emission data for each test cycle mode used to certify the engine · 

family and obtain the certification level shown in the certification Executive 

Order. Such data includes modal exhaust emissions .data for nitrogen oxides, ·· ·.·' · · · 

····nonmethane hydrocarbons, carbon monoxide,:and particulate matter:e· •• ''''"'"•··: :;:n!D•: :c:o: 

includes, as a minimum, torque, engine speed,weighting factor, power,·mass · · 

· · ·. emissiOIJJ<Jte {grams p~rhour); ancJ. certifigation test fuel. 

---- <~ .. :- ___ .__, _____ .. ~::' :::~. 

~Dm"Compression Ignition (CI) Engine"·means an internal combustiori·engine ·· 

with operating characteristics significantly similar to the theoretical diesel •.. · : 

combustion cycle. The regulation of power by controlling fuel supply in lieu of ·· ···' 

a throttle is indicative of a compression ignition engine. 

f'l-@t(20)"Consignee" (see receiver). 

f1-7t.{W"Consignor" (see shipper). 

~(22l"Cryogenic Temperature Control System" means a heating and cooling 

system that uses a cryogen, such as liquid carbon dioxide or liquid nitrogen 

that is routed through an evaporator coil that cools air blown over the coil. 

The cryogenic system uses a vapor motor to drive a fan and alternator, and a 

propane-fired heater superheats the carbon dioxide for heating and 

defrosting. Electrically driven fans may be used instead of a vapor motor and 

8 
. ---,' 

heating and defrost needs may be met by using electric heaters and/or 

vehicle engine coolant. 

(23) "Delegation" means entrustina bv contract another party to act on the 

owner's behalf without forfeiture of any rights or property. 

fWj(24)"Deterioration Factor (DF)" means a factor that is applied to the 

certification emission test data to represent emissions at the end of the useful 

life of the engine. Separate DFs apply to each measured pollutant, except 

that a combined NMHC+NOx DF applies to engines that do not use 

aftertreatment devices. Decreasing emissions over time would not be 

allowed to offset increasing emissions of the other pollutant in this combined 

DF. 

t2-0}(25l"Diesel Fuel" means any fuel that is commonly or commercially known, 

sold, or represented as diesel fuel, including any mixture of primarily liquid 

hydrocarbons - organic compounds consisting exclusively of the elements 

car\Jon and hydrogen- that is sold or represented as suitable for use in an 

internal combustion, compression-ignition engine. 

~(26l"Diesei-Fueled" means fueled by diesel fuel or GARB diesel fuel in whole 

--or in .part;.-except- as.: allowed fora pilot ignition .source under the.: definitiop-ofQr,,- _:;;,. .. ,:· .. ·:::~:-- ... .r-.~~-· .·:~-,.-~-.-:. 

· "alternative fuel". · · · - ·· 

~(27)"Diesel Oxidation Catalyst (DOC)" means the use of a catalyst to 

promote the oxidation processes in diesel exhaust. Usually refers to an 

emission control device that includes a flow-through .substrate where the ·. . · 

surfaces. that contact the•exhaustJiow-.have. been .. catalyzed to reduceY~''''''-'"'' ;· •• · J>'c-:Cl2-:··-c.::·· 

· emissions of the organic fraction of diesel particulates, gas-phase • · ,_.,.,,. · ,.,. · ··.c:· •• ·· 

hydrocarbons, andcarbon monoxide. · ... 

· · • ~(28)"Diesel Particulate Filter (DPF)" means an emission control technology ·· 

that reduces PM emissions by trapping the particles in a flowfilter substrate, .' 

.Periodically the collected particles are either physically removed or oxidized•.• 

(burned off) in a process called regeneration. 

~(29l"Diesel Particulate Matter" means the particles found in the exhaust of .. 

diesel-fueled Cl engines. Diesel PM may agglomerate and adsorb other 

species to form structures of complex physical and chemical properties. 

(30) "Dispatch" means to coordinate deliverv. pickup, and drop-off schedules of 

vehicles; and monitor the deliverv of freight from these vehicles. 

(31) "Dispatched driver" means the driver of a truck or tractor-trailer 

combination that has been dispatched by a motor carrier. freight broker or 

forwarder. shipper. or receiver. 

9 

'\"', 
I 

(32) "Driver" means a person who physically operates a truck or tractor. 

Drivers may also be an owner or an operator. Drivers are not railroad 

engineers. 

~(33)"Duai-Fuel Engine" means an engine designed to operate on a 

combination of alternative fuel, such as compressed natural gas (CNG) or 

liquefied petroleum gas (LPG), and conventional fuel, such as diesel or 

gasoline. These engines have two separate fuel systems, which either inject 

both fuels simultaneously into the engine combustion chamber or fumigate 

the gaseous fuel with the intake air and inject the liquid fuel into the 

combustion chamber. 

~(34)"Effective model year" or "effective engine model year" is an alternative 

model-year designation (see definition of "model year") for a new replacement 

engine, rebuilt replacement engine, or flexibility engine when the engine does 

not meet, at the time of manufacture, the most stringent emission tier 

standard for a new engine in effect for the horsepower rating of the engine. 

When an engine is manufactured to meet a less stringent prior-tier emissions 

standard than is currently in effect, the effective model year is the last year 

that the prior-tier emission standard was in effect. Table 1 lists the tier 

';st~ndards,thatapply::to:.TRtJs,:and::TRU: gen sets- and. the corre.spondiog-::, -"', :;:_::; /:: .. ,;.s,_,:·,~;c·::_:-~:~~:,2 --·-::" _,_ .. -i 

effective model years. · · · · · ·· · · · ··· 

Table 1 

· ·• Prior-Tier Engine • .. · Tier Standard • 

Effective Years 

• Effective Mode/.•ll··.:r·ci'•i"'•··': c>••·:?~<•l :.c···:, . ;:-;;·,-.·, , .. EmissionsStandard • 

-•· ... Tier 1, under25 H ·truck · 

Tier 2, 25-50 H ·trailer)· 

Tier 2, under 25 Hp (truck) 

Tier 4i, 25-50 hp trailer) 

1999-2003 

2000-2004 

. 2004-2007 . 

2005c2007 

2008-2012 

Year 

2003 

2004 

. 2007 

2007 

2012 

(35) · "Electric-Standby-Equipped TRU" means a TRU that is equipped with an integral 

diesel-fueled internal combustion engine and electric-powered motor and the 

refrigeration system may be driven by either the diesel-fueled internal 

combustion engine or the integral electric motor. 

(36) . "Electronic Tracking Svstem" means a system that meets the following criteria: 

1 Effective model year applies for this tier only after Tier 4f becomes effective in 2013 for 25 to less than 50 hp 

engines. 

10 

:, _ _ . -
(A) The tracking device must acquire, at a minimum, date. time, TRU engine hour 

meter reading, and location data at a rate of at least one reading per minute .. 

with no more than 10 minutes data gap. 

(B) The tracking device must be capable of determining if the TRU or TRU gen 

set location is within California and determining the TRU engine run time in 

California for each day. 

(C) The tracking records must be collected by an independent entity with no 

business relationship to the owner or operator of the TRU or TRU gen set 

being tracked, other than to provide the tracking service. The data shall be 

stored on a server that is secure from tampering and inaccessible to the TRU 

or TRU gen set owner or operator. other than to download reports over the 

Internet. An inspector shall have free access to download reports from this. 

website over the Internet that show the TRU or TRU gen set engine operation 

in California for each day. 

~(37)"Emergency" means any of the following times: 

(A) A failure or loss of normal power service that is not part of an "interruptible 

service contract" (seedefinition in subsection (d)section 2477.4); 

(B) A failure of a facility's internal power distribution system, provided the failure 

is beyond the reasonable control of the operator; 

"'' • ,,,,,, ·· .. • .. · · · (G) When an•affectedfacility .is placed:under an involuntary "rotating•outage!':(see::;,;>:::•scJ:,,,,, .. ,,,, 

definition in subsection (d)section 2477.4). "·' · ·· ···· • ·~·· · • 

(Dl When the President of the United States or the Governor of the State of 

California declares a state of emergency related to any type of disaster where· · 

TRU-equipped trucks or trailers provide foodservice to incident responders. 

···· including but not limited to, forest fires and earthquakes. 

> ,.yrrc·::.::·,):•·:,:• ·(E) When the NationallnteragencyFire Center dispatches mobile catering·•:•·.~:.~;,::s::i;o,< ,.,, :'.''·"' • 

· ·"' · ···· · ··· · ··• service businesses with TRU-equipped trucks or trailers to provide · ·••••· · ,,, ·· ••... ,,, .. ·· 

foodservice to incident responders located in California, 

(38) "Emissions Control Group"· has the same meaning as defined in title 13 CCR 

section 2701 

· ~(39)"Emission Control Strategy" means any device, system, or strategy employed 

with a diesel-fueled Cl engine that is intended to reduce emissions. Examples of 

emission control strategies include, but. are not limited to, particulate filters, diesel · 

oxidation catalysts, selective catalytic reduction systems, alternative fuels, fuel 

additives used in combination with particulate filters, alternative diesel fuels, and 

combinations of the above. 

f2-91(40)"Emissions Rate" means the weight of a pollutant emitted per unit of time (e.g., 

grams per second). 

~W"Executive Officer" means the Executive Officer of the California Air Resources 

Board or his or her delegate. 

11 
~(42l"Facility" means any facility where TRU-equipped trucks, trailers, shipping 

containers or railcars are loaded or unloaded with perishable goods. This 

includes, but is not limited to, grocery distribution centers, food service 

distribution centers, cold storage warehouses, and intermodal facilities. Each 

· business entity at a commercial development is a separate facility for the 

purposes of this regulation, provided the businesses are "independently owned 

and operated" (see definition in S\fSsection fEif2477.4). 

~(43)"Facility Control (of TRUs or TRU Gen Sets)" means the TRUs or TRU gen sets 

located at the facility are owned or leased by the facility, its parent company, 

affiliate, or a subsidiary, or under contract for the purpose of providing carrier 

service to the facility, and the TRUs' or TRU gen sets' arrival, departure, loading, 

unloading, shipping and/or receiving of cargo is determined by the facility, parent 

company, affiliate, or subsidiary (e.g. scheduled r€)ceiving, dispatched 

shipments). 

~(44)"Fischer-Tropsch Diesel Fuel" See "ultra-low-aromatic synthetic diesel fuel". 

~(45)"Fiexibility engine" means an engine installed in new equipment by an original 

equipment manufacturer under the Transitional Program for Equipment 

........ ,,. • ··• , •. , :·· ·· Manufacturers. in.accordancewith title40:Code-ofFederai.Regulations(40 •. CER)"• •-:~.::·· ·,:,,:••:·:, 

sections 89.102 and 1039:625, and title 13 CCR section 2423(d). Such engines 

.shall use the "effective model year" designation for purposes of compliance with 

this subarticle, except as allowed under subsection (e)(1 )(B)5.a.section · 

2477.5(b)(5)(A) . 

... .(47)• "Freight Forwarder" means a person.holding itselfoutto the generalpublic(othen•32:c~:;_,_ 

.· - than as a pipeline, rail, motor, or water carrier) to provide transportation of '· ? :c'.>'·'' 

.···property for compensation and in theordinarycourse of its business does the·· 

following: · • 

(A) Assembles and consolidates, or provides for assembling and consolidating. ·.•··· 

shipments and performs or provides for break-bulk and distribution operations · 

of the shipments: 

{B) Assumes responsibility for the transportation from the place ofreceipt to the .. 

place of destination: and 

(C) Uses for any part of the transportation a motor carrier or rail carrier. 

~(48)"Fuel Additive" means any substance designed to be added to fuel or fuel 

systems or other engine-related engine systems such that it is present in-cylinder 

during combustion and has any of the following effects: decreased emissions, 

improved fuel economy, increased performance of the engine; or assists diesel 

emission control strategies in decreasing emissions, or improving fuel economy 

or increasing performance of the engine. 

12 
~(49)"Generator Set (gen set)" means a Cl engine coupled to a generator used as a 

source of electricity. 

(50) "Highway" has the same meaning as defined in California Vehicle Code 

section 360. 

(51) "Hybrid electric TRU" means a TRU that is powered by an integral diesel-fueled 

internal combustion engine coupled to an electric generator that provides electric 

power to an electric motor-driven refrigeration system and fans within the same 

housing and is designed to control the environment of temperature sensitive 

products that are transported in trucks and refrigerated trailers. Hybrid electric 

TRUs may be capable of both cooling and heating. 

~(52l"Hybrid Cryogenic Temperature Control System" means a temperature control 

system that uses a cryogenic temperature control system in conjunction with a 

conventional TRU. 

~(53)"1ndependent!y Owned and Operated" means a business concern that 

independently manages and controls the day-to-day operations of its own 

business through its ownership and management, without undue influence by an 

:::, .. ;,,;; ••.• ,. ,c;;: ,,:•· •.·.,· • • ··.· outside entity.or.person that.may have.anownership .and/or-financiaLinterest in :•. 

the management responsibilities of'the applicant business or small business.-··· · · · · 

~(54)"1ntermodal Facility" means a facility involved in the movement of goods in·one ·· 

and the same loading unit or vehicle which uses successively several modes oftransport without handling of the goods themselves in changing modes. Such a 

facility. is typic<3lly invqlv_edjn loa(jing and unl()ading-refrigerated .shipping · · 

· · ... · containers and trailers to and from railcars; trucks, and ocean-going ·ships:···· ·· · · • ... · ·•· · · 

···- .. .. -- . 

. _ :(4Qt(55)"1nterruptii:Jie$ervice Contracf'mean$·,anyarrangemf;nt in.which . .a. 

nonresidential electrical customer agrees to .reduce or consider reducing its· ·· · .. , · · · 

electrical consumption during periods of peak demand or at the request of the .. 

System Operator in exchange for compensation, or assurances not to be blacked • • ·· 

out or other similar non-monetary assurances. 

t#t(56)"1n:Use TRU, TRU gen set, or engine" means a.TRU, TRU gen set, or engine ... 

that is not a "new" TRU, TRU gen set, or engine. 

~(57)" Low Emission TRU (LETRU or L)" means a TRU or TRU gen set that meets 

the performance standards described under paragraph (e)(1 )(/\) 1. or 

(e)(1)(/\)2.section 2477.5(a)(1) and (2). 

~(58)"Manufacturer" means a business as defined in Government Code§ 14837(c). 

13 
t44fl59l"Military tactical support equipment (TSE)" means equipment that meets military 

specifications, owned by the U.S. Department of Defense and/or the U.S. military 

services, and used in combat, combat support, combat service support, tactical 

or relief operations, or training for such operations. 

~(60) "Model Year (MY)" means the following: 

(A) The designation used for engines manufactured to meet the emissions tier 

standard in effect for new engines at time of manufacture (see alternative 

designation, "effective model year, defined above); and 

(B) The diesel-fueled engine manufacturer's annual production period, which 

includes January 1st of a calendar year, or if the manufacturer has no 

annual production period, the calendar year. 

161) "Motor Carrier" means a person providing motor vehicle transportation for 

compensation. 

~(62)"New TRU, TRU Gen Set, or Engine" means any TRU, TRU gen set, or engine 

that has never been subject to a retail sale or lease to an "ultimate purchaser" 

(see definition in wesection W2477.4). 

f4BI63)"Nitrogen Oxide (NOx)" means compounds ofnitric oxide (NO);·nitrogen dioxide· 

(N02), and other oxides of nitrogen. Nitrogen oxides are typically created during 

combustion processes and are major contributors to smog formation and acid·-

deposition . 

... ,,,, ... , J''.<~I64)"Non"California"BasedTRUs andTRUGen.Sets"•means TRUs _and TRU:gen· ······c <.:•:•,.•,:•::• •. • 

· · · '' · ·. -- · sets that are equipped on or used in trucks, trailers; shipping containers, or · • •- __ ,, .. · 

railcar~thatareasonable personwoulcl fi11d to beregularly assigned to terminals· 

outsid€l of Californiaand.operate in California from time to time for the purpose of •. 

transporting perishable goods into or out of the state: 

· ~(65)"Non-methane Hydrocarbons (NMHC)"means.the.sum of all hydrocarbon air• -·-

. pollutants except methane. NMHCs are precursors to ozone formation . 

.. · [6-6J-"I'Ji5ili'etaimeliverv or PickWPoint" means wnolesaleoerisnal5lergoods _ ..... _______ .... __ _ 

distribution facilities or businesses in the supply chain prior to retail facilities or 

businesses. This includes, but is not limited to, food manufacturing facilities, 

shipper warehouses. transfer points, distribution centers, cold storage 

warehouses. and intermodal facilities where perishable goods are loaded or 

unloaded. 

~(67)"0perate" means to start, cause to function, program the temperature controller, 

select an operating program or otherwise control, fuel, monitor to assure proper 

14 
operation, or keep in operation. A TRU that is operational (e.g. capable of being 

operated) shall be considered to operate if it is in California. 

{&B(68)"0perator" means any person (as defined), party or entity that operates a TRU 

or TRU gen set for the purposes of transporting perishable goods, excluding an 

employee driver and third party maintenance and repair service, and including 

but not limited to a:_(/\) Mmanufacturer, producer, supplier, carrier, shipper, 

consignor, consignee, receiver, distribution center, or warehouse of perishable 

goodsi. An operator may also be the driver if it is also the owner (e.g. 

independent owner-operator). 

(19) An inelividual, trust, firm, joint stool< company, business eoneorn, 

partnership, limited liability company, association, or corporation ineluding but 

not limited to, a government corporation; 

(C)/\ny eity, county, elistriet, commission, the state or any elepartment, 

agone;•, or political subelivision thereof, any interstate body, and the feel oral 

government or any department or agency thereof to the e>Etent permitted by 

Jaw.. 

(69) "Original equipment manufacturer (OEM)" means any person that originallv 

manufactured new equipment for sale in commerce. This does not include a 

dealer who receives new equipment for sale in commerce. 

-~{70)"0wner" means any person tt:Iat legally holds tt:Ie title (or its equivalent) showing·· · · · ··· • ·· · 

ownership of a TRU or TRU gen set, eJEeluding a bani( or other financial lending 

· institution, and including but not limited to: · · · ·· · 

(A) Manufacturer, producer, Sllpplier, carrier, st:Iipper, consignor, consignee, 

receiver; distribution center, waret:Iouse; ... · . "'c '· 

· ·. (B) An individual, trust, firm, joint steel( company, business eoneern, .partnership·, 

limited.liability company, association,. or corporation .ineluding but notlimito.d •. , , . " . 

to, a governmont corporation;·· 

(C) Any eity, county, district, commission, the state or any department, agency, • 

or political subdivision thereof, an)' interstate body, and the federal 

government or any department or agenoy tt:Iereof to the e>EteAt permitted by 

.Jaw... 

means. except as modified by paragraphs (Al or (8) below, the person legally 

holding title (or its equivalent) to the TRU orTRU gen set, or either the person 

(see definition) registered as the owner or lessee of a vehicle by the California 

Department of Motor Vehicles or its equivalent in another state, province, or 

countrv, as evidenced on the vehicle registration document carried in the vehicle 

to which the TRU is attached, unless such person, can clearly demonstrate, with 

written documentation. that another person (e.g., a lessee) is financially 

responsible for the maintenance of the TRU or TRU gen set, including 

15 

,.,. , .. ,... .... 
:";·:. ,. 

responsibility for installing and maintaining the emissions control technologies on 

the TRU or TRU gen set. and registering the TRU with the California Air 

Resources Board's Equipment Registration (ARBERl system, as required by this 

subarticle. An owner may also be a driver or operator. 

(A) Banks, other financial lending institutions, or other entities engaged in the 

act of financing TRUs are not owners, for the purposes of this subarticle 

unless they otherwise have an obligation to comply with this regulation (e.g., 

contractually responsible for the maintenance of a TRU under a sales or 

lease agreement) . 

(B) For a TRU-equipped truck or trailer, or TRU gen set owned by the federal 

government and not registered in any state or local jurisdiction, the owner 

means the department. agency, branch, or other entity of the United States, 

including the United States Postal Service. to which the vehicles in the fleet 

· are assigned or which have responsibility for maintenance of the vehicles. 

~fZ.1)."0wner/Operator" means a requirement applies to the owner and/or operator of 

a TRU or TRU gen set, as determined by agreement or contract between the 

parties if the two are separate business entities. 

, , :.~(72l"Parent Company" means a company thathas a controlling interestin"another::•z.': .· 

company, usually through ownership of more than one~halfthevoting stock.· · ·· .. · · · -- · · · · 

~(73l"Particulate Matter (PM)" means the particles found in the exhaust of Cl ···. · 

engines, which may agglomerate and adsorb other species to form structures of 

complex physical and chemical properties. · · . . . . · · 

.:"Person" means··an- individual. corporation; business--trusc·estate,c·trust :-,>.·-~:.,;,-,·~-:: :•_ .. _, .•. _ · · ··••· ,.,_,. · 

partnership, limited liability company, association. joint venture, government·'-· .' ..·.· ,,,.,,,, 

· · . governmental subdivision ,agency,. orinstrumentality; public corporation, onaiWc•'cCi.•to'i:•;:.c+:.;: , .... 

other legal or commercial entity. · .... ·· 

,., · ··(75) ·Prior-Tier Replacement Engine'' means a new replacement engine manufactured· 

under title 40 CFR, section 89.1003 and 1068.240, and title 13 CCR, section 

2423(il, as those sections existed on August 31, 2012, that meets a.prior tier of 

the new engine emissions standards than the tier of standards currently in .effect. .. 

at the time of manufacture. 

(76) "Rail Carrier" means a person providing common carrier railroad transportation . 

for compensation. but does not include street. suburban, or interurban electric 

railways not operated as part of the general system of rail transportation 

~(77)"Rated Brake Horsepower" means the power delivered, according to the 

statement of the engine manufacturer, at the rated speed. 

16 
tQ1(78)"Real Emission Reductions" means that an action is taken that results in 

reductions in the PM emission rate of an in-use engine (e.g. a VDECS is. installed 

that reduced the PM emissions rate by more than 50%). 

~(79l"Receiver" means the person, party, or entity that receives shipped goods, 

cargo, or commodities. 

~(80)"Refrigerated Trailer" means a trailer van, railcar, or shipping container 

equipped with a TRU or TRU gen set. Pursuant to Health and Safety Code . 

section 39618, refrigerated trailers are mobile sources and shall be regulated by 

the ARB on a statewide basis. · 

(81 l "Repower" means to replace an existing engine in a vehicle or piece of 

equipment with another engine that is within the same categorv as the original 

engine and that is certified to emissions standards that are more stringent than 

the emission standards of the original engine (e.g. replacing a Tier 1 engine with·· ··· 

a Tier 2 or later engine). 

(82) "Retail Deliverv Point" means facilities or businesses where perishable goods are 

delivered to retail businesses that sell these goods to end users. This includes, 

but is not limited to, grocery stores, convenience stores, drug .stores, restaurants, 

· .,.,_ .. ,, .. ,_,_,, .,.,_ and prisonoroschool cafeterias,. . ._ ... 

~(83)"Rotating Outage" means a controlled involuntary curtailment of electrical power 

service to consumers as ordered by the system operator- see definition in ,., · 

Slffisection f€112477.4. 

(84) "Semitrailer" means a ''Semitrailer" as defined-in section 550 of:the California._· __ -"--'-'-"'·'' 

· ""' - Vehicle Code. 

·-- . ·- -· 

'''" -"' ,,~- •·:@:B(85)".Shipp_ef''.meansthe.person; __ party,.()f'entitywllo usuallyownsQrsuppliesth.§• ;;n ,_ ,_,,,_.-_.,,,, .. 

commodities shippedtransported by a carrier. or that has possession of freight ---

prior to its transportation. This may include, but is not limited to, food 

manufacturers, processors, packing plants; temporarv cold storage facilitiesrand,,_, 

·· '· ' distribution centers. 

~(86)"System Operator" mean§ one of the sE)v§ral organizationsthat c;ontrol energy. · 

in California. System operators include, but are not limited to, the California 

Independent System Operator, the Los Angeles Department of Water and 

Power, the Imperial Irrigation District, the Sacramento Municipal Utility District. 

f@Jf(87)"Terminal" means any place where a TRU or TRU gen set equipped truck, 

trailer, shipping container, railcar or TRU gen set is regularly garaged, 

maintained, operated, or dispatched from, including a dispatch office, cross-dock 

facility, maintenance shop, business, or private residence. 

17 
(88) "Terminal Operator" means the person that owns a terminal. 

t@4j(89)"Tier 4 Nonroad/Off:road Emission Standards" means the emission standards 

and associated procedures promulgated by U.S. Environmental Protection 

Agency in "Control of Emissions of Air Pollution from Non road Diesel Engines 

and Fuel; Final Rule" (Vol. 69, No. 124 Fed.Reg. pp. 38957-39273 (June 29, 

2004). 

(90) "Third Party Agreement Confirmation Information" means the information used to . 

notify ARB that responsibility for registering a TRU in ARBER has been 

delegated to the lessee or to a consultant. 

~.ill1}"Transport Refrigeration Unit (TRU)" means refrigeration systems powered by 

integral internal combustion engines designed to control the environment of 

temperature sensitive products that are transported in trucks and refrigerated 

trailers. TRUs may be capable of both cooling and heating. 

(92) "Trailer" means a semitrailer. 

twj(93)"TRU Generator Set (TRU gen set)" means a generator set that is designed and· 

used to provide electric power to electrically driven refrigeration units of any kind. 

- . ,, · This. includes,~but is not limited to gen sets that provide electricity.to electricaiiYJE•.:·.u;;r ,_,, •• ,.,,, .. ~-''""" 

··powered refrigeration systems for semi~trailer vans and shipping containers: 

·· ·· ~(94l"UitimatePurchaser"means withrespect to a new TRU, TRUgen set; or.·;····- · ······ 

engine, the first person who in good faith purchases a new TRU, TRU gen set, or 

engine for purposes other than resale. 

• •• . • . ••• • 

;_·I 

- teSf(95)"Uitra-LowcAromatic Synthetic Diesel Fuel" means fuel produced from natural "'"'""''"" '-·~1 

. gas, coal, orbiomC!SS by the Fischer-Tropsch gas-to-liquid chemical comzer!)ion . ~ 1 : 

, ••. _._.. e . .proc~ss, orsi.milar.process that-meets.theJollowing properties: .,,_.,,, s~:·.C';c•c:_-::."•"'"'''''';''·•••••• 

:· ~'. ·,-

Table 2 .. 

Property ···-·····-.. ·_ :. •-.. •._ ···-· .••.••. c })<" . . . . . ..... '•"ASTM > ·-·····value···• •I· ' 

SulfurContent (pprnw) . D5453-93 <1 . .. ·.•: 

Total Aromatic Content (wt %) D5186-96 <1.5% 

PolynuclearAromatic Content (wt %) . . D5186-96 . <0.5% .. 

Natural Cetane Number . D613-84 >74 

t@91(96)"Uitra-Low Emission TRU (ULETRU or U)" means a TRU or TRU gen set that 

meets the performance standards described under subparagraph§ 

(e)(1)(A)1.2477.5(a)(1) and (e)(1)(/\)2.2477.5(a)(2) or that uses an "alternative 

technology" in accordance with subparagraph (e)(1)(/\)3. 2477.5(a)(3). 

18 
f+Gt(97)"Verification Classification Level" means the classification assigned to a Diesel 

Emission Control Strategy by the Executive Officer as defined in the Verification 

Procedure, Warranty and In-Use Compliance Requirements for In-Use Strategies 

to Control Emission from Diesel Engines (13 CCR Sections 2700-2710). PM 

reductions correspond as fqllows: Level 1: <=25%; Level 2: <=50%; Level 3: <:85% 

or 0.01 g/hp-hr. · 

f74t(98)"Verified Diesel Emission Control Strategy" (VDECS) means an emission 

control strategy designed primarily for the reduction of diesel particulate matter . 

emissions that has been verified per the Verification Procedure, Warranty and 

In-Use Compliance Requirements for In-Use Strategies to Control Emissions 

from Diesel Engines (13 CCR Sections 2700-2710). Examples of diesel retrofit 

systems that may be verified include, but are not limited to, diesel particulate 

filters, diesel oxidation catalysts, fuel additives (e.g. fuel-borne catalysts), 

alternative fuels (e.g. dual fuel), alternative diesel fuels, and combinations of the 

above. 

NOTE: Authority cited: sections 39600, 39601. 39618, 39658 39659, 39666, 39667 39674, 39675. 42400, 42400.1, 

42400.2, 42400.3.5, 42402 42402.2,42410 43013,43018. California Health and Safety Code. Reference: sections 

39618 39650,39658 39659,39666,39667,39674,39675 42400.42400.1,42400.2.42400.3.5 42402, 42402.2; 

42410.40717.9.43013, and 43018. 

.. tef2477.5 Requirements for Owners or Owner/Operators. · ·· ··" 

(1) lA Use OperatieR: 

W!ID In-Use Performance Standards: In accordance with the schedule set forth • · 

below in paragraph (eQ)ffifBt, no owner or qwner/operator shall operate. aTRU•c:.:•~T· 

· or TRU gen set·in California unless·it meets the in-use emission category·,., ·, , __ ,,. •·•· ,_,,,.,,,,.,.". •I 

, . ··· performance standards set forth below. ··· · ··· ·· 

-'h-ill In-Use performance standard categories for TRU and TRU gen set· 

engines with rated brake horsepower less than 25 horsepower ,, , . · 

(<:25 hp) are shown in Table 3, along with the engine certification ·· · · 

· standards or the level of Verified Diesel Emission Control Strategy 

(VDECS) (see definition) that is necessary to qualify for each 

. _:.category .. 

19 
Table 3 

<25 HP TRU and TRU Gen Set In-Use PM Performance Standards 

. •. . Engine Level of VDECS • 

.In-Use Emission Category Certification. Equipped with.· . I . . . . 

.··· ... . · (glhp-hr) · ·. . . .. · ..... ·.···· .. 

Low Emission TRU (LETRU or L) 0.30L Level2 

Ultra-Low Emission TRU NA" Level 3 

. JULETRU or U}_ . 

a-(A) Compliance with the in-use performance standards can be 

achieved by: 

hi,. Using a certified engine meeting the applicable nonroad/off:road 

emissions standards for all regulated pollutants and the in-use PM . 

performance standard. Only engines for which certification data 

and deterioration factors have been .provided to ARB shall be 

considered when determining compliance. The Executive Officer 

will consider such submitials, publish, and make available a list of 

qualifying engines. 

Equipping the engine with the required Level of VDECS. 

In-Use performance standard categories for TRU and TRU gen set 

engines with rated brake horsepower greater than or equal to 

25 horsepower (225 hp) are shown in Table 4, along with the engine 

certification standards or the level ofVDECS that is necessary to · 

· ·/• qualify for each category. 

Table.4 

225 HP TRU and TRU Gen·Set In-Use PM Performance Standards 

ln"Use Emission Category Engine Level of VDECS .. . 

Certification Equipped illlith 

Low Emission TRU (LETRU or L 

Ultra-Low Emission TRU 

ULETRU or U 

/h •hr 

0.02 

2 The Engine Certification value for the Low Emission TRU category corresponds to the "IAieFiffi" Tier 4 

Nonroad/Off:road Emission Standards that are to go info effect in 2008. 

Level2 

Level 3 

3 Not Applicable- must choose another compliance option. 

4 The Engine Certification value for Low Emission TRU category corresponds to the "Interim" Tier 4 Nonroad/Off:road 

Emission Standards that are to go into effect in 2008. 

5 The Engine Certification value for the Ultra-Low Emission TRU category corresponds to the Tier 4 "final" 

Nonroad/Off:road Emission Standards that will go into effect in 2012 or 2013. · 

20 
a,(A) Compliance with the in-use performance standards can be 

achieved by: 

hi, Using a certified engine meeting the applicable nonroad/off-road 

emissions standards for all regulated pollutants and the in-use PM 

performance standard. Only engines for which certification data and 

deterioration factors have been provided to ARB shall be considered 

when determining compliance. The Executive Officer will consider 

such submittals, publish, and make available a list of qualifying 

engines. 

J.h2. Equipping the engine with the required Level of VDECS. 

~@As an alternative to meeting the ULETRU in-use performance standards in 

Stffisections 2477.5(e§)(1)~ and .(2h an owner/operator may operate a 

TRU or TRU gen set in California meeting one of the Alternative Technology 

options listed below. Alternative Technologies qualify to meet the ULETRU 

in-use performance standard only if the TRU or TRU gen set is operated 

under the conditions included in the description listed below. 

&.-(A) Hybrid Electric TRU or e.s1,lectric standby-equipped TRU may qualify 

· as an Alternative Technoloqy, .. provided the following. conditions are;; .. 

·met: 

L -#lat-t:Ihe TRU is not 013erated shall not operate under diesel 

engine power while at a non retail facility, except during~ 

g,_ a6n emergency (as defined); 

b. Normal ingress, egress, and yard maneuvering, limited to 

5 minutes per movement inside the facility fenceline or 

·property boundarv: or · 

c. Unit/engine pre-trip inspections, troubleshooting diagnostics, 

and post-repaircheck-ouUhowever, this exception does not 

apply to the initial van chill-down before loading); 

.. 2. The facility or facilities that a TRU is normally based or 

· ···frequents to load or unload perishable goods shall be equipped· 

With electric power plugs located in the parking areas and 

loading spaces and the TRU shall be plugged into these power 

plugs during initial chill-down and whenever the refrigerated van 

or container contains perishable products: 

3. All nonretail deliverv and pick-up points (as defined) that the 

E/8-equipped TRU frequents to load or unload goods shall be 

equipped with electric power plugs if the van load includes 

perishable goods. Electric power plugs shall be located in the 

parking areas and loading spaces and the TRU shall be plugged 

into these power plugs during initial chill-down and whenever 

the refrigerated van or container contain perishable goods and 

may need to operate: 

21 
•• ":-- 0 ':· ··: 

4. The TRU engine run time at retail delivery points (as defined) 

shall not exceed 30 minutes. otherwise electric power plugs are 

also required at those retail delivery points and must be used to 

prevent engine operations that exceed 30 minutes at the 

delivery point: 

5. The TRU shall be equipped with non-resettable engine hour 

meters and electric power use hour meters; 

6. At least 50 percent of an owner's hybrid electric or electric 

· standby-equipped TRUs shall be equipped with an electronic 

tracking systems by December 31, 2012. and 1 DO percent of an 

owner's hybrid electric or electric standby-equipped TRUs shall. 

be equipped with electronic tracking systems by 

December 31, 2013; and 

7. The TRU shall be registered in ARBER in accordance with 

section 2477.5(e). 

&.-.(ID Cryogenic temperature control systems or hHybrid cryogenic 

temperature control systems may qualify as an Alternative 

Technology, provided the following conditions are met: 

_1._that-tihe TRU does not operate under diesel engine power 

-while at a non retail facility, except during~ 

·· a: .aAn emergency~.. ., .. 

b. Normal ingress and egress yard maneuvering; or 

c. Unit/engine pre-trip inspections, diagnostics, and repair 

operations; 

2. The TRU engine run time at retail delivery points (as defined) 

shall not exceed 30 minutes, otherwise purely cryogenic 

temperature control shaiLb.e. used at those retail delivery points · 

to prevent engine operations that exceed 30 minutes at the 

delivery point ; 

,.. 3. The TRU shall be equippedwith non-resettable engine hour .. 

meter and cryogenic system use hour meter; 

4. The TRU shall be equipped with an electronic tracking system; 

and 

5. The TRU shall be registered in ARBER in accordance with 

section 2477.5(e). 

. . ~--

&.{Ql Alternative-fueled engines (see definition in suesection W2477.4). 

If the engine is a Cl engine, a VDECS is required. 

Note: If the engine is not a compression ignition diesel fueled 

engine, this regulation would not apply, but the engine may have to 

meet other emission standards (e.g. large spark-ignited engine 

standards if >25 hp). 

22 

•: 

·-.1 
,_-._.: .... ,_-.···· 

&.-ill)_ Fuel exclusively with an alternative diesel fuel (see definition in 

Slffisection f€112477.4) that has been verified as a VDECS, provided 

it is used in accordance with the requirements of Slffisection 

2477.5(eb)(~1)fA1 and the alternative diesel fuel contains no 

conventional diesel or CARS diesel fuel, except in trace amounts. 

&..(!;} Power by fuel cells. If a reformer is used with diesel fuel as the 

source of hydrocarbons, then emissions must be evaluated and 

verified through the Verification Procedure Warranty and ln-.Use 

Compliance Requirements for In-Use Strategies to Control 

Emissions from Diesel Engines (13CCR section 2700- 2710). 

fcfE). Equip with any other system approved by the Executive Officer to 

not emit diesel PM or increase public health risk while at a facility. 

(St.f.!llln-Use Compliance Dates: In-use compliance dates are based upon the 

engine M¥ model year or effective M¥ model year (as defined in section 2477.4, 

as listed below, except as allowed in under subparagraphs (e)(1)(B)5.a. 

2477.5(b)(5)(A) and (Cr. Compliance dates may also be extended if the 

requirements of subparagraphs 2477.5(f), (g), (k), (I) or (m) are met. 

· 4-cill • No owner or owner/operator shall operate. a 2001.and older.model .•.. ,.,, .... ,,, 

year (MY) TRU or TRU gen set engine in California unless it meets theine 

use performance criteria set forth in paragraph (e)(1}(/\) section 2477.5(a) 

for 

a-(Al LETRU on or before December 31, 2008, and . 

&...{ID ULETRU on or before•J)ecember31 ;•2015; as shown in Tables 5 · ·-

and6. ·•· : ; :: 

2-o@ No owner or owner/operator shall operate a 2002 MY TRU or TRU ·•· · 

gen set engine in California unless it meets the in-use performance criteria"'' 

set forth in paragraph (e)(1)(A) section2477.5(a) for · · · · ·. 

a-(Al. LETRU on or before December 31, 2009, and 

&...{ID ULETRU on or before December 31, 2016, as shown in Tables 5 

and 6. 

&,.@l No owner or owner/operator shall operate a 2003 MY TRU or TRU 

gen set engine in California unless it meets the in-use performance criteria 

set forth in Slffisection (e)(1)(A)2477.5(a) for 

2 Further explanation is provided in section 2477.51il. 

1 Compliance dates may also be extended if the requirements of subparagraphs 2477.5(fl, (g) (k), (I) or 

Cml are met. 

23 
&.-(A) LETRU on or before December 31,2010, and 

&.-.ill} ULETRU on or before December 31, 2017, as shown in Tables 5 

and 6. 

4-cill No owner or owner/operator shall operate a 2004 MY and 

subsequent MY TRU or TRU gen set engine in California unless it meets 

the in-use performance criteria set forth in paragraph (e)(1 )0'\) section 

2477.5(a) for ULETRU on or before December 31st of the seventh year 

past the engine's model year, as shown in Tables 5 and @6 68

,with the 

following exception: 

&.-(A) Less than 25 hp model year 2004 engines shall meet the in-use 

performance criteria set forth in paragraph (e)(1)(/\)section 2477.5 (a), 

shown in Table 5, for: 

~.1., LETRU on or before December 31, 2011, and 

U2. ULETRU by December 31, 2018. 

Table 5: <25 HP TRU andTRU Gen Set Engines 

In-Use Dates 

·~ TRUs and TRU gen sets with MY 2005 engines and subsequent MY eng(nes shall be required to comply with 

ULETRU requirements by the end of the seventh year after the model year or effective model year, except as allowed 

under s"s~ara§ra~R (e)(1)(8)asection 2477.5(bl(5)(Al. 

24 
Table 6: 2:25 HP TRU and TRU Gen Set Engines 

In-Use Dates 

§,.{§)_ Requirements for TRUs or TRU gen sets that are equipped with 

flexibility engines and operated in California. 

· &.-{Al Flexibility engines installed iri TRl.Js and TRU gen sets 

· manufactured prior to March 7, 2oh, and operated in California 

shall meet the in-use performance standards of subsection 

(e)(1 )(A)section 2477.5(a) by December 31st of the seventh year 

after the TRU or TRU gen set engine's manufacture year instead of 

the effective model year provided the TRU or TRU gen set owner 

registers the flexibility engin~equippedTRU or TRU gen set in ·· 

ARBER in accordance with subseetiori (ci)(1)(E)section 2477.5(e) 

byMay6, 2011. ·· · 

&.-.(ID. To allow TRU and TRU gen set owners to meet the 

registration requirements of subparagraph (a)subsection (A) above, 

the original equipment manufacturer shall byApril 6, 2011: 

U_,_ Provide tlie following unit and flexibility engine information to 

ARB in electronic format: 

92 Compliance date is December 31 '

1 of the compliance year shown. "MY" means model year. Black shaded areas 

are years with no in-use performance standard requirements since in-use compliance year precedes engine model 

year . Dark shaded areas without letter codes have no in-use performance standard requirements, pending in-use 

compliance date. "L" means must meet LETRU in-use performance standards. "U" means must meet ULETRU 

in-use performance standards. 

t<>JQ TRUs and TRU gen sets with MY 2004 engines and subsequent MY engines shall be required to comply with 

ULETRU requirements by the end of the seventh year after the model year or effective model year, except as allowed 

under s"ll~aFa§Fa~R (e)(1)(8)8.section 2477.51bll5l1Al. Tier 4 final standards go into effect in 2013 which would 

meet ULETRU in-use performance standards in the 25 to less than 50 hp category. If the engines installed by 

original equipment manufacturers do not meet ULETRU in 2013, then s"ll~ara§ra~h (e)(1)(A)§.section 

2477.51bli5)(Cl applies. 

25 

'•; .-, . 
i§. TRU or TRU gen set manufacturer; 

tiQ.. TRU or TRU model name; 

ill£. TRU or TRU gen set serial number; 

ivQ..TRU manufacture date; 

v~. Engine manufacturer~ 

vif. Engine Family; 

viig.Engine manufacture year; and 

vitih.Engine serial number;-~ 

l-l.f.. Notify the TRU or TRU gen set owners in writing that: 

i§. The unit they own is equipped with a flexibility or TPEM 

engine; and 

tiQ.. The owner must register the TRU or TRU gen set that is 

equipped with a flexibility engine in ARBER by May 6, 2011;-~ 

J.l.l;i. Provide directly or through its dealers instructions and 

assistance on registration in ARBER to all owners of TRUs and 

TRU gen sets equipped with flexibility engines that request such 

help, which shall include specific instructions and assistance 

that ensures that information entered in ARBER is consistent 

with what appears on the unit label and engine emissions label, 

.... including. the model year. 

&.-.{Ql The following requirements shall apply to flexibility engines 

installed in TRUs and TRU gen sets manufactured after 

March 7, 2011, and operated in California: 

.... :JJ.. The qwner.of aTRU orTRU genset that is operated in 

· ·· ·California sh'!JI corn ply with the in-use performance standards · ··· ··· 

set forth in Slffisection (e)(1)(A)2477,5(a) by December 31st of 

the seventh year after the engine's effective model year. 

llG_.The original equipment manufacturer shall provide the following 

g_written disclosures to the interested ultimate purchaser of a 

TRU or TRU gen set that is equipped with a flexibility engine 

prior to its saleo in accordance with section 2477.13(a)(3). 

i. The TRU or TRU gen set has a flexibility engine that meets a 

less stringent emissions standard than was in effect at the 

time the flm<ibility engine was manufactured; 

ii. The effecti·~e model year of the flmdbility engine; 

111. If the ovmer registers the unit in ARBER, the owner must 

report the effective model year of the engine, not the model 

year of engine manufacture, and failure to do so may result 

in the o•.vner being cited; 

iv. If the TRU or TRU gen set is operated in California, the 

owner will be responsible at a future date for the engine 

26 
meeting the ULETRU in use standard based on the effective 

model year of the engine, in accordance with subsection 

(e)(1)(B 

(6) The manufacture year of the TRU unit may be used instead of the TRU 

engine model year to determine the TRU ATCM in-use performance 

standards that must be met and the related compliance dates; however. 

this exception only applies if the unit manufacture year shown on the TRU 

unit label is no more than one year later than the engine model year 

shown on the TRU engine emissions label. If the difference between the 

engine model year on the engine emissions label and the unit 

manufacture year is greater than one year. then the engine model year 

shall be used in accordance with subsections 2477.5(b)(1). (2). (3). and 

.(11 

(A) If the owner complies with theTRU ATCM in-use performance 

standard by retrofitting with a VOECS. the engine model year shown 

. on the engine emissions label shall be used to determine engine 

compatibility with the VOECS. in accordance with the Executive Order 

for that VOECS . 

.(ID If the owner of a TRU is required. to apply for an ARB Identification .• · 

Number (ION). in accordance with section 2477.5(e). the engine model 

year that is shown on the engine emissions label shall be entered on 

the ION application in the engine model year space. 

{G).(£1 Replacements Due to VDECS Failures. 

4cilllf a VOECS fails within its warranty period, the owner/operator of theTRU · · .. 

. or TRU gen set must replace it with the same VOECS or a higher 

verification classification level, .if available. ·" ... 

b@ If a VOECS fails outside its warranty period and a higher verification 

classification level VOECS is available, then the owner/operator of the • 

TRU or TRU gen set shall upgrade to the highest level VOECS required 

under paragraphs 2477.5(eg)(1)~ and 2477.5(eg)(4~)(A)b that is 

determined to be cost-effective by the Executive Officer. 

fQ}@ In-Use Recordkeeping and Reporting. In-use recordkeeping and 

reporting shall be completed by the owner or operator in accordance 

with the requirements of subsection (f)(1) following:. 

(1) An owner that is also an operator, shall complete and maintain the 

operator report in accordance with section 2477.6(a). 

27 
;_.,, -:_:_-, 

';1 !· -• .,·_:, 

(2) An owner that has elected to comply by using a verified alternative 

diesel fuel shall comply with the recordkeeping requirements in 

section 2477.5(h)(1 ). 

(3) An owner that has elected to comply by using a hybrid electric TRU or 

electric standby-equipped TRU must meet the following recordkeeping. 

and reporting requirements for each unit. · 

(A) Beginning [30 days after the amendments become effective] 

manual record keeping is required for all such units until automated 

monitoring, recordkeeping. and reporting is required under the 

phased compliance schedule in subparagraph (B), below. Manual 

records shall include the following. for each TRU that is equipped 

with electric standby or hybrid electric: 

1. ARB Identification Number of the unit, issued under 

section 2477.5(e); 

2. Date; 

3. Address of each stationarv location lasting more than 5 minutes. 

This record may be a location code for each stationarv location. 

provided the owner or operator also provides a cross-reference 

of location codes with the corresponding physical addresses; 

4 .. Time of arrival and departure. and the elapsed time calculated .. 

from those readings to show the duration of the stationarv 

position; 

5. Engine hour meter readings taken at arrival and departure and 

the elapsed time calculated from those readings to show the 

TRU engine run time while the vehicle is at the stationarv 

location; and 

6. · Electric shore power driven electric motor hour meterreadings 

taken at arrival and departure and the elapsed time that electric 

shore power drove .. therefrigeration system while the vehicle is · 

at the stationarv location. 

(B) Automated monitoring, recordkeeping, and reporting is required for . 

at least 50 percent ofan owner's TRUs by December 31, 2012 and 

100 percent of an owners TRUs by December 31, 2013. 

Automated monitoring,. recordkeeping and reporting is required with·. 

an electronic tracking system (as defined in section 2477.4) and 

shall include data that includes the following for each stationarv 

location lasting more than 5 minutes (300 seconds): 

1. ARB Identification Number of the unit. issued under 

section 2477.5(e); 

2. Date; 

3. Address of each stationarv location lasting more than 5 minutes 

(300 seconds). This record may be the GPS coordinates and a 

location code for each stationarv location, provided the owner or 

28 

. _, .. ,-._ .~-; 
operator also provides a cross-reference of location codes with 

. the corresponding physical addresses; 

4. Time of arrival and departure. and the elapsed time calculated 

from those readings to show the duration of the stationary 

position; 

5. Engine hour meter readings taken at arrival and departure and 

the elapsed time calculated from those readings to show the 

TRU engine run time while the vehicle is at the stationary 

location; 

6. Electric motor hour meter readings taken at arrival and 

departure and the elapsed time that electric shore power is 

powering the refrigeration system while the vehicle is at the 

stationary location; and 

7. The eleCtronic tracking system shall generate a report that lists 

all stationary locations lasting more than 5 minutes where the 

TRU engine operated for more than 30 minutes. resulting in a 

violation.. · 

(C) Records shall be kept available for a minimum of three (3) years 

and shall be compiled and made available to ARB upon request 

(0) Record submittals shall include the owner's or responsible official's 

signature after the statement: "I certify under penalty of perjury 

under the laws of the State of California thatthe information 

provided is true. accurate. and complete:" 

(4) Hybrid cryogenic temperature control recordkeeping. An owner · 

that has elected to comply by using a hybrid cryogenic temperature 

control system must meet the following automatic monitoring, 

recordkeepinq, and reporting requirements with an electronic tracking::. 

···system (as defined in section 2477.4). Automated recordkeeping shall-••···· ... ,, ""' 

. include data that includes the following for each stationary location 

lasting more than 300 seconds (5minutesl: 

(A) ARB Identification Number of the unit, issued under 

section 2477.5(e); 

(B) Date; 

(C) Location: GPS coordinates or coded, with full address in code 

look-up table; 

(D)Time of arrival and departure, and the elapsed time calculated from 

those readings to show the duration of the stationary position; 

(E) Engine hour meter readings taken at arrival and departure and the 

elapsed time calculated from those readings to show the TRU 

engine run time while the vehicle is stationary; 

(F) Cryogenic system use hour meter readings taken at arrival and 

departure and the elapsed time calculated from those readings to 

show the cryogenic system run time while the vehicle is stationary; 

29 
(G)The electronic tracking system shall generate a report that lists all 

stationary locations lasting more than 5 minutes where the TRU 

engine operated for more than 30 minutes. resulting in a violation; 

(H) Records shall be kept available for a minimum of three (3) years 

and shall be compiled and made available to ARB upon request; 

and 

(I) Record submittals shall include the owner's or responsible official's 

signature after the statement: "I certify under penalty of perjury 

under the laws of the State of California that the information 

provided is true, accurate, and complete." 

fE}.{gl ARB Identification Numbering Requirements. Identification numbers 

(ION) will be issued to help expedite the inspection procedure and 

prevent shipping delaysld. . 

-'h-ill California-based TRUs and TRU gen sets: 

a-(A) On or before January 31, 2009, owners or owner/operators of all 

California-based TRUs andTRU gen sets subject to this regulation 

shall apply for an ARB ION for all California-based TRUs or TRU 

gen sets operated by the owner or owner/operator by submitting an 

application that includes the informationlistedbelow. 

U. Company Information 

a. Operator Company/business name, address, and contact 

information for the responsible official (e.g. title, phone number, 

email address, fax number). 

b. Company/business tax identification number/federal employer 

·identification number (EIN) or equivalent for other country (e.g. 

Canadian Business Number), 

J.1-, Owner name, address, and egntact information (if ether than 

operator) .. ··· ·-

2. Rental or lease status. Indicate if the unit is a rental ·unit (no 

contract term) or a lease unit (under contract term, typically more 

than one year) · 

3. Applicant identity indication. Indicate who is filling out application, 

either: . 

a. The owner (or an employee of owner), or 

b. A third party entering the application information under a third 

party agreement between the owner or lessor and a consultant 

or lessee. 

U-11. TRU or TRU gen set unit information: 

a. Unit Type: 

i. Truck TRU: 

ii. Trailer TRU· 

111. Refrigerated railcar TRU; 

iv. Refrigerated domestic shipping container TRU: or 

30 

-,~ ; ' . 
" " '. ',".: ·, ,,, : 

, . .:;· ... 

v. TRU generator set. 

!L_make Unit manufacturer. 

c. Unit model, 

d. Unit model year, and 

e. Unit serial number . 

.§., Other TRU or TRU generator set identifying numbers. Provide 

all that apply: 

a. If unit is installed on a truck or trailer, provide: 

i. Vehicle Identification Number (VIN), and 

ii. Vehicle license number, country of issuance. and state or 

province of issuance; 

iii. Unique Bureau International de Container (BIC) Code, if 

trailer is multimodal 

b. If unit is installed on refrigerated railcar, provide railcar reporting 

mark; 

c. If unit is installed on domestic refrigerated shipping container, 

provide unique BIC Code; 

d. If unit is a TRU gen set, provide unique BIC Code; 

e. Provide company equipment number if company has labeled 

the equipment. 

6. TRU status information. Indicate if the unit is; 

a. Active (unit is operational}; 

b. Removed from service (unit is scrapped or inactive for 

foreseeable future); or 

c. Sold. If last registered owner sold unit, then they must provide: 

i. Date of sale, and 

ii. New owner's company name, address, and contact 

information . . . . .. 

·W7. TRU engine information. Provide the following: 

a. Engine mak-e;- manufacturer; 

b. Engine model,i ... , 

c. Engine model year, or "MY"· ·aff€1 

d. Engine serial numbero; 

e. Engine power rating. Indicate either: 

i. Under 25 hp (under 19 kW), or 

. ii. 25 hp or greater (19 Kw or greater); 

f. Engine family; and 

g. Emissions standard tier that engine meets. 

"'h Terminal er terminals that the TRU equipped truck or trailer is 

assigned to, with address and contact informatien. 

Vh Other associated identificatien numbers, ·.vhich may include (as 

applicable): 

i. Vehicle Identification Number (VIN) ef the TRU equipped 

truck or trailer. 

ii. Vehicle license number ef the TRU equipped truck er trailer. 

iii. Railcar recerding marl< and car number. 

31 

....... .., ... 
c-··r··-

1 -. 

... 

iv. ShiFJFJing eontainer number (for TRU eE!Uiflfled shiflf)ing 

eontainers only). 

v. Comf)any eEtUif)ment number (if any). 

VU~. . Compliance status with in-use performance standards. under 

f)aragraflh (e)(1)(A) reEtuirements sections 2477.5(a) and (b). lf 

eomf)lianee not as yet reEtuired, marl~ NU\. 

i. Date •Nhen eomf)lianee was aehieved. 

ii. What f)erformanee standarE! was met (e.g. LETRU or 

ULETRU). 

111. Flow eomf)lianee 'Nas aehieved (e.g. new eomf)liant TRU, 

TRU engine ref)laeement, .or E!eserif)tion of VDECS that '.vas 

useE!). 

iv. Identify who did the installation work (if af)f)lieable). 

a. Indicate if the ULETRU Early Compliance Extension has been 

granted 

b. Indicate if compliance was achieved with an engine option: 

i. Indicate if the engine currently in the unit is an original 

engine: 

ii. Indicate if the engine currently in the unit is a new 

replacement engine and if so, provide: 

I. Emissions standard tier that the engine meets; and 

II. Installation date. 

iii. Indicate if the engine currently· in the unit is a rebuilt · · 

replacement engine installed to comply with the in-use 

requirements and if so, provide: 

I. Emissions standard tier that the engine meets; 

II. Rebuild year; and 

Ill. Installation date. 

c: Indicate if compliance was achieved with VDECS retrofit, and if· 

so: . . . 

i. Provide the following from the VDECS label: 

I. VDECS manufacturer name; · 

II. VDECS Family Name; 

Ill. VDECS serial number; 

IV. VDECS manufacture year; and 

ii. Provide the VDECS installation date. 

d. Indicate if compliance was achieved by using an Alternative 

Technology option under section 2477.5(a)(3), and if so provide 

the type used and the date installed or employed: 

i. Electric standby-equipped TRU or hybrid electric TRU; 

ii. Hybrid crvogenic temperature controlled system; 

iii. Alternative-fueled engine; 

iv. Fueled exclusively with pure alternative diesel fuel; 

v. Powered by fuel cells; or 

v1. Other system approved by the Executive Officer. 

32 

• •·;·,:r 
e. If compliance was achieved by replacing an engine or retrofitting 

with a VDECS. provide the installer's company name, physical 

address, and contact information. 

9. Indicate what state or province that the TRU or TRU gen set is 

based in: 

a. California: or 

b. Outside of California. If based outside of California identify: 

1. U.S. state; 

ii. Mexican state; or 

iii. Canadian province. 

10. Owner's or responsible official's signature, after the statement: "I 

certify under penalty of perjurv under the laws of the State of 

California that the information provided is true. accurate, and 

complete." 

13-,fiD Applications shall be submitted by one of the following methods: 

h1· Mail or deliver a physical report to ARB at the address listed· 

immediately below: 

CALifORNIA AIR RESOURCES BOARD 

STl\TION/\RY SOURCE DIVISION (TRU) 

P.O. BOX 2!l15 

Sl\CRAMENTO,.CA 95!l12 

California Air Resources Board 

Stationarv Source Division (SSD/ARBER) 

P.O. Box 2815 

Sacramento. CA 95812 

-· ... --··· 

··.J+..2. · Electronically submit through ARB's the ARBER website waS• 

site. The •.veb address will be. identified in an advisory.at: 

http://www .arb. ca.gov/arber/arber. htm • 

3. Electronically submit by email to: arber@arb.ca.gov 

-&.{Ql TRUs and TRU gen sets added to an owner's or owner/operator:s 

TRU operations after JarlUary 31,2009 shall be brought into 

compliance with stffisection2477.5(e)f1ifEt. An application shall 

· be submitted to ARByvithin 30 cj_<;IY$9f the unit entering the 

_ operator's control: _ _ _ 

h_i_ Requesting an ARB I. D. number for a new TRU or TRU gen set 

that was not previously numbered, or 

.J+..2. Requesting a change in owner or owner/operator (or other 

pertinent application information) for used equipment that 

already has an ARB I. D. number. 

4-.(Q). Failure to apply or submittal of false information is a violation of 

state lavvthis rule and subject to civil penalty. 

&.-.{£1 On or before February 1, 2009, the Executive Officer shall begin 

issuing identification numbers to TRU and TRU gen set owners or 

33 

'' -:~ -; 
owner/operators for each unit based in California for which a 

complete application has been filed. The number will include a 

2-digit prefix for model year (e.g. 2001 model year would have a 

prefix 01 ); a 6-digit serial number;- and a check-digit, and a letter 

indieating eomplianee status with in use performanee standards 

(either "L" or "U"). In the event that an operator applies for an early 

compliance certificate in accordance with 

s-u-Ssection (e)(1)(F)2477.5(f), ARB will also issue a certificate 

which acknowledges early compliance per 

(e)(1 )(F):ilsubparagraph 2477 .5(f)(3). 

~l.El Within 30 days of receipt of the ARB-issued identification number, 

owners or owner/operators shall permanently affix or paint the 

identification number on the TRU or TRU gen set chassis housing 

in clear view according to the following specification: 

h-1..,. The ARB identification number shall be preceded by the letters 

"ARB". 

l+.-2. Letters and numbers shall contrast sharply in color with the 

color of the background surface on which the letters are placed. 

The location of the I .D. number shall be as follows: 

ha. 

housing. 

Truck and trailer TRUs - both sides of TRU chassis 

ih-b. Rail car and shipping containerTRUs-:-.both sides ofthe . 

TRU; 

jjh.g_,_ TRU gen sets - both sides of gen set housing. 

l¥4. Letters andnumbers shall be readily legible during daylight 

hours, from a distance of 50 feet (15.24 meters) while unit is 

. stationary. 

lJ-,5. Marking shall be kept mai11tainedin a manner that retains the . ··•• .. •• · 

legibility required by the subparagraph immediately above. ••:o •• • 

2-:-ill Non-California-based TRUs and TRU Gen ·Sets: .• 

ac{A) Owners or owner/operators e>fnon"Qalifornia"based TRUs and]RU : •. ::•: · 

gen sets may voluntarily apply for ARB identification numbers for 

TRUs that are based outside. ofCalifornia.but operate within 

California during the normal course of business. Non-Californiabased owners or owner/operators may voluntarily submit the same 

application information listecl above in subparagraph 2477.5 · 

(e)(1)(E)1.a., above, using the same methods of submittal listed in 

subparagraph 2477.5(e)(1)[lli(e)1.b., above. Upon application 

approval, ARB would issue identification numbers to the operator in 

accordance with subparagraph 2477.5(e)(1)(E)4-,&., above. The 

non-California-based owner or owner/operator would then 

permanently affix or paint the identification number on the TRU or 

TRU gen set chassis in clear view, in accordance with 

subparagraph 2477.5(e)(1)(E)1.f . .(E)., above. 

34 
(3) Owners or owner/operators may use alternative unique equipment 

identification markings instead of affixing an ARB ION. provided the 

following conditions are met: 

(A) The owner or owner/operator registers the TRU or TRU gen set in 

ARBER and enters the unique equipment number in ARBER. 

(B) The alternative identification number shall be truly unique. Examples 

of unique identification numbers include the Reporting Marks that are 

issued by the American Association of Railroads' contractor, Rail Inc, 

for their UMLER system and the BIG Codes issued by Bureau 

International de Containers. Company equipment numbers that are 

not truly unique on a worldwide basis do not qualify. 

(C) Alternative identification numbers must be affixed or attached to both 

sides of the TRU gen set, shipping container (if the TRU is 

permanently attached), semitrailer, or railcar and meet all of the 

requirements of subparagraph 2477.5.(e)(1)(F). 

(O)The ARB ION shall be used in the Operator Report under 

section 2477.6(a). 

tFtill Early Compliance with LETRU In-Use Performance Standards. 

4-oill For 2002 and older MY TRU and TRU gen set engines, owners or 

· owner/operators or mvners that meettheLETRUin~useperformance··· .•. 

standard earlier than required in paragraph (e)(1 )(B)2477.5(b) may apply· · • 

to the Executive Officer for a delay in the ULETRU in-use performance 

standard. Except as provided below; early compliance would be achieved 

through any of the options available in paragraph (e)(1 )(l\)2477.5(a). · 

' • · &.-(A) This delay would notbe available to the owner or owner/operat()[Sf .. ·. 

· · ... , .. '"' .... ,,.,, ...•..• ·" ......... ··•········· ·· owner ifthe engine manufacturer of the replacement engine ·is .. •· ··• '"····· 

·:. using the early compliance with engine emissions standards in U.S. 

, · EPA's Averaging, Banking,. ancLTracling.Prograrn (or California's ·· •.: •· · 

· · · equivalent program). 

I ~. 

"' · b-o.(ID Early compliance is conditioned upon real emission reductions · .. ··. 

(refer to definition in 514section f€1f2477.4) occurring earlier than 

the applicable compliance deadline, 

&.{Q This delay may not be available to the owner or owner/operator OF 

owner if public funds were used for early compliance. The 

applicant shall disclose whether public funds were used for any 

portion of early compliance and what program the funding came 

from. 

6@ Early LETRU compliance with real emission reductions would allow 

specific units to delay compliance with ULETRU in-use performance 

35 
standards by up to three years, according to the rounding conventions and 

examples listed below. 

alA) Each year of early compliance with the LETRU in-use performance 

standards would be rewarded with 1 year delay in the ULETRU in-

. use performance standard. 

h~ . One full year early compliance qualifies for one full year delay in 

meeting ULETRU compliance. 

-1+.-2. Two full years early compliance qualifies for two full years delay 

in meeting ULETRU compliance. 

Uh-3. Three full years early compliance qualifies for three full years 

delay in meeting ULETRU compliance, 

&.-.{ID A partial year of early LETRU compliance would be rounded to the 

nearest full year for the delayed ULETRU requirements. 

h~ Early LETRU compliance of 183 days or more in a calendar 

year would count toward a one year ULETRU delay. 

''>' 

· -1+.-2: ·· · Early LETRU compliance of 182 days or less in a calendar year 

would not counttoward a ULETRU delay. · 

~ill Upon receipt of an application to delay ULETRU compliance, the 

Executive Officer shall determine if the application demonstrates early 

· ···, compliance with LETRU in-use p.erformance standards in accordance with-. 

·· · · • • ·· '" ., &lffisection (e)(1 )(F)1.2477.5(f)(1 ), and if the application is approved; snaiL 

· delay the in-use ULETRU compliance date for specific TRUs and TRU 

gen sets operating in.Californiain accordance with.· 

subparagraph (e)(1 )(F)2.2477.5(D(2). 

· . 4.-{1). Upon approval of the application, ARB shall issue a certificate and ARB · 

identification number in accordance with 

&lffisection (e)(1)(E)1.e.2477.5(e)(1)(E) which acknowledges early 

compliance with LETRU requirements and discloses the number of years 

delay granted, and resulting ULETRU compliance date. 

&.-@The owner or owner/operator shall maintain a legible copy of the 

certificate in a water-tight sleeve mounted inside the TRU or TRU gen set 

chassis housing. The owner or owner/operator shall paint the 

identification number in clear view in accordance with 

&lffisection (e)(1)(E)1.f.2477(e)(1)(Fl on the specific TRU or TRU gen set 

that was granted the compliance extension. 

36 

-,,·.,-···· 

,,, .--.:·_,.:_;, .'-
;::.· 

(g) 

(1) 

ULETRU Extension for Compliance by Original Compliance Date 

An owner of model year 2001 and older TRUs or TRU gen sets that 

complied by the original December 31. 2008. compliance date may qualify 

for a one year extension to the ULETRU compliance date. provided the 

following conditions are met: · 

(A) The original engine was retrofit with a Level 2 VDECS. or 

(B) The original TRU was repowered with a replacement engine meeting 

either: 

1. Tier 4 final Non-Road/Off-Road Emission Standards. if the engine · 

is rated at less than 25 hp. or 

2. Tier 4 interim Non-Road/Off-Road Emission Standards. if the 

engine is rated between 25 hp and less than 50 hp. or 

(C)The original TRU was replaced with a new unit equipped with an 

engine meeting either: 

1. Tier4 final Non-Road/Off-Road Emission Standards. if the engine 

is rated at less than 25 hp. or 

.- .. ,. 2. Tier 4 interim None Road/Off-Road Emission .Standards. if the 

engine is rated between 25 hp and less than 50 hp. and 

(D) The TRU or TRU gen set is registered in ARBER. the compliance 

information is complete and correct. .and the JON has been affixed to 

both sides of the TRU or TRU gen set housing. 

· · · · · • (2) · •· Owner must apply for the ULETRU extension at least 90 days before the·.- .. ,,,,, •"' •" · · 

ULETRU compliance date by submitting an ARB application that.includes 

• the following information:. ·. "' ·e·. --· 

(A) Owner name and Owner-Operator Number (OON); 

(B) The affected unit's IDN; 

(C) A statement that the unit was in compliance on or before 

December 31, 2008, and the ION has been affixed to both sides of the 

TRU or TRU gen set housing in accordance with 

section 2477.5(e)(1)(F); 

(0) Documentation that demonstrates that the LETRU in-use standard was 

met before December 31, 2008; 

(E) In the case of a unit replacement. documentation on the old 

noncompliant unit that was replaced; and 

37 
(F) Owner's or responsible official's signature, after the statement: "I 

certify under penalty of perjury under the laws of the State of California 

that the information provided is true, accurate, and complete." 

(3) The owner or responsible official must submit an application for "ULETRU 

Extension for Compliance by the Original Compliance Date" to the 

Executive Officer by one of the following methods: 

(A) Mail or deliver to ARB at the address listed immediately below: 

California Air Resources Board 

Stationary Source Division (ARBER/TRU) 

P.O. Box 2815 

Sacramento, CA 95812 

(B) Electronically submit by email to: arber@arb.ca.gov: or 

(C) Electronically submit through ARB's ARBER website at: 

http://www.arb.ca.gov/arber/arber.htm 

· · · • · .. ·' (4) . Upon receipt ofapplication for ULETRU extension;.the Executive Officer 

shall determine if the application demonstrates the unit qualifies for· 

ULETRU extension. 

(5) Upon approval of the application, the Executive Officer shall: 

(A) Change the "Compliant Through" date in ARBER; and 

(B) Notify the owner with a revised ARBER.TRU Certification showing the., 

new "Compliant Through".date. 

Fuel Requirements. 

tAtill Owners or Owner/Operators Choosing to Use Alternative Diesel 

Fuels. Owners or owner/operators choosing to use alternative diesel 

fuels in compression ignition TRU and TRU gen set engines to meet the · 

requirements of Stffisection fejfl12477.5(a) shall: 

4-c(Al Maintain records in aooerdanoe with subseotien (f)(1 )(B) ef this 

regulatienthat document exclusive use of the chosen fuel or additive for 

each affected engine and hours of engine operation. Appropriate records 

would be copies of receipts or invoices of appropriate fuel and/or fuel 

additive and engine hour meter logs. 

38 
--,--·-: ., ... - . . ,,_. .. ,, .,_.. ___ ,_ .. -

1. Records shall be kept available for a minimum of three (3) years and 

shall be compiled and made available to the ARB upon request. 

:h.{ill Use only fuel that is a VDECS alternative diesel fuel that contains no 

conventional diesel or CARB diesel fuel in TRUs or TRU gen sets 

operated in California. 

~.(gPermanently affix a label in clear view near the fill spout that identifies the 

proper fuel that is required to be in compliance. · 

4.-{Qlln the event that the owner or owner/operator decides to revert to using 

conventional diesel orCARB diesel fuel, the owner or owner/operator shall 

comply with the requirements of stffisection ~2477.5(a) within 10 days 

of discontinuation of alternative diesel fuel use. Within 10 days of 

discontinuation, the owner or owner/operator shall notify the Executive 

Officer in writing of this change in fuel use and shall include an update to 

any 1\RB I. D. number application the compliance information submitted to 

ARBERor annual report submitted to comply with 

stffisections (o)(1)(E),2477.5(et(e)(1)(r)2477.5(f), or~2477.6. 

(Still Owners or Owner/Operators that Retrofit TRUs or TRU Gen Sets with 

a VDECS. Owners or owner/operators. that retrofitTRUs orTRU gensets,.· · 

with a VDECS that requires certain fuel properties to be met in order to ·· 

achieve the required PM reduction or PM emissions shall only fuel the 

subject TRU or TRU gen set with fuel that meets these specifications '· 

when operating in the state of California. In addition, owners or 

owner/operators that choose a VDECS that requires certain fuel properties 

to be met in order to prevent damage to the VDECS.or an increase in toxic• 

air contaminants, other harmful compounds, or in the nature of the emitted· ,. ··· •• 

PM shall onlyfuel thesllbj~ct TRU QI TRUgen set with fuel that meets , · :. 

these .specifications. 

(i) Compliance by Replacing Engines. 

A new or rebuilt replacement engine shall meet more stringent emissions standards 

than the original engine. The new or rebuilt replacement engine must subsequently· 

meet the in-use performance standard requirements of section 2477.5(a) by the 

compliance dates of section 2477.5(b), which are based on the new or rebuilt 

replacement engine's model year or effective model year (see definition). 

(1) Current tier new replacement engines. Current tier new replacement engines 

shall use the engine model year to determine requirements and compliance 

dates. The engine model year is shown on the engine emissions label if the 

engine is manufactured when an emissions standard tier is in effect. 

Emissions label language examples include, but are not limited to: 

39 

. _;.:_ 
(A) "THIS ENGINE MEETS 2008 INT. TIER 4 EMISSION REGULATIONS 

FOR U.S. EPA AND CALIFORNIA NON ROAD Cl ENGINES." This label 

language indicates the engine is a current-tier 2008 model year engine for 

the purposes of in-use requirements and registration. 

{B) "THIS ENGINE COMPLIES WITH U.S. EPA AND CALIFORNIA 

REULATIONS FOR 2009 M.Y. NONROAD AND STATIONARY/OFFROAD DIESEL ENGINES." This label language indicates the engine is a 

current-tier 2009 model year engine for the purposes of in-use 

requirements and registration. · 

(2) Prior tier new replacement engines. Prior-tier new replacement engines shall 

use the effective model year (see definition) to determine requirements and 

. compliance dates. The manufacture year and the installation year of a prior 

tier replacement engine shall not be used to determine the in-use 

requirements and the compliance dates. Prior-tier new replacement engine 

emissions labels typically do not clearly show the effective model year. but 

provide dates that indicate the prior-tier emissions standard that the engine 

meets. The year in the first sentence of the replacement engine emission 

label is the first year of the tier met. The date in the second sentence of the 

replacement engine label is the first day of the next tier standard. Table 1 in 

·.section 2477.4and the following example of replacement engine emissions ,,, . ,., ,, •·· 

label language show how these labels shall be interpreted for this subarticle: · 

(A) "THIS ENGINE COMPLIES WITH CALIFORNIA OFF-ROAD AND U.S. · 

EPA NONROAD EMISSION REQUIREMENTS FOR 2004 ENGINES 

UNDER 13 CCR 2423(j) AND 40 CFR 89.1003(b)(7). SELLING-OR· 

INSTALLING THIS ENGINE FOR ANY PURPOSE OTHER THAN TO .... · 

• • · • • · · • ·· •· ··· · REPLACE AN OFF-ROAD ENGINE BUlL T BEFORE JANUARY 1. 2008 '• · • ···· ,,,,.. . •. 

MAY BEA VIOLATION.OF CALIFORNIAAND FEDERAL LAW SUBJECT .. 

TO CIVILPENAL TY.'.' The first sentence includes the year 2004 (the first/ 

year of the tier). The second sentence indicates the next tier started on 

January 1. 2008, so the last year of the tier the engine met would be 2007, · 

The .center column of Table 1 shows the effective years 2004 to 2007 _.; 

matches a Tier 2 engine in the 25"50 hp (trailer) category. - • 

. . (3) Rebuilt replacement engines. Rebuilt replacement engines must meet. the .. ~ - · 

requirements of section 2477.16. 

(A) Prior tier rebuilt replacement engines. If the rebuilt engine meets a prior 

tier emissions standard. then the effective model year (see definition) shall 

be used to determine the requirements and compliance dates. The 

rebuild year and the installation year of a prior tier replacement engine 

shall not be used to determine the in-use requirements and the 

compliance dates. 

40 
(B) Current tier rebuilt replacement engines. It the rebuilt engine meets the 

tier standard that is currently in effect. then the model year is the year that 

the rebuild is completed and this year shall be used to determine the 

requirements and compliance dates. 

(j) Mobile Catering Company Exemption Requirements . 

. (1) The Executive Officer may grant a one year exemption to mobile catering 

companies for TRUs that are not compliant with the in-use performance 

standards under section 2477.5(a) if the following conditions are met 

(A) The mobile catering company must be under contract with the National 

Interagency Fire Center to provide mobile catering food service to 

emergency incidents for the year that the exemption would apply. 

·(B) All California-based TRUs shall comply with the ARBER registration 

requirements under section 2477.5(e) and have an ARB Identification 

Number !ION) affixed to both sides of the TRU housing. All TRUs owned 

or leased by the mobile catering company that are based outside of 

California that the owner wants included in the mobile catering company 

exemption must be registered in ARBER in accordance with 

section 2477.5(e). 

1~;···:•. ~·.<>~·· '"'·~•·:c•.:··:-:·.•., , · ... ··{C) The mobile catering company must submit an application each vear fora" .. ,.,.-,. Mobile Catering Company Exemptionto the Executive Officer by one· of··· 

the following methods: 

1. Mail or deliver to ARB at the address listed immediately below: 

California Air Resources Board 

· Stationary Source Division (ARBER/TRU) 

P.O. Box2815 

Sacramento. CA 9581.2 

- ---

2. Electronically submit by email to: arber@arb.ca.gov: or 

3. Electronically submit through ARB's ARBER website at: 

http :1/www .arb .ca.gov/arber/arber. htm 

· (D)Applications for Mobile Catering Service Exemption shall include the·· 

following information: 

·- ·.; ~ · ...... :' ... 

1. Business name; . .- .- ·-··---~·····------~ 

2. Business street address, state, zip code; 

3. Business phone number: 

4. Responsible official's name: 

5. Responsible official's mobile phone number: 

6. Federal Tax Identification Number (EIN) and Owner-Operator Number 

(OON) issued to the owner by ARBER when they registered in 

ARBER. 

41 
. ' ·~· 

;Y.•,:'· ·;) .•. -.,.,·,.; 

• 

. :_-, 

7. A list of ARB IONs issued by ARBER for all TRUs that are to be 

included under the exemption. For TRUs that are not in compliance 

with the in-use standards under section 2477(a) that do not have ARB 

IONs. provide the unit serial number instead of the ION on this list; 

8. A copy of the mobile catering company's contract with the National 

Interagency Fire Center shall be provided with the application; and 

9. Owner's or responsible official's signature, after the statement: "I 

certify under penalty of perjurv under the laws of the State of California · 

that the information provided is true, accurate, and complete." 

(E) The owner shall update the application information within 30 days of any 

changes to the information submitted. For example, if the owner buys, 

sells, or leases TRUs, the ION and unit serial number list required under 

subparagraph (o)(1)(C)7. shall be amended. 

(F) The owner shall provide the driver with a copy of the current Mobile 

. Catering Service Exemption that has been approved by the Executive 

Officer and the Mobile Food and Shower Service Request Form issued by 

the National Interagency Fire Center for the incident they are traveling to 

or from. 

(G) During transit on California highways, the driver must, upon request: 

1. Present to the ARB inspector the Mobile Catering Service Exemption 

that has been approved by the Executive Officer and the Mobile Food 

and Shower Service RequestForm.issued by the National Interagency L:.:•::;:;;y,·.;,·c:,·:•,···,"'i 

Fire Center, and · 

2. Allow the ARB inspector to inspect the TRU to confirm the Mobile 

Catering Service exemption applies to the equipment. · • · ... 

(H) All circumstances at the time of inspection shall be consistent with the.· 

Mobile Catering Service Exemption that has been approved by the 

Executive Officer and the Mobile Food and Shower Service .Request Form '"• 

issued by the NationallnteragencyFire Center. · ·. 

(I) Mobile Catering Company Exemptions shall expire on December 315

t.of 

each year. Mobile catering companies shall re-apply for this. exemption:,: 

annually . 

(k) · · Compliance Extension for In-Use Performance Standards Based on 

Unavailability of Compliance Technology. 

(1) If there is no compliance. technology available for a specific TRU or TRU gen set:: ... ······--·· 

within six months of a compliance date, the Executive Officer may grant a one 

year extension of the compliance deadline, provided the following conditions are 

met: 

(A) A person or applicant must submit a written application to the Executive 

Officer that demonstrates the absence of any suitable compliance option that 

can be used on the specific equipment and the owner cannot otherwise meet 

the requirements of section 2477.5(a) by the compliance dates of 

42 
section 2477.5(b). The application for and issuance of any extension 

pursuant to this subsection shall be subject to the following requirements: 

1. Except for the units for which the extension is sought. the applicant shall 

demonstrate that all other units subject to the owner or operator's direct 

control meet the requirements of sections 2477.5(a) and (b); 

2. The application shall be submitted to and received by the Executive 

Officer no later than six months before the compliance date of the engine 

for which the extension is requested; 

3. The application shall identifv each unit and engine for which the extension 

is requested; 

4. For each engine identified in paragraph 2477.5(k)(1)(A)3., immediately 

above, the applicant shall provide a detailed description of the reasons 

and factors that serve as the basis for the applicant's claim that no 

suitable control technologies are available. The description shall include. 

without limitation. detailed engineering diagrams and calculations that 

support the applicants claim that there are no suitable control technologies 

available. 

a. For a replacement engine to be determined suitable or unsuitable, the 

concerns that will be considered are if the replacement engine will 

physically fit and functionally perform in the equipment. 

''"·.·:' .. ,.,., .·;;: ......... ·.· :c:-: • :::•:•:.5: Owners or. responsible officials shall ·provide .their signature. after the ·> •,::c:.,:•J<,;:::·:,•:•x:•:c::r:i 

statement: "I certify under penalty ofperjurv under the laws of the State of.,.· ·· ·'I 

California that the information provided is true. accurate. and complete." 

. 6. The owner or responsible official must submit an application for. 

Compliance Extension to the Executive Officer by one of the following .· 

methods: · " · 

· .. a. ·Mail or deliver to ARB at the address listed immediately below:. 

7. 

·. California Air Resources Board 

Stationarv Source Division (ARBER!TRU) 

P.O. Box 2815 

Sacramento, CA .95812 

b. Electronically submit by email to: arber@arb.ca.gov; or 

c. Electronically submit through ARB's ARBER website at 

http://www.arb.ca.gov/arber/arber.htm _ . . ..... d ... d ......... . 

The TRU or TRU gen set shall be registered in ARBER under section 

2477.5(e). 

(B) The Executive Officer may grant additional one-year extensions provided the 

same procedures are followed, as described in section 2477.5(k)(1), 

immediately above. 

(I) Compliance Extension for ln•Use Performance Standards Based on Delays 

Due to Private Financing, Equipment Manufacture Delays, or Installer Delays. 

43 
(1) The Executive Officer may grant a one-time. maximum four month extension to 

the normal compliance date set forth in section 2477.5(b) for meeting the in-use 

performance standards set forth in section 2477.5(a). provided certain conditions 

are met: 

(A) The owner must have ordered the compliance technology from the 

manufacturer no later than two months before the compliance date for 

VDECS retrofit compliance technologies and no later than four months before 

the compliance date for engine replacements. unit replacements. and trailer 

replacements. and the purchase order must be consistent with these lirnits: 

(Bl The TRU or TRU gen set is registered in ARBER; 

(C) An extension application is submitted before the compliance deadline that. 

explains in detail why a compliance extension is needed and how much 

additional time to comply is needed. including: 

1. If deliverv is the cause for delay, explain the status. and provide 

documentation from the manufacturer to demonstrate this is true. along 

with an updated deliverv schedule . 

. ..... _ ...... ····· ., ......... · ... ·· - ........... 

2

. ---~:o~::~~~~~t~~s:~:~~::1~:~~f~~:ti:~~1~~~~:~!~~~t:n~l~~~~:t~·-an·· ;;;:?~.'":•'E"·~:~; 

updated installation schedule. 

3, If there are other circumstances causing the delay. such as financing,··:···. 

explain the status and provide documentation from the financier to 

demonstrate this is true. along with an updated schedule. .. 

·.~• •.. : •. •L.o.:s. •... ,•:,, ..... i'.::"·,_,,.A: . The owner or responsible official shall provide their signature; after the!_:: 1;1:.•. '<.::.'\.c;:;··~· 

statement: "I certify under penalty of perjurv under the laws of the State of· • ·· ··;x;-·:·;·-

California that the information provided is true. accurate. and complete:" _,: .: .. · ................... . 

5. The owner or resRonsible official must submit an application for ... ..... :.:.c. •. :c.· ..•... , __ ,,_-__ ,_.,_ •••.. 

Compliance Extension to the Executive Officer by one of the following 

methods: 

a. Mail or deliver to ARB at the address listed immediately below: 

California Air Resources Board 

Stationarv Source Division (ARBERffRUl 

P.O. Box 2815 

Sacramento. CA 95812 

b. Electronically submit by email to: arber@arb.ca.gov: or 

c. Electronically submit through ARB's ARBER website at: 

http://www.arb.ca.gov/arber/arber.htm 

44 
(m) ULETRU Extension for Compliance with LETRU. 

(1) The ULETRU compliance dates required under subparagraphs 2477.5(b)(1) 

through (4) may be extended one year for TRUs or TRU gen sets equipped with 

MY 2003 or older engines if they complied by meeting the LETRU In-Use 

Performance Standard by the compliance dates listed below and the following 

qualifications are met: 

(A) Compliance with LETRU was achieved by the following compliance dates: 

1. December 31, 2009 for MY 2001 and older engines; 

2. December 31. 2009 for MY 2002 engines; and 

3. December 31. 2010 for MY 2003 engines. 

(B) The original engine met the LETRU in-use standard by being retrofit with a 

Level 2 VDECS; or 

(C)The unit was repowered with a replacement engine meeting the LETRU _ 

in-use standard: 

1. Tier 4 final Non-Road/Off-Road Emission Standards. if the engine is rated 

at less than 25 hp 

_ 2. Tier 4 interim Non-Road/Off-Road Emission Standards. if the engine is 

rated between 25 hp and less than 50 hp 

(D)The original TRU orTRU gen set was replaced with a new TRU or TRU gen 

•::.•Y' ·· ,, r3:.· ,.,_ "' .:-: •setthatisequippedwith anenqine.thatmeetstheLETRU in-use performance~:J,,::y:•,,c;c.·: ···: · --·-·o.- ·-··,<·, ~- --- standard: -~.-........ ... ' 

1. Tier 4 final Non-Road/Off-Road Emission Standards. if the engine is rated_ 

at less than 25 hp, or 

2. Tier 4 interim Non-R9ad/Off-Road Emission Standards. if the engine is _ 

rated between 25 hp and less than 50 hp, or 

"·"--'-""-'''-" ;:i:••AEl.The unit is registered in ARBER under subparagraph 2477,5(e) •••• ... -:•: ... :.·.·~•;;: __ :· .. ~.'"-':'~'-2:~''•' L. · " • ··" -- · ·. ·· {Fl Owner must apply for the ULETRU extension by submitting an application to -··· ·-- ·. .. · · 

: :c: :c .. ____ •. the Executive Officer at least 90 days before the ULETRU compliance date. •-.,_ ........................ ··-·· 

.. --~···-~·-·.: ... :: ..... thatincludesthefollowing.information: ____ .. _ . ----·····---

- 1. Owner name and Owner-Operator Number (OON); 

2. The affected unit's ION; 

3. A statement that the unit was in compliance on or before the compliance -

date required under section 2477.5(m)(1)(A), above; 

4. Documentation that demonstrates that the LETRU in-use standard was 

met before the compliance date required under section 2477.5(m)(1)(A), __ 

above; 

5. In the case of a unit replacement that meets LETRU, additional 

information that demonstrates the old noncompliant unit that was 

replaced, including: 

a. A statement that the owner replaced a MY 2003 or older (actual model 

year must be specified) TRU or TRU gen set with a new TRU or TRU 

gen set that was equipped with an engine that is certified to meet a 

new engine emissions standard that meets the LETRU in-use 

performance standard; 

45 
b. Receipts for the purchase of the new TRU or TRU gen set, dated on or · 

before the compliance date required under section 2477.5(m)(1 )(A), 

above; 

c. Documentation for the old, replaced TRU or TRU generator set that 

supports the statement in subparagraph 2477.5(m)(1)(Fl5.a., above; 

and 

6. Owner's or responsible official's signature, after the statement: "I certify 

under penalty of perjury under the laws of the State of California that the 

information provided is true, accurate, and complete." 

(G)The owner or responsible official must submit an application for ULETRU 

Compliance Extension for Compliance with LETRU for TRU or TRU gen set 

replacement under subparagraph 2477.5(m}(1)(Cl, above, to the Executive 

Officer by one of the following methods: 

1. Mail or deliver to ARB at the address listed immediately below: 

California Air Resources Board 

Stationary Source Division (ARBER/TRUl 

P.O. Box 2815 

Sacramento, CA 95812 

,,,,,,,_.,,, .. , .. ,,,,,,, ·: '''". ::·. • ···· •2;:EJectronicallysubmit• by.email:to: arber@arb:ca.gov;.·or 

3.- Electronically submit through ARB's ARBERwebsite at: 

http://www.arb.ca.gov/arber/arber.htm 

··--_.,; ·,:·' 

(n) Safe Passage for Noncompliant Equipment Traveling in California; 

...... · ·-· .J1lTheExecutive Officermay grant a safe passage permit to aTRU or1iRLJgen:set, L~S''''"''3i~'/_: 

-·/ · owner to travel on-California highways with a specific noncompliantTRU orTRU•-• ,.,. • ,,, ,,, ... • .,, 

gen set, provided the following conditions are met: 

~-· ··--·· 

(A) The purpose of traveling on California highways is to take the noncompliant 

equipment to a dealer or installer to bring the equipment into compliance:· .. 

(B) Only one permit shall be allowed if the specific TRU or TRU gen set must .. •. 

comply with the ULETRU in-use standard, and two permits shall be allowed if · 

the specific TRU or TRU gen set must comply with both the LETRU and ___ 

.. ULETRU in-use standards. _______ ..... _ ... __ ... . _ ...... . 

(C) The TRU or TRU gen set shall not be operating (with the engine running) 

while in a noncompliant state in California; 

(D) No temperature-sensitive products shall be transported in a vehicle with a 

noncompliant TRU or TRU gen set; 

(E) The owner shall submit an application for a safe passage permit to the 

Executive Officer. Safe passage permit applications shall be submitted by 

one of the following methods: 

1. Mail or deliver a physical report to ARB at the address listed immediately 

below: 

46 
California Air Resources Board 

Stationary Source Division (ARBER!TRU) 

P.O. Box 2815 

Sacramento, CA 95812 

2. Electronically submit by email to: arber@arb.ca.gov 

3. Electronically submit through ARB's ARBER website at: 

http://www.arb.ca.gov/arber/arber.htm 

(F) Applications for safe passage permits shall include the following information: 

1. Owner's name· 

2. Business name (if different); 

3. Owner's street address, state, zip code; 

4. Contact person's name; 

5. Contact person's business phone number; 

. 6. Date(s) transport will take place; 

7. Statement that the reason for transporting the noncompliant equipment on 

California highways is strictly to take the noncompliant equipment to a 

dealer or installer to bring the equipment into compliance; 

8. TRU or TRU gen set serial number; 

9. Vehicle Identification Number (VIN), BJC Code (for TRU gen sets and 

domestic shipping containers); or railcar.reporting mark: 

10. Physical address of starting location or point· of entry into California; 

11. Dealer's or installer's business name and physical address where 

compliance technology will be installed; and 

12.0wner's or responsible official's signature, after the statement "\certify. 

under penalty of perjury under the Jaws of the State of California that the 

· ....• information provided is true; accurate,.and complete." ... 

•(G)The Executive Officer shall provide a decision within 15 days of the'· ;,.,_.,.,. ..,. •·· "c. 

. . .. application submittal. . . . . . , . . ..•. ,. 

· , .. fH) The owner shall provide the driver with a copy of the safe passage permit that ,, 0.:: ... • ,._,. 

has been approved by the Executive Officer. 

(I) During transit on California highways, the driver must, upon request: ._ 

.· 1. Show an inspector that no temperature,sensitive products are being .......... .. 

transported; · 

2. Present to the inspector the safe passage permit for the noncompliant .... · 

TRU or TRU gen set that has been approved by the Executive Officer; and . 

3. Allow the inspector to inspect the TRU or TRU gen set to confirm the 

permit applies to the noncompliant equipment 

(J) All circumstances at the time of inspection shall be consistent with the safe 

passage permit. 

NOTE: Authority cited: sections 39600, 39601, 39618. 39658. 39659. 39666, 39667 39674. 39675, 42400. 42400.1 .. 

42400.2 42400.3.5. 42402,42402.2,42410 43013 43018 California Health and Safety Code. Reference: sections 

39618,39650.39658 39659 39666,39667.39674 39675.42400 42400.1 42400.2. 42400.3.5. 42402 42402.2, 

-42410 40717.9 43013 and 43018. 

47 
. ·.: : ... -:· -: . 

Monitoring, Resordkeeping, and Reporting Requirements. 

(1)TRU aml TRU Gen Set Operator Resordl(eeping and Reporting. 

2477.6 Requirements for Terminal Operators. · 

{A}.(ID Operator Reporting. 

'hill All terminal operators subject to this regulation shall submit an Operator 

Report to ARB by January 31, 2009, for each terminal located in California 

that shall include the following information: 

a-c(A) Terminal GQperator name, address, and contact information for the 

responsi~le official (phone number, email address, fax number). 

&..ill.} List of all terminals owned or leased by the operator located within 

California, with Terminal address, phone number, and terminal 

contact name for each California terminal where TRUs or TRU 

generator sets are garaged, maintained. operated, or dispatched · 

from. 

~ &.(C) TRU and TRU gensetinventory information List of ARB 

Identification Numbers issued in accordance with section 2477.5(e) 

for ea-eRall TRU~ and TRU gen set~ based in California that is 

owned or leased by the operatorassigned to each California 

terminal~~ 

1., -··· . .JRl).QrgQF1 q.QtJ!lCI~;_F!:IQ.dpJ, moc:lqlygar, and serial numbQr, :··r<·i•:·.y•>r:·~·t .. ' --, ,"' . , ..... . ; ·-~-

_IL_ ... ·· ..... TFW o•o~~ner, and if othertoan opqrat()r, ow11er name, address,,, ........ .- .. .- .. . 

. .. . qnd co_11taqt . , : -~ • ·; · ............· 

IlL 

\1 -:v __ . 

Engine make, model, model year, and serial number. .. ';_·:--, 

.. 

· Terminal(s) that the TRU is assigned to. 

-- ... --- --·- .. -. 

/\RB TRU Qr JRU __ gene;qt idOF1!ifiqatiof1 n[Jmbgr,if already 

issued. If the ARB identification number has not been issued or 

there has been a change in the other identification numbers 

listed belov.· since the prior annual report, then provide the 

following identification numbers (as applicable): 

i. Vehicle Identification Number. 

ii. Vehicle license number. 

48 
I 

I 

iii. 

i" .. 

" 'fl. 

Railoar reoording mark and oar n!Jmber. 

Shipping oontainer n!Jmber (for TRU eq!Jipped shipping 

oontainers only). 

Company eq!Jipment n!Jmber. 

VI. Complianoe stat!Js 'Nith paragraph (e)(1 )(A) req!Jirements. 

~m The Operator Report shall be updated within 30 days when changes to 

· any of the above operator information occur. An Operator Report shall be 

submitted to ARBER within 30 days of the start-up of any new facility and 

shall.be removed from ARBER within 30 days of a terminal shutting down. 

a( A) Operator Reports shall be submitted by one of the following 

· methods: 

hi,_ Mail or deliver a physical report to ARB at the address listed 

immediatelybelow: 

C/\LIFOR~JIA AIR RESOURCES BOARD 

··.·•······.·· ST/\TION/\R¥_SOURCE.DIVISION{TRU) .. •• 

P.O. BOX2g15 · · 

S/\CRi\Mi;;~JTO, CA95g12 

California Air Resources Board 

Stationarv Source Division (ARBER!TRU) 

· P.O. Box 2815· · 

Sacramento. CA 95812 

-1+.-2. Electronically submit through ARB's ARBERwebsite web.site ... 

at: http://www.arb.ca.gov/arber/arber.htm. The ·.veb address 

will be identified in an advisory. 

3. Electronically submit by email to: arber@arb.ca.gov 

J.,Ql Failure to report or submittal of false information is a separate violation ef 

statolawof this rule and subject to civil penalty. 

f8t Alternative Diesel Fuel Use and Fuel Additive Reoerdl<eeping and 

Reperting. 

1. Operators that ohoose a eomplianoe patl=iway that involves the !JSe of 

alternative diesel f!Jel in aeeordanee •.vith s!Jbparagraph (e)(1 )(A)3.d. (e.g. 

B1 00 biodiesel F!Jel or !Jitra lovl aromatie synthetio diesel F!Jel) and/or a 

VDECS that inei!Jdes the !Jse oF a F!Jel additive (e.g. F!Jel berne oatalyst) 

shall maintain reeerds that deo!Jment mmi!Jsive !Jse oF the ehesen F!Jel or 

49 
! 

I 

I 

additive for each affected Cl engine and hours of operation. Appropriate 

records would be copies of reoeipts or invoioes of appropriate fuel and/or 

fuel additive and daily operating hour logs. 

2. Records shall be kept available for a minimum of three (a) years and shall 

be compiled and made available to the ARB upon request. 

a. Failure to i(eep records or submittal of false information is a violation of 

state lmv subject to civil penalty. 

NOTE: Authority cited: sections 39600. 39601. 39618 39658. 39659. 39666. 39667. 39674. 39675 42400. 42400.1. 

42400.2. 42400.3.5. 42402 42402.2. 42410. 43013. 43018. California Health and Safety Code. Reference: sections 

39618 39650. 39658 39659 39666. 39667 39674. 39675. 42400. 42400.1. 42400.2. 42400.3.5 42402. 42402.2. 

42410. 40717.9. 43013. and 43018. 

2477.7 Requirements for Drivers. 

(a) Beginning January 1. 2013. a driver shall not operate a TRU-equipped truck or 

tractor-trailer equipped with a TRU or TRU qen set on a California highway 

unless the TRU or TRU gen set complies with section 2477 .5(a) . 

. (b) Ad river must, upon request. providethefollowingavailable information to<·'·'··''"' 

authorized enforcement personnel: ··· · · ..... 

(1) 

(2) 

(3) 

..• (4) 

(5) 

(6) 

Driver's license; 

Truck or tractor registration; 

Trailer registration; 

Bill of lading or freight bill with.origin and destination of freight being, __ . ,_, t:L 

transported, the consignor (shipper) and consignee (receiver); .,.. · · ·'" ··· · 

The company name and contact information of the carrier that dispatched · 

the driver; and . .. 

The company name and contact information of the business entity (e:g. · ·· 

shipper, freight broker, freight forwarder, or receiver) that arranged, hired. 

or contracted for the transport of the perishable goods being hauled,· 

subject to the requirements in sections 2477.8, 2477.9, 2477.10, and 

2477.11. 

NOTE: Authority cited: sections 39600 39601, 39618, 39658, 39659, 39666 39667, 39674, 39675, 42400, 42400.1, 

42400.2 42400.3.5, 42402 42402.2,42410,43013 43018, California Health and Safety Code. Reference: sections 

39618,39650,39658 39659 39666,39667.39674,39675,42400,42400.1,42400.2,42400.3.5,42402,42402.2, 

42410 40717.9,43013, and 43018. 

50 
2477.8 Requirements for Freight Brokers and Freight Forwarders. 

(a) Beginning January 1, 2013. freight brokers and freight forwarders that arrange, 

hire, contract for, or dispatch the transport of perishable goods in TRU-equipped 

or TRU gen set-equipped trucks, tractor-trailers, shipping containers, or railcars 

on California highways or railways must: 

(1) Require the carriers they hire or contract with for transport of perishable 

goods, to only dispatch TRU-equipped trucks. trailers, shipping containers, 

and railcars or TRU gen sets that comply with section 2477.5(a) if they travel 

on California highways or railways. 

(2) Provide the following information to the carrier for their dispatched driver who 

will be traveling on a California highway or railway: 

(A) Freight broker's or freight forwarder's business name; 

(B) Freight broker's or freight forwarder's street address, state, zip code; 

(C) Freight broker's or freight forwarder's contact person's name; and 

(D) Freight broker or freight forwarder contact person's business phone 

number. · 

· NOTE: Authority cited: sections 39600, 39601, 39618, 39658 39659, 39666, 39667 39674, 39675, 42400, 42400.1, 

42400.2, 42400.3.5, 42402.42402.2 42410,43013,43018. California Health and Safety Code. Reference: sections 

39618,39650 39658,39659,39666,39667,39674,39675 42400,42400.1,42400.2,42400.3.5,42402 42402.2, 

·<Jic .•.•. Y ., ·• .·4241o: 40717.9,43013. and 43018. . .•. ·< ... ·. 

2477.9 Requirements for Motor Carriers. 

(a) Beginning January 1, 2013, motor carriers that dispatch TRU-equip!)ed trucks, 

;trailers, or shipping containers equipped.withaTRU.or TRU qen setthattravel,••._j ........ . 

··on a highway within California must:· ··•·· 

(1) Only dispatch TRUs or TRU gen sets that comply with section 2477.5>.: .•.. ~·········· .. ···''·'"'···•-.. ··• 1 

(2) Provide the following information to a dispatched driver who will be traveling 

on a highway within California: 

(A) Carrier's business name: . 

(B) Carrier's street address, state, zip code; 

(C) Carrier contact person's name; and 

(D) Carrier contact person's business phone number. 

(3) Provide the dispatched driver with the business name, address, contact 

person, and phone number of the business entity (e.g. freight broker, freight 

forwarder, shipper or receiver) that arranged. hired, contracted for, or 

dispatched the transport of the perishable goods being hauled. 

(b) Carriers may also have to comply with terminal operator requirements, under 

section 2477.6, if they have terminals located in California. 

NOTE: Authority cited: sections 39600 39601. 39618, 39658 39659. 39666, 39667, 39674. 39675. 42400, 42400.1, 

42400.2 42400.3.5, 42402 42402.2 42410.43013 43018, California Health and Safety Code. Reference: sections 

51 

. 'i 

·I 
39618. 39650. 39658 39659. 39666 39667. 39674. 39675. 42400; 42400.1' 42400.2. 42400.3.5. 42402. 42402.2. 

42410.40717.9.43013. and 43018. 

2477.10 Requirements for California-Based Shippers. 

(a) Beginning January 1, 2013, California-based shippers that arrange, hire, contract 

for, or dispatch the transport of perishable goods in TRU-equipped trucks, 

trailers, shipping containers. or railcars, or TRU gen sets on California highways 

or railways must: 

(1) Dispatch TRUs or TRU gen sets that comply with section 2477.5(a) if they 

travel on California highways or railways: or 

(2) Require the carriers they hire or contract with for transport of perishable 

goods, to only dispatch TRUs or TRU gen sets that comply with 

section 2477.5(a) if they travel on California highways or railways; and. 

(3) Provide the following information to the carrier or a dispatched driver who will 

be traveling on a highway within California: 

(A) Shipper's business name and address: 

(B) Receiver's business name and address: 

(C) Freight broker or forwarder business name and address (if any); and 

, (D) Contactperson's name, and phone numb~r at theshipper, broker, or 

· receiver With knowledge of the transport arrarigemer\ts. ' · · 

NOTE: Authority cited: sections 39600 39601. 39618. 39658 39659. 39666. 39667. 39674. 39675.42400 42400.1. 

42400.2 42400.3.5. 42402. 42402.2. 42410 43013. 43018. California Health and Safety Code·: Reference: · sectidns· · · · · · 

39618 39650. 39658 39659. 39666. 39667. 39674. 39675 42400. 42400.1' 42400.2 42400.3.5. 42402 42402.2. ' .. 

42410.40717.9.43013. and 43018. 

2477.11 Requirements for California-Based Receivers. 

.. ·.·.,. (a) Beginning January 1, 2013; California"ba~ed receivers ihat arrange, hire,·::· ·: ·: :~- ... _ 

contract for. or dispatch the transport of perishable goods in TRU-equipped 

trucks, trailers, shipping containers, or railcars: or TRU gen sets on California .... 

highways orrailways must: . 

(1) Dispatch TRUs or TRU gen sets that comply with section 2477.5(a) ifthey 

travel on California highways or railways: or 

· (2) Require the carriers they hire or contract with for transport of perishable 

goods, to only dispatch TRUs or TRU gen sets that comply with 

section 2477.5(a) if they travel on California highways or railways: and 

(3) Provide the following information to the carrier or a dispatched driver who will 

be traveling on a highway within California: 

(A) Shipper's business name, address: 

(B) Receiver's business name, address: 

(C) Freight broker or forwarder business name and address (if any); and 

(D) Contact person's name. and phone number at the shipper, broker, or 

receiver with knowledge of the transport arrangements. 

52 
NOTE: Authority cited: sections 39600. 39601. 39618. 39658. 39659 39666. 39667. 39674. 39675 42400. 42400.1. 

42400.2. 42400.3.5. 42402. 42402.2. 42410. 43013. 43018. California Health and Safety Code. Reference: sections 

39618. 39650 39658. 39659 39666. 39667. 39674. 39675 42400. 42400.1 42400.2. 42400.3.5, 42402. 42402.2, 

42410.40717.9.43013. and 43018. 

. 2477.12 Requirements for Lessors and Lessees . 

(a) Lessors shall be subject to all of the following: 

(1) The lessor is responsible for the owner requirements set forth in section 2477.5. 

See the definition of "owner" in section 2477.4 for clarification related to banks 

and financial institutions. 

(A) The lessor may delegate the responsibility for applying for an ION (registering 

.... ___ ,.in ARBER) under section 2477.5(e) to the lessee. if the following conditions_ 

are met: 

1. The lease contract must show clear delegation of the ARBER registration 

requirements to the lessee: 

2. The lessor must submit third party agreement confirmation information for 

leased units to ARB at least 10 days prior to the lessee applying for an -

ION. The following information is required: 

a. · Unit serial numbers for each TRU or TRU gen·set; · 

b. Unique company equipment number; 

c. Vehicle license number; 

d. Vehicle Identification Number (VIN); 

f. Lessor company name. address. federal tax 10 (EIN), contact person.· 

.. ~ -. 

and contact information: .. _· . • 

~ssee company name. address. federal tax 1.0 (EIN\. contact person•;;)~'> __ :,_;-cc::.: 'cc'' 

and contact information; . -. :·r,,-, ., .... ·• · · 

·e. Copy of the contract pages of the lease contract with the languaqe · · • · 

. highlighted that identifies the lessee as the responsible party for 

· · · ··· ·registration: and · .. , ..... 

f. Owner's/lessor's or responsible official's signature. after the statement: .: . 

· • "I certify under penalty of perjury under the laws of the State of · 

California that the information provided is true, accurate, and 

complete." ... 

3. The lessor must submit third party agreement confirmation information for ... 

leased units to the Executive Officer by one of the following methods: 

a. Mail or deliver to ARB at the address listed immediately below: 

California Air Resources Board 

Stationary Source Division CARBER/TRU) 

P.O. Box 2815 

Sacramento, CA 95812 

b. Electronically submit by email to: arber@arb.ca.gov 

53 

.. ~' . 
4. The lessor must notify the lessee in writing of this delegation. 

(B) The lessor shall not delegate owner requirements for complying with the 

in-use standards under section 2477.5(a) to the lessee unless the lessor is a 

bank or financial institution (see definition of "owner" in section 2477.4). 

(2) When TRUs or TRU gen sets are at a lessor's California terminal for 30 or more 

days, the lessor shall be subject to the operator report requirements set forth in 

section 2477.6. 

(b) Lessees shall be subject to all of the following: 

(1} The terminal operator requirements set forth in section 2477.6 if a leased or 

rented TRU or TRU generator set has been assigned to the lessee's California 

terminal for 30 or more days. 

(2) If delegated by contract and the lessor has submitted third party agreement 

confirmation information for leased units to ARB under section 2477.12(b)(1 )(A) 

. and notified the lessee of delegation under section 2477.12(a)(1)(A)3 .. the lessee . 

is responsible for the registration requirements of section 2477.5(e) and shall 

complete all of the following: 

(A) Submit a registration application for an ION after at least 10 days of the lessor 

submitting the third party agreement confirmation information for leased units 

to ARB, but no more than 30 days after the lessor's notice; 

(B) Submit a copy of the ARBER TRU Certification to the lessor within 30 days 

after registration in ARBERis completed and an•ARBER TRU Certificationds, :'•: ····• , .. c:··"···· 

· issued; and 

(C) Affix (attach) the ION to the TRU or TRU gen set housing within 30 days in 

accordance with subparagraph 2477.5(e)(1){F). 

NOTE: Authority cited: sections 39600, 39601. 39618 39658, 39659, 39666, 39667, 39674, 39675. 42400, 42400.1 ; . 

• 1

,42400.2, 42400.3.5, 42402. 42402.2:4241 0. 43013, 43018, California Health and Safety Code. Reference:· sections , ~ :. '" .. •·•:<:·c. •:: :: . 

;, . 39618:· 39650, 39658, 39659. 39666 39667, .. 39674, 39675, 42400 42400.-1. 42400.2; 42400.3.5,-42402; 42402.2:· ":·" ...... , 

42410,40717.9.43013 and 43018. ··• '·" · · 

... - ,._ ... ~--. -······ .... -··· 

2477.13 Requirements for TRU and TRU Gen SetOriqinal Equipment 

· . Manufacturers. 

· (a) TRU and TRU original equipment manufacturers that equip TRUs or TRU gen .sets 

with flexibility engines, as defined in section 2477.4, shall do all of the following: . __ 

.. -·- . -

(1) Beginning [30 days after amendment effective date], provide written notification 

to the Executive Officer of their intent to equip TRUs or TRU gen sets with 

flexibility engines. This notification shall be submitted at least 12 months in 

advance of the first flexibility engine being installed in production, to: 

California Air Resources Board 

Stationary Source Division (TRU) 

P.O. Box 2815 

Sacramento, CA 95812 

54 
(2} Beginning [120 days after the effective date of the amendment) provide 

supplemental labels that list all of the engine information needed to register the 

TRU or TRU gen set in ARBER under section 2477.5(e}, if the engine 

manufacturer's emissions label does not provide this information. 

(A} The supplemental label shall be permanently affixed to the flexibility engine in 

an easily accessible place, in accordance with 40 CFR 89.110 (for Tier 1 or 

Tier 2) or 40 CFR 1039.135 (for Tier 4). Alternative supplemental label 

locations and font sizes may be necessary, such as on the equipment frame. 

subject to Executive Officer approval. 

(3) Beginning [120 days after the effective date of the amendment] the original 

equipment manufacturer shall provide written disclosures with new TRUs or TRU 

gen sets that are equipped with flexibility engines. These written disclosures 

may be included with documentation that is shipped with the TRU or TRU gen 

set and must include instructions to dealers telling them they are required by 

California law to notify the ultimate purchaser of these disclosures prior to sale. 

and to pass these written disclosures to the ultimate purchaser at point of sale . 

. The following disclosures are required: 

(A) The TRU or TRU gen set is equipped with a flexibility engine. Flexibility 

engines meet less stringent emissions standards than the emission standards 

that ·we-re . .in·e_ffect· at the time the flexibiHty:enqine was manufactured.,: .. :::_,:·' ·;··~~I:-~::· :~·;·:~~ .. ~~--· 

· (B) Provide the effective model year ofthe flexibility engine, as shown in· ·· · · ··· 

section 2477.4. Table 1. 

(C) Notify the ultimate purchaser that ifthey register the TRU or TRU gen set in · 

. ARBER under section 2477.5(e). they are required report the effective model 

year of the engine. not the year that the engine was manufactured ... 

. Noncompliance. may result in penalty. · 

(D) If the TRU or TRU gen set is operated in California. the owner will be required 

. to bring the engine into compliance with the ULETRU in-use standard seven_~ 

· years after the effective model year of the engine. in accordance with_:,:;_, .... __ 

····section 2477.5(a) and (b). · 

.. ·. ~ilil_Original Equipment Manufacturer Reporting · 

:\Afill Current Production Reports: Beginning April 6, 2011, and by ~anuary 1st 

. and June 30th of each calendar year thereafter, TRU and TRU gen set originaL 

equipment manufacturers shall provide to ARB the information listed below for all 

TRUs and TRU gen sets that will be manufactured and marketed for sale in the 

following markets: California, United States, Canada, and Mexico. The following 

data shall be provided for TRUs and TRU gen sets that will be produced during 

the six month period following the report due date for each market area: 

~® TRU or TRU genset manufacturer and model name, as it appears on the 

unit label; and 

55 

. 
~.(ID The following engine information for each TRU or TRU gen set model: 

&.-.1., Engine manufacturer; 

&.-2. Engine model, as it appears on the engine emissions label; 

&.-3. Engine model, as it appears on the serial number label, if different; 

44. Engine Family; 

&.5. Rated horsepower and rated speed; 

f,6. Displacement (liters); 

~7. Exhaust Emissions Control System~ 

lt-.(L Tier standard met; and 

h9. ARB's Executive Order that the engines are manufactured under~ 

@.cf.Ql Current Production Reports shall be submitted by one of the following 

methods: 

Mail or deliver a physical report in electronic format to ARB at the 

address listed immediately below: 

C/\LirORNI/\ AIR RESOURCES BOARD 

STATIONARY SOURCE DIVISION (TRU) 

P.O. BOX 281§ 

.·. $ACR/\[111ENTO; Cf\ 9§812 ·· 

California Air Resources Board 

Stationarv Source Division ITRU) 

1 001 I Street 

Sacramento. CA 95814 · · 

... 

&.-2. ·· Electronically submit to ARB's TRU Program via email at ·· · j 

.. Jruarber@arb,ca.gov .· ....... . 

-- ------~·-· 

4-,.(Ql Original equipment manufacturers that produce less than 100 TRUs or····· 

TRU gen sets per calendar year may submit Current Production Year Reports · 

within ten days of installing the first engine in a production run of a new · '·· 

. model.· 

Prior Production Reports: 

-1-,{6l Prior unit and engine data. TRU and TRU gen set original equipment 

manufacturers shall: 

&.-.1., By April 6, 2011, provide a production report to ARB with the information 

listed below in subparagraph ~2477.13(b)(2)(C) for the previous five 

calendar years for each TRU or TRU gen set produced for sale in 

California, North America, Canada, and Mexico; or 

56 
&.-2. If the TRU or TRU gen set original equipment manufacturer elects not to 

provide the information in subparagraph (f)(d)(B) 1.a.24 77 .13(b )(2)(A) 1., 

then within 30 days of any request from ARB, the. TRU or TRU gen set 

original equipment manufacturer shall provide a production report to ARB 

with the information listed below in subparagraph ~2477.13(b)(2)(C) for 

the unit and engine serial numbers provided in ARB's request. 

bilil Monthly production reports. TRU and TRU gen set original equipment 

manufacturers shall either: 

a-.L Beginning April 6, 2011, provide by the 15th.of each calendar month, a 

monthly production report to ARB with the information listed below in 

subparagraph ~2477.13(b)(2)(C) for the previous calendar month for each 

TRU or TRU gen set produced for sale in California, North America, 

Canada, and Mexico; or 

e;.2. As an alternative, the TRU orTRU gen set original equipment 

manufacturer may request reporting that is equivalent to and at least as 

effective as subparagraph (f)(d)(B)2.a.2477.13(b)(2)(B)1., immediately. 

above, subject to Executive Officer .approval. 

· · ·,·.· @,._(g Original equipment manufaeturers shall provide the followingJnformation.• 

··, .· 

for each TRU and TRU gen set: · ·· · · ··· · · ··· ' 

a-.L 

&.-2. 

&.3. 

44. 

&.-9.,. 

fo6. 

§";-L 

fl...8. 

h9: 

TRU or TRU gen set model name, as it appears on the unit label~ 

TRU or TRU gen set serial number~ 

Engine manufacturer~ 

Engine model, as it appears on the engine emissions label;_ 

Engine model, as it appears ()pthe ~erial number label, ifdifferent; ·.··•··.·. ·· 

Engine Family~ ·· " •· · 

Engine serial nl,lmber~. 

Rated horsepower. and ratE)d speecl: and 

Tier standard met 

4-c@ Prior Production Reports and. Flexibility Engine .Reports shall be submitted 

on CD or DVD to: 

C/\LWORNI/\ AIR REaOURCEa BOARD 

aTI\TIOW\RY aOURCE DIVIaiON (TRU) 

P.O. BOX 2815 

ai\CRI\MENTO, C/\ 95812 

California Air Resources Board 

Stationarv Source Division (TRU) 

1 001 I Street 

Sacramento, CA 95814 

57 
I 

{Gt.Ql Confidentiality of current and prior. production reports. TRU and TRU gen 

set original equipment manufacturers may designate current and prior production 

report information as confidential or trade secret, and such information will be 

handled in accordance with title 17 CCR, section 91000 . 

. (c) Beginning [120 days after the effective date of the amendment] TRU and TRU qen 

set original equipment manufacturers (OEM) that sell TRUs, TRU gen sets, or 

replacement engines in California shall: 

(1) Provide a supplemental label with all new and rebuilt replacement engines that 

provides the information that is required to register the unit in ARBER under 

section 2477.5(e), if the engine manufacturer's emissions label does not provide 

this information. If a prior-tier replacement engine (as defined in section 2477.4) 

is used, the effective model year (as defined in section 2477.4) shall be listed on 

the supplemental label. 

(A) The supplemental label shall be permanently affixed to the replacement 

engine in an easily accessible place, in accordance with 40 CFR 89.110 (for 

Tier 1 or Tier 2 engines) or 40 CFR 1039.135 (for Tier 4 engines). Alternative 

supplemental label locations and font sizes may be necessary if accessible 

engine surface space is not available, subject to Executive Officer approval. 

{2) Provide a registration information document with each new TRU and TRU gen· .,. ··· ·· " ···· ·

1 

set that includes: 

(Al All of the TRU or TRU gen set unit information that is needed to register the 

TRU orTRU gen set in ARBER .under section 2477.5(el. This information 

must be the same as the information on.the unit label that is attached to the:~':'. •:···;;.:.;;:; 

unit. 

(8) All of the TRU or TRU gen set engine information needed to register in, .......... . 

ARBER under section 2477.5(e). This information must be the same as the,,J·.~j··~_c:::::~!"i'"Ce:~' 

information on the engine labels that are attached to the engine. 

(C) The registration information document shall include a certification statement ....... . 

· by the TRU OEM stating that the unit registration information provided is 

exactly the same as listed on the TRU or TRU gen set unit label and the 

engine registration information provided is exactly the same as listed on the 

engine labels. .. .... . ..... 

(D)As an alternative to providing the registration information document the TRU 

or TRU qen set original equipment manufacturer may provide a web-based, 

on-line lookup system for registration information that is at least as effective · 

as section 2477.13(c)(2)(Al, (8), and (C), subject to advance Executive 

Officer approval. In determining whether a specific web-based, on-line lookup 

system for registration information is at least as effective as section 

2477.13(c)(2)(A), (8), and (C), the Executive Officer shall consider 

information submitted by the manufacturer and shall exercise good scientific 

and engineering judgment. 

58 
(3) Provide a registration information document with each new and rebuilt 

replacement engine supplied by the OEM that includes: 

(A) All of the engine information needed to register in ARBER under 

section 2477.5(e). This information must be the same as the information on 

the new replacement engine labels or rebuilt replacement engine 

supplemental labels (see section 2477.16(b)) that are attached to the engine 

or an alternative location approved by 'the Executive Officer. · 

(B) The registration information document shall include a certification statement 

by the TRU OEM stating that the engine registration information provided is 

exactly the same as listed on the replacement engine labels. 

(C) Include entrv spaces and instructions for the dealer or installer to fill in the unit 

information that is needed to register the unit in ARBER pursuant to 

section 2477.5(e)(1 )(A)4. Include a certification statement for the dealer or 

installer to sign under. stating that the unit information entered is exactly the 

same as listed on the unit label that the replacement engine is installed into. 

(D)As an alternative to providing the registration document. the TRU or TRU gen 

set original equipment manufacturer may provide a web-based, on-line lookup 

system for registration information that is at least as effective as section 

2477.13(c)(3)(A), (B), and (C), subject to advance Executive Officer approval. 

In determining whether a specific web-based, on-line lookup system for 

registration information is-at least as effective .as section 2477.13(c)(2)(A},: oc' 

(B), and (C), the Executive Officer-shall consider information submitted by the 

manufacturer and shall exercise good scientific and engineering judgment. 

·. (d) Beginning [30 days after the effective date of the amendment]. OEMs shall provide.:· · 

.written disclose with each prior-tier replacement engine they supply thatshall be 

passed on to interested buyers prior to.sale of a prior-tier replacementengine · 

·notifying them that the engine was manufactured to meet less stringent emissions 

standards than are currently required. This notification mustalso provide the 

: .. --

•.• •".J'' 

· . effective model year of the prior-tier replacement engine and the ULETRU ___ .• , •. ,:c: ... ~-"-·' ·~·--

compliance deadline. ·· 

·NOTE: Authority cited: sections 39600, 39601, 39618. 3965Bc39659; 39666. 39667. 39674. 39675.42400 · 42400.1 ... ' 

42400.2, 42400.3.5 42402, 42402.2. 42410. 43013, 43018. California Health and Safety Code. Reference: sections· · ... . 

39618,39650.39658,39659.39666 39667 39674,39675.42400,42400.1.42400.2.42400.3.5 42402 42402.2, 

42410,40717.9.43013. and 43018. 

2477.14 Requirements for TRU, TRU Gen Set. and TRU-Eguipped Truck and 

Trailer Dealers. 

(a) Beginning [120 days after amendment effective date], dealers that sell and/or install 

TRUs. TRU gen sets. or replacement engines in California shall: 

(1) Pass the registration information document provided by the TRU or TRU gen set 

OEM (under section 2477.13) or print-out from the OEM's web-based look-up 

59 
system (under section 2477.13(c)(2)(0) or 2477.13(c)(3)(D)) to the ultimate. 

purchaser upon sale of a new TRU or TRU gen set that includes the TRU or TRU 

qen set unit information and the TRU engine information required for registration 

under section 2477.5(e). 

(2) Pass the registration information document provided by the TRU or TRU gen set 

OEM under (section 2477.13) or print-out from the OEM's web-based look-up 

system (under section 2477.13(c)(2)(0) or 2477.13(c)(3)(D)), or engine rebuilder 

(under section 2477.16) to the ultimate purchaser upon sale of a new 

replacement engine, or rebuilt replacement engine that includes the engine 

information required for registration under section 2477.5(e). 

(3) If an engine is not supplied by a TRU OEM, the dealer shall provide a registration 

information document that lists all of the TRU or TRU gen set engine information 

needed to register in ARBER under section 2477.5(e)(1)(A)7. This information 

must be exactly the same as the information on the engine emissions label that is 

attached to the engine. The registration information document must include a 

certification statement by the dealer stating that the engine information provided 

is exactly the same as listed on the engine emissions label. 

(4) If a new TRU or TRU gen set is equipped with a flexibility engine, the dealer shall· 

...... _notify the ultimate purchaserofthewrittendisclosuresprovided bv theOEM 

,,. ' · · ,. · under section 2477.13(a)(3) prior to sale and shall pass thesedisclosures·tothe 

ultimate purchaser at point of sale of a new TRU or TRU gen set. 

(b) Dealers that sell TRUs or TRU gen sets from businesses located in California may . 

'· • · · purchase, receive, or otherwise acquire and have in their possession,TRUs orTRU,· · 

;:_:{",0:.<.:.J..:~;:.i·''L'.:; ,gen sets that are noncompliantwith the incuse performance standards :of;.-~·· .. ::•: .• :. ..:L ..•• 0 .. ,.,::.:~-::Li'.f~::C:. 

section 2477.5(a) and the registration requirements of section 2477.5(e), if the · ,., ··••·· ··•• · ., • • 

following conditions are met: . ... . .. . . .... 

.. --·· ·-· .:· :~-~~-- ---- .. _.,..; .... 

(1) The noncompliant TRUs or TRU gen sets are not sold for use in California prior 

to being brought into compliance with the requirements; 

(2) The noncompliant TRU or TRU gen set is sold to a person that would not be 

reasonably expected to do business in California and a written disclosure to the. 

buyer in the bill of sale is required in accordance with section 2477.18(b)(1); 

"(3) The noncompliant TRUs or TRU gen sets are not rented or leased prior to being 

brought into compliance with these requirements; 

(4) The noncompliant TRUs or TRU gen sets are not operated at the dealers place 

of business or on California highways for the purposes of controlling the 

environment of temperature sensitive products while in California. This condition 

applies to TRU or TRU gen sets under the dealer's control. This condition does 

60 

. '·-·-;-· ··.-· 

·-----. ----~-- __ ,_:. 
not apply to TRUs or TRU gen sets owned by others that are being repaired by 

the dealer; and 

(5) If a noncompliant TRU or TRU gen set is in transit on California highways: 

(A) The TRU or TRU gen set shall not be operating; 

(B) The dealer shall be responsible for ensuring that no temperature-sensitive 

products are transported in the vehicle; 

(C) The dealer shall provide the driver with written evidence that the 

noncompliant TRU or TRU qen set is under the control of the dealer. including . 

the following information: 

1. Dealer's business name; 

2. Dealer's street address, state, zip code; 

3. Dealer contact person's name; 

4. Dealer contact person's business phone number; 

5. Date(s) transport will take place; 

6. ·Statement of the reason for transporting the noncompliant equipment 

7. TRU or TRU gen set serial number 

8. Physical address of starting location; 

9. Physical address of ending location; and 

10. Dealer owner's or responsible official's signature, after the statement: "I 

certify under penalty of perjurv under the laws of the State of California 

·. that the information provided .is true.accurate, and complete:': 

(D)Ourinq transit on California highways. the driver, upon request, must show-an-,.,,,,. 

inspector that no temperature-sensitive products are being transported and · 

must present written evidence provided by the dealer that the noncompliant · 

TRU or TRU qen set is under the control of a dealer; and 

CElAII circumstances at the time of inspection shall be consistent with tl:ie 

requirements under section.2477.14Cblf5}. · .. ·· 

NOTE: Authority cited: sections 39600, 39601, 39618 39658, 39659, 39666, 39667, 39674, 39675 42400:.42400.1;. :-

-- _:· -. 42400.2. 42400.3-.5. 42402. '42402.2. 4241 o: 430-13- 43018. Calito·rnia Health ·and ·safety· Code.- Refere'rite:··-sections·~.:.··. ,_ .. · · · , .. 

: ··39618, 39650, 39658, 39659 39666, 39667, 39674, 39675, 42400;'42400.1 ,42400;2 42400.3.5, 42402,42402:2:-

42410, 40717.9, 43013, and 43018. 

2477.15 Requirements for Repair Shops Located in California that Work on 

. ..... , .. , 

.. TRUs or TRU Gen Sets. . . _ . . . . . .. __ ..... 

. (a) Repair shops located in California that sell and/or install new or rebuilt replacement ·--· ____ _ 

engines into TRUs or TRU gen sets shall: 

(1) Pass the registration information document provided by the TRU or TRU gen set 

OEM (under section 2477.13) or engine rebuilder (under section 2477. 16) to the 

ultimate purchaser upon sale of a new or rebuilt replacement engine that 

includes the engine information needed to register in ARBER, as listed in 

section 2477.5(elC1liA)7. 

61 
(2) Beginning [120 days after amendment effective date], if an engine is not supplied 

by a TRU OEM, the installer shall provide a registration information document . 

that lists all of the TRU or TRU gen set engine information needed to register in 

ARBER, as listed in section 2477.5(e)(1 )(A)7. 

(A) This information must be exactly the same as the information on the engine 

emissions label that is attached to the engine. 

(B) The registration information document shall provide a certification statement 

by the repair shop responsible official stating that the engine information 

provided is exactly the same as listed on the engine emissions label. 

(3) Beginning [120 days after amendment effective date], provide the unit 

information on the registration information document that is needed to register 

the unit in ARBER for TRU or TRU gen set that the new or rebuilt replacement 

engine is.installed into. The unit information that is required is listed in 

section 2477.5(e)(1)(A)4. 

(A) The repair shop responsible official shall provide a certification statement on. 

the registration information document stating that the unit information 

provided is exactly the same as listed on the unit label. 

NOTE: Authority cited: sections 39600,39601.39618,39658 39659 39666.39667.39674,39675.42400,42400.1. 

42400.2. 42400.3.5;42402 42402.2 42410.43013,43018, California Health and Safety Code. Reference: sections 

39618 39650, 39658, 39659, 39666, 39667, 39674 39675, 42400, 42400.1, 42400.2, 42400.3.5. 42402. 42402.2 

c::·_,;;.:,,.·,_::,;,E • .'!·H. 4241 0."4071·7.9, 43013. and 43018. · · · · • ·. · :.; •. : 

. 2477.16 Requirements for Engine Rebuilders . 

-~· . ': .·_·, , ... - .'. ,·.-

· · •· ·(a) If a TRU engine is being rebuilt to remain in compliance with the in-use standards .of· "'''. · · · · " 

· section 24775(a), it.must be rebuilt in accordance with the 40 CFR. sections 89.130 . 

and 1068.120: and 1.3 CCR, section 2423(1), as these sections existed on August 31:::. ·'· . ~ .. -· .. :. 

2012, and shall meet the following requirements: 

(1) To remain in compliance with the in-use performance standards. the engine must 

be rebuilt to a configuration of a more stringent emissions standard tier than the 

original engine; 

. (2) The engine must be rebuilt to a certified configuration of matched components .. 

"Matched components" means a complete set of components corresponding to 

the certified emissions configuration (tier) of the engine that is being used as the 

reference for the rebuilt engine. 

(b) Beginning [30 days after amendment effective date], engine rebuilders shall provide 

a supplemental label with each rebuilt engine that includes the following information: 

(1) Name of the engine rebuilder; 

(2) Engine manufacturer of the original engine 

(3) Engine model: 

(4) Engine model year: 

62 
(A) Prior tier engines. If the rebuilt engine meets a prior-tier emissions standard. 

then the effective model year is required (see definition of effective model 

year in section 2477.4); 

(B) Current tier engines. It the rebuilt engine meets the tier standard that is 

currently in effect, then the model year is the year that the rebuild is 

completed. 

(5) Horsepower rating of the certified configuration of the rebuilt engine: 

(6) Emissions standard tier met by the certified configuration (e.g. Tier 4i); and 

(7) .Calendar year that the rebuild was completed. 

(c) Supplemental labels shall be permanently affixed to the rebuilt engine in an easily 

. accessible place. in accordance with 40 CFR, section 89.110 (for Tier 1 or Tier 2) or 

40 CFR, section 1039.135 (for Tier 4). Alternative supplemental label locations and 

font sizes may be necessarv if surface space is not available, subject to Executive 

Officer approval. 

(d) Beginning [90 days after amendment effective date], engine rebuilders shall provide 

the following documentation, within 30 days of request. that demonstrates they have 

complied with the engine rebuilding practices of 40 CFR. sections 89.130 and 

. 1068.120, and 13 CCR, section 2423(1): 

(1) Information that demonstrates there is a reasonable technical basis for knowing 

that the rebuilt engine is equivalent. from an emissions standpoint, to an engine 

that complies with the certification standards applicable to the emissions tier 

standard of the rebuilt engine (i.e. tolerances, calibrations, specifications); •Such .~.· 

· · ·equivalency would exist if the following two conditions are met: 

(A) Parts installed (whether the parts are new. used, or rebuilt) are such that a 

person familiar with the design and function of engines would reasonably 

believe that the parts perform the same function with respect to emission 

control as the original parts: and 

(B) Any parameter adjustment or design element change is made only in.· .•..• ·....• 

accordance with the original engine manufacturer's instructions or where·data· 

or other reasonable technical basis exists that such parameter adjustment or 

· · design element change, when performed on the. rebuilt engine, is not•;::_c:;': 2~;: ·~?~:::;:c_:.•c;~.::;.:.·~-

expected to adversely affect in-use emissions. 

(2) The technical demonstration must be signed and stamped by a licensed 

. professional mechanical engineer. 

(e) Beginning [120 days after amendment effective date], engine rebuilders shall 

provide a registration information document with the rebuilt engine that includes:. . ... 

... (1) All of the TRU or TRU gen set engine information needed to register in ARBER. ·-·---·· 

pursuant to subparagraph 2477.5(e)(1)(A)7 except that engine family may be 

omitted for rebuilt engines. This information must be the same as the information 

on the rebuilt engine's re-label and supplemental emissions label that is attached . 

to the engine. The registration information document would include a certification 

statement by the engine rebuilder, or third party installer stating that the engine 

information provided is exactly the same as listed on the engine emissions label. 

(2) A separate section of the registration information document shall include entrv 

spaces for all of the TRU or TRU gen set unit information that is required to 

register the unit in ARBER pursuant to subparagraphs 2477.5(e)(1)(A)4 and 5. 

63 
:· ... , f- ... :--~·;.' r----~--.. ····· 

i. r-·•-•••C:•' 

:- <"'> 

1. 

1 .• 

'· 

I •• 

The registration information document would include a certification statement. 

with a signature space for the third partv installer, stating that the unit information 

provided is exactly the same as listed on the unit label. 

NOTE: Authority cited: sections 39600. 39601. 39618. 39658. 39659 39666. 39667. 39674, 39675. 42400. 42400.1. 

42400.2 42400.3.5 42402.42402.2.42410 43013.43018. California Health and Safety Code. Reference: sections 

39618. 39650 39658 39659.39666. 39667.39674 39675.42400 42400.1.42400.2. 42400.3.5, 42402.42402.2. 

42410 40717.9.43013. and 43018. 

(2) Faeility MaAitariAg, ReeardkeepiAg, aAd RepartiAg. 

fA}2477.17 Facility Reporting. 

{AJ.@l All facilities subject to this subsection shall submit a Facility Report to ARB by 

January 31, 2006, containing the following information, as of December 31, 2005: 

4-oill Contact information for the facility's responsible official. 

bill Provide all North American Industrial Classification System codes (NAICS) 

applicable to the facility. 

;h.@l The number of loading dock doors serving refrigerated storage space. 

*.-@ The number of square feet of refrigerated storage space. ;-

&.-@ The number of TRUs or TRU gen sets under facility control by model year··· 

and horsepower category. 

· ·- ~.@TI'l<:;n_ulllber of refrigeratE'ld tr!lc:~?.J[<:~ilers, shippjng conte~iners; orr.ailcars:- .·. ~,.,., · .. _,, leased or rented-.···· ···:·;,.:~:.c ... , --~_: .. -1":':'.'"-... :<•·;:,::~-.-,_._._,_-_ ... _ -· 

·------~-- .. ----·- ....... . ___ ,_ .. ---···- .. ::: ..... :·: _______ ~-.-: ....•..... - - . __ .. ____ _ 

-~-•·•~< L::-• .:-;:~fif!J. JI1~Jote~l·e~nnl1<ti.TRLJ "'nginE'l()P"'.rq,ting h()_L[rs for __ aiiTRU,s or TJ3.l,J.gen(_ •:•il-- "-'l'lzc>;_ 

sets under facility control during 2005 (e.g. total TRU engine operating 

time forboth on-road and off-roadoperations). 

g,.@)_ The average weekly number of inbound refrigerated trucks, trailers, 

shipping containers, and rail_cC1r? .c!elivering goodsto the facility during ... 

40Qei, ~<':ll.f:!llated by dividing 1be e~n11l1altotal inbo.upd refrigerated l()ads .. 

by 52. 

9-,ill)_ The average weekly number of outbound refrigerated trucks, trailers, 

shipping containers and railcars delivering goods from the facility during 

2005, calculated by dividing the annual total outbound refrigerated loads 

by 52. 

4-G,.UQl The average total number of hours per week that outbound TRU or 

TRU gen set engines operate while at the facility during 2005. Average 

64 
TRU or TRU gen set engine operating time at facility for outbound 

refrigerated loads may be used if the result is representative of the 

outbound TRU or TRU gen set operations at facilities, as determined by 

the Executive Officer. Average values would be determined for outbound 

loads based on recordkeeping, conducted in accordance with 

subparagraph (f)(2)(B)2., and applied to the total annual number of 

refrigerated outbound loads, and then weekly averages calculated as 

follows: Average TRU or TRU gen set engine operating time per 

outbound refrigerated load multiplied by the total annual number of 

· outbound loads, divided by 52 weeks equals the average total number of 

hours per week that outbound TRU or TRU gen set engines operate 

while at the facility. 

44-c@ The average total number of hours per week that inbound TRU or 

TRU gen set engines operate while at the facility during 2005. Average ' · TRU or TRU gen set engine operating time at facility for inbound 

refrigerated loads may be used if the result is representative of the 

inbound TRU or TRU gen set operations at facilities, as determined by 

the Executive Officer. Average values would be determined for inbound 

loads based on recordkeeping, conducted in accordance with 

subparagraph (f)(2)(8)2., and applied to the total annual number of 

.-.. ·-··[ 

refrigerated inbound loads, and then weekly.averages calculated as; ,,.; ,,··~.-.. ·· 

follows: Average TRU or TRU gen set engine operating time per inbound· 

refrigerated load multiplied by the total annual number of inbound loads, 

divided by 52 weeks equals the average total number of hours per week 

that inbound TRU or TRU gen set engines operate while at the facility. 

· 4-:hl1Zl· .. The number of refrigerated trailers (as defined)thatareusecj e~t the ·' 

facility for cold storage, the total annual number of hours of TRU engine··· · · .. _,., ..• ,.,c·q · .·· .... operation associated with theserefrigere~ted trailers, andthe total annual. •.• • ... ·· 

number.othours ofoperatioo using electric standby .associated with these,; ·• ·· 

refrigerated trailers. 

tstilll Recordkeeping. 

4-,ill Recordkeeping that substantiates the information reported in the Facility 

. Report shall be maintained and sha.ll be compiled and made available to 

State inspectors upon request for a minimum of three (3) years. · 

~ill The Executive Officer may approve alternative recordkeeping and 

calculation procedures for determining the average weekly hours of TRU 

engine operation at a facility for inbound and outbound refrigerated loads, 

provided the Executive Officer finds that the alternative procedures meet 

the intent of subparagraph (f)(2)section 2477.17. 

65 
fGt.{£}_Facility Report Submittals. Facility Reports shall be submitted by one of 

the following methods: 

-hill Mail or deliver a physical report to ARB at the address listed immediately 

below: 

CALifORNIA /\IR RESOURCES BOARD 

STATIONARY SOURCE DIVISION (TRU) 

P.O. BOX 2815 

SACRAMENTO, C/\ 95812 

California Air Resources Board 

Stationarv Source Division (TRU) 

P.O. Box 2815 

Sacramento, CA 95812 

j 

6-ffi Electronically submit through ARB's web site. The ·.veb address will be 

identified in an advisory. by email to: tru@arb.ca.gov 

{Qt@ Failure to f'Report or sSubmittal of ff.alse i!nformation. Failure to 

. report or submittal of false information is a separate violation of state law 

subject to civil penaltythis rule. 

i 

. ·> ;NOTE: Authority cited: sections 39600, 39601, 39618 39658, 39659; 39666, 39667, 39674, 39675 42400,.42400,1, .. , ·" Ji.·''·" :.) 

.42400.2, 42400.3.5, 42402 42402.2, 42410, 43013, 43018, California Health. and Safety Code . .Reference:. sectiori's. ,-_, .• .. ....... . .. 

1

, 

39618 39650 39658 39659.39666 39667 39674 39675 42400 42400.1 42400.2 42400.3.5, 42402.42402.2. ' 

42410, 40717.9, 43013. and 43018. · 

®2477.18 Prohibitions. . . ~ ' . 

fB.(ill Except as allowed under section 2477.14(b), Nno person 'Nho is en§aged in ·this ·.:·oc.·<'''" ·· ... ··• 

State in the business of selling-to-an ultimate purchaser, or renting or leasing · · · .. · ·· · 1 

no'# or used TRUs or TRU gen sets, including;bljtnot limited .to; .manufacturers,• ''''''"''; .: ··:·:· ;i 

distributors, af\€1-dealers, auctioneers, and motor carriers shall intentionally or 

negligently import, deliver, purchase, receive, or otherwise acquire a new or used 

TRU or TRU gen set engine that does not meet the performance requirements or 

alternatives set forth in section 2477.5(€0.£!)(41 above. 

~.(Q} Except as allowed under section 2477.14(b), Nno person ·.vho isongaged in !lli?.. . --·-· 

State in the business of selling to an ultimate purchaser new or used TRU or 

TRU gon set engines, including, but not limited to, manufacturers, distributors, 

an€1 dealers, auctioneers, and motor carriers shall sell, or offer to sell, to an 

ultimate purchaser who is a resident of this State or a person that could 

reasonably be expected to do business in this State a new or used TRU or TRU 

gen set engine that does not meet the performance requirements or alternatives 

. set forth in section 2477.5(e£!)fB above. 

66 
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(1) If a noncompliant TRU or TRU gen set is sold to a person who is a resident 

outside this State. then the bill of sale shall disclose to the buver that the TRU 

or TRU gen set is not compliant for use in California and the TRU or TRU gen 

set must meet the in-use performance standards of section 2477.5 before 

operating in the State. and if the TRU is based in the State. then it must be 

registered in ARBER. The following statement must be included in the bill of 

sale of any noncompliant TRU orTRU gen set: "This TRU does not currently 

meet California's in-use performance standards under title 13, California 

Code of Regulations, section 2477.5, and is therefore not compliant for use in 

California." 

(2) No owner of a TRU that is equipped with an Alternative Technology under · 

section 2477.5(a)(3) (e.g. hybrid electric or electric standby) shall sell the 

TRU or TRU gen set. without disclosing in writing that it must be used in a 

way that qualifies it as an Alternative Technology in accordance with 

section 2477.5(a)(3) in order to be compliant. 

tJj.(QLNo person who is engaged in this State in the bt~siness of renting or leasing ne'N 

or t~sed TRU or TRU gen set engines, including, but not limited to, 

manufacturers, distributors, afl€1--dealers, and carriers shall lease, offer to lease, . 

rent, or offer to rent, in this state any new or used TRU or TRU gen set engine 

that does not meet the performance requirements or alternatives set forth in 

section 2477.5(eg}f-B above:: ......... '<• . 

. . 

f4t.(Ql Operators of affected facilities and operators of affected TRUs and TRU gen sets 

are prohibited from taking action to divert affected TRUs to alternative staging 

areas in order to circumvent the requirements of this section. 

NOTE: Authority cited: sections 39600. 39601. 39618 39658. 39659. 39666. 39667. 39674 39675 42400. 42400.1 .;;.";;·: ... •.:c• .. 

42400.2 42400.3.5. 42402.42402.2.42410.43013,43018. California Health and Safety Code: Refere·n·ce: sections .••....• 

39618 391350.39658.39659.39666.39667.39674.39675.42400.42400.1.42400.2 42400.3.5. 42402.42402.2. . 

42410 '40717.9 43013 and 43018. · ··· · • 

::·e. .;··. 

tfl12477.19 Penalties. 

f-B@AII persons, as defined in section 19 of the Health and Safety Code, found to be in· 

violation of title 13, CCR, section§ 2477 through 2477.18 may be cited and subject 

to the penalty provisions set forth in Health andSafety Code sections 3967 4; . 

39675, 42400 et seq., 42402 et seq., and 42410. Where a violation involves 

multiple TRUs. TRU gen sets. or TRU engines, there is a separate violation for 

each such unit. 

(b) Failure to keep records. report. or submittal offalse information is a violation of 

this rule subject to penalty. 

NOTE: Authority cited: sections 39600, 39601, 39618, 39658, 39659, 39666, 39667, 39674, 39675, 42400, 42400.1, 

42400.2, 42400.3.5, 42402,42402.2,42410,43013,43018, California Health and Safety Code. Reference: sections 

67 
. , .-, 

39618, 39650, 39658, 39659, 39666, 39667, 39674, 39675, 42400, 42400.1' 42400.2, 42400.3.5, 42402, 42402.2, 

42410,40717.9,43013, and 43018. 

2477.20 Authority to Request Additional Information. 

The Executive Officer may request that additional information be submitted as part of 

the review of any extension application, exemption, or other action that delays or defers 

a compliance date or action. 

NOTE: Authority cited: sections 39600, 39601, 39618, 39658, 39659, 39666, 39667 39674, 39675, 42400, 42400.1, 

42400.2, 42400.3.5, 42402,42402.2,42410,43013,43018 California Health and Safety Code. Reference: sections 

39618,39650 39658,39659,39666,39667,39674,39675 42400,42400.1,42400.2 42400.3.5, 42402,42402.2, 

42410, 40717.9, 43013, and 43018. 

2477.21 Severability. If any subsection, paragraph, subparagraph, sentence, 

clause, phrase, or portion of this regulation is. for any reason, held invalid. 

unconstitutional, or unenforceable by any court of competent jurisdiction, such portion 

shall be deemed as a separate. distinct, and .independent provision, and such holding 

shall not affect the validity of the remaining portions of the regulation. 

NOTE: Authority cited: sections 39600, 39601 39618, 39658, 39659, 39666, 39667, 39674, 39675, 42400 42400.1, 

•· ·· 42400.2, 42400.3.5.' 42402 42402.2. 4241 0";43013; 48018, California Health and Safety Code .. Referehce:•·:sectidris.:•: .. c;: :: 

..... ·39618, 39650, 39658, 39659, 39666, 39667 39674, 39675, 42400 42400 1. 42400.2, 42400.3.5, 42402 42402.2: . 

42410,40717.9 43013, and 43018 . 

'·- -·~·· ._ ... -

68 

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