(1) The requirements of this section do not apply to:

(2) The requirements of subsections (e) through (j) do not apply to mobile cargo handling equipment that is used exclusively for transporting personnel or delivering fuel to equipment or vehicles on terminal or rail yard property. Examples include, but are not limited to, fuel delivery trucks operating solely at the terminal to deliver fuel to terminal equipment and vans and buses used to transport personnel.

(3) The requirements of subsection (e)(1)(B) do not apply to non-yard truck cargo handling equipment that is owned, leased, or rented by an owner or operator of a port terminal or intermodal rail yard and has been moved from one port terminal or intermodal rail yard to another port terminal or intermodal rail yard under the control of the same owner or operator and has received approval for such transfer under subsection (k) below.

(1) “Alternate PM Standard” means one of the Family Emissions Limit (FEL) standards that are currently available to engine manufacturers under title 13, California Code of Regulations (CCR), section 2423. Alternate standards are of limited duration and may be selectively applied to total or partial engine family production volumes.

(2) “Alternative Diesel Fuel” means any fuel used in a CI engine that is not commonly or commercially known, sold, or represented by the supplier as diesel fuel No. 1-D or No. 2-D, pursuant to the specifications in ASTM D975-81, “Standard Specification for Diesel Fuel Oils,” as modified in May 1982, which is incorporated herein by reference, or an alternative fuel, and does not require engine or fuel system modifications for the engine to operate, although minor modifications (e.g., recalibration of the engine fuel control) may enhance performance. Examples of alternative diesel fuels include, but are not limited to, biodiesel that does not meet the definition of CARB diesel fuel; Fischer-Tropsch fuels; emulsions of water in diesel fuel; and fuels with a fuel additive, unless:

(3) “Alternative Fuel” means natural gas, propane, ethanol, methanol, gasoline (when used in hybrid electric mobile cargo handling equipment only), hydrogen, electricity, fuel cells, or advanced technologies that do not rely on diesel fuel. “Alternative fuel” also means any of these fuels used in combination with each other or in combination with other non-diesel fuel.

(4) “Basic Container Handling Equipment” means mobile cargo handling equipment, other than yard trucks, bulk cargo handling equipment, and RTG cranes, used to handle cargo containers. Basic Container Handling Equipment includes but is not limited to top handlers, side handlers, reach stackers, straddle carriers, and forklifts.

(5) “Bulk Cargo Handling Equipment” means mobile cargo handling equipment, other than yard trucks, basic container handling equipment, and RTG cranes, generally used to move non-containerized cargo, including but not limited to dozers, excavators, loaders, tractors, and aerial lifts.

(6) “California Air Resources Board (CARB) Diesel Fuel” means any diesel fuel that meets the specifications of vehicular diesel fuel, as defined in title 13 CCR, sections 2281, 2282, and 2284.

(7) “Carbon Monoxide (CO)” is a colorless, odorless gas resulting from the incomplete combustion of hydrocarbon fuels.

(8) “Cargo” means material, goods, or commodities that have been or will be transported to or from a port or intermodal rail yard by ship, train, truck, or other mode of transportation.

(9) “Cargo Handling Equipment” means any off-road, self-propelled vehicle or equipment used at a port or intermodal rail yard to lift or move container, bulk, or liquid cargo carried by ship, train, or another vehicle, or used to perform maintenance and repair activities that are routinely scheduled or that are due to predictable process upsets. Equipment includes, but is not limited to, rubber-tired gantry cranes, yard trucks, top handlers, side handlers, reach stackers, forklifts, loaders, aerial lifts, excavators, and dozers.

(10) “Certified Off-road Diesel Engine” means an engine certified to California off-road engine emission standards under title 13, CCR, section 2423.

(11) “Class I Railroad” is a freight railway based on large revenues ($250 million or more) in comparison to the revenues of Class II (which ranges from greater than $20 million but less than $250 million) and Class III (less than $20 million) railways, as defined by the Surface Transportation Board.

(12) “Certified On-road Diesel Engine” means an engine certified to California on-road diesel engine emission standards under title 13, CCR, section 1956.8.

(13) “Compression Ignition (CI) Engine” means an internal combustion 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. Any engine certified under the diesel cycle is included under the definition of a compression ignition engine.

(14) “Construction Activities” include any activities at a port or intermodal rail yard that are preparatory to or involved with the building, alteration, rehabilitation, demolition, or improvement of property, including, but not limited to, the following activities; grading excavation, loading, crushing, cutting, planning, shaping, or ground breaking.

(15) “Contiguous Properties” means two or more parcels of land with a common boundary or separated solely by a public roadway or other public right-of-way.

(16) “Diesel Fuel” means any fuel that is commonly or commercially known, sold, or represented by the supplier as diesel fuel, including any mixture of primarily liquid hydrocarbons (HC) -- organic compounds consisting exclusively of the elements carbon and hydrogen -- that is sold or represented by the supplier as suitable for use in an internal combustion, compression-ignition engine.

(17) “Diesel-Fueled” means a CI engine fueled by diesel fuel, CARB diesel fuel, or jet fuel, in whole or part.

(18) “Diesel Oxidation Catalyst (DOC)” means a catalyst promoting oxidation processes in diesel exhaust, and usually designed to reduce emissions of the organic fraction of diesel particulates, gas-phase HC, and CO.

(19) “Diesel Particulate Filter (DPF)” means an emission control technology that reduces PM emissions by trapping the particles in a flow filter substrate and periodically removes the collected particles by either physical action or by oxidizing (burning off) the particles in a process called regeneration.

(20) “Diesel Particulate Matter (Diesel PM)” means the particles found in the exhaust of diesel-fueled CI engines. Diesel PM may agglomerate and adsorb other species to form structures of complex physical and chemical properties.

(21) “Dozer” means an off-road tractor, either tracked or wheeled, equipped with a blade.

(22) “Emission Control Strategy” means any device, system, or strategy employed with a diesel engine that is intended to reduce emissions, including, but not limited to, diesel oxidation catalysts, selective catalytic reduction systems, fuel additives, diesel particulate filters, alternative diesel fuels, water emulsified fuels, and any combination of the above.

(23) “Excavator” means an off-road vehicle consisting of a backhoe and cab mounted on a pivot atop an undercarriage with tracks or wheels.

(24) “Executive Officer” means the Executive Officer of the California Air Resources Board or his/her designee.

(25) “Family Emissions Limit (FEL)” refers to an emission level that is declared by the manufacturer to serve as an emission standard for certification purposes and for the averaging, banking, and trading program as defined in title 13, CCR, section 2423.

(26) “Fleet” means the total number of mobile cargo handling equipment vehicles owned, rented, or leased by an owner or operator at a specific terminal or intermodal yard location.

(27) “Forklift” means an off-road industrial truck used to hoist and transport materials by means of steel fork(s) under the load.

(28) “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.

(29) “Hybrid” means powered by two or more sources of energy.

(30) “Heavy-duty Pilot Ignition Engine” means an engine designed to operate using an alternative fuel, except that diesel fuel is used for pilot ignition at an average ratio of no more than one part diesel fuel to ten parts total fuel on any energy equivalent basis. An engine that can operate or idle solely on diesel fuel at any time does not meet this definition.

(31) “Hydrocarbon (HC)” means the sum of all hydrocarbon air pollutants.

(32) “In-Use” means a CI engine that is not a “new” CI engine.

(33) “Intermodal Rail Yard” means any transportation facility owned or operated by a Class I Railroad that is primarily dedicated to the business of intermodal rail operations where cargo is transferred to or from a train and any other form of conveyance, such as train to ship, ship to train, train to truck, or truck to train.

(34) “Lease” means a contract by which one conveys cargo handling equipment for a specified term and for a specified rent.

(35) “Level” means one of three categories of Air Resources Board-verified diesel emission control strategies as set forth in title 13, CCR, section 2701 et seq: Level 1 means the strategy reduces engine diesel particulate matter emissions by between 25 and 49 percent, Level 2 means the strategy reduces engine diesel particulate matter emissions by between 50 and 84 percent, and Level 3 means the strategy reduces engine diesel particulate matter emissions by 85 percent or greater, or reduces engine emissions to less than or equal to 0.01 grams diesel PM per brake horsepower-hour.

(36) “Loader” means any type of off-road tractor with either tracks or rubber tires that uses a bucket on the end of movable arms to lift and move material; can be also referred to as a front-end loader, front loader, skid steer loader, backhoe, rubber-tired loader, or wheeled loader.

(37) “Low-throughput Port” means a port that has a two-year average annual cargo throughput of less than one million tons per year, not including petroleum products, as reported by the U.S. Army Corps of Engineers, Waterborne Commerce Statistics Center.

(38) “Military Tactical Support Cargo Handling Equipment” means cargo handling 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.

(39) “Minimum Use Requirement” means an agreement, as part of state or local incentive funding programs or written agreement between mobile cargo handling equipment owners or operators and the Ports of Long Beach, Los Angeles, or Oakland, to use an emission control device on mobile cargo handling equipment for a specified minimum number of years and/or hours.

(40) “Mobile Crane” means a mobile machine, other than a rubber-tired gantry crane, with a hoisting mechanism mounted on a specially constructed truck chassis or carrier; a mobile crane can either be a single-engine crane or a two-engine crane.

(41) “Model Year” means the CI 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.

(42) “Newly Purchased, Leased, or Rented Cargo Handling Equipment” means mobile cargo handling equipment or a diesel-fueled CI engine installed in mobile cargo handling equipment that is newly purchased, rented, leased, or otherwise brought onto a port or intermodal rail yard by an owner or operator on or after January 1, 2007, and is operated at a port or intermodal rail yard in the state of California after January 1, 2007.

(43) “Nitrogen Oxides (NOx)” means compounds of nitric oxide (NO), nitrogen dioxide (NO₂), and other oxides of nitrogen, which are typically created during combustion processes and are major contributors to smog formation and acid deposition.

(44) “Non-Methane Hydrocarbons (NMHC)” means the sum of all HC air pollutants except methane.

(45) “Non-Yard Truck Mobile Cargo Handling Equipment” means all mobile cargo handling equipment other than yard trucks.

(46) “Ocean-going Vessel” means a commercial, government, or military vessel meeting any one of the following criteria:

(47) “Off-Road Engine” means an engine used in an off-road vehicle, or piece of equipment, including a certified on-road diesel engine.

(48) “Off-Road Vehicle or Equipment” means any non-stationary device, including registered motor vehicles, powered by an internal combustion engine or motor, used primarily off the highways to propel, move, or transport persons or property.

(49) “Opacity” means the fraction of a beam of light, expressed in percent, which fails to penetrate a plume of smoke.

(50) “Otto Cycle Engine” means a type of engine with operating characteristics significantly similar to the theoretical Otto combustion cycle. The primary means for controlling power output in an Otto cycle engine is by limiting the amount of air and fuel that can enter the combustion chambers of the engine. Gasoline-fueled engines are Otto cycle engines.

(51) “Owner or Operator” means any person that owns or operates a port terminal or intermodal rail yard subject to the requirements of this section, including but not limited to:

(52) “Particulate Matter (PM)” means the particles found in the exhaust of CI engines, which may agglomerate and adsorb other species to form structures of complex physical and chemical properties.

(53) “Port” is a publically or privately owned property located at a harbor or along a waterway where marine and port terminals typically load and unload water-borne commerce onto and from ocean-going vessels; a port includes all property within the physical boundaries of the port or demarcated as the port on city or county land maps as well as other contiguous or adjacent properties owned or operated by the port. A port includes military terminals that operate cargo handling equipment when located as part of, or on contiguous properties with, non-military terminals.

(54) “Portable CI Engine” means a compression ignition (CI) engine designed and capable of being carried or moved from one location to another. Indicators of portability include, but are not limited to, wheels, skids, carrying handles, dolly, trailer, or platform. Portable engines are not self-propelled.

(55) “Purchased” means the date shown on the front of the cashed check, the date of the financial transaction, or the date on the engine purchasing agreement, whichever is earliest.

(56) “Railcar Mover” means an off-road vehicle fitted with rail couplers and capable of traveling on both roads and rail tracks.

(57) “Reach Stacker” means an off-road truck-like cargo container handler that uses an overhead telescopic boom that can reach across two or more stacks of cargo containers and lift the containers from the top.

(58) “Registered Motor Vehicle” means a yard truck or other cargo handling vehicle that is registered as a motor vehicle under Vehicle Code section 4000, et seq.

(59) “Rent” means payment for the use of mobile cargo handling equipment for a specified term.

(60) “Retirement” or “Retire” means an engine or vehicle that will be taken out of service by an owner or operator, will not be operated at any port or intermodal rail yard in the State of California by the same or different owner or operator, and will not be replaced with a new engine or vehicle. The engine may be sold outside of California or scrapped.

(61) “Rubber-tired Gantry Crane or RTG Crane” means an off-road overhead cargo container crane with the lifting mechanism mounted on a cross-beam supported on vertical legs which run on rubber tires. RTG cranes do not include gantry cranes that operate on steel wheels and rails.

(62) “Safe” denotes cargo handling equipment that can be operated with little or no additional risk of operational accidents due to, but not limited to, installation of verified diesel emission control strategies that impair the operator's operational vision to the front and sides or change vehicle balance.

(63) “Side Handler or Side Pick” means an off-road truck-like cargo container handler that uses an overhead telescopic boom to lift empty or loaded cargo containers by grabbing either two top corners on the longest side of a container, both arms of one side of a container, or both top and bottom sides of a container.

(64) “Sweeper” means an off-road vehicle with attached brushes underneath that sweep the ground and pick up dirt and debris.

(65) “Terminal” means a facility, including one owned or operated by the Department of Defense or the U.S. military services, that operates cargo handling equipment at a port or intermodal rail yard.

(66) “Tier 4 Off-road Emission Standards” means the emission standards promulgated by the United States Environmental Protection Agency in “Control of Emissions of Air Pollution from Nonroad Diesel Engines and Fuel; Final Rule” (Vol. 69, No. 124 Fed. Reg. pp. 38957-39273, June 29, 2004) which harmonize with the final amended emission standards for newly manufactured off-road engines approved by the Air Resources Board on December 12, 2004.

(67) “Top Handler or Top Pick” means an off-road truck-like cargo container handler that uses an overhead telescopic boom to lift empty or loaded cargo containers by grabbing the top of the containers.

(68) “Two-year Average Annual Cargo Throughput” means the arithmetic average of the annual cargo throughput, not including petroleum products, as reported by the U.S. Army Corps of Engineers, Waterborne Commerce Statistics Center, for the most recently reported calendar year and the calendar year immediately preceding that year.

(69) “Urban Area” means a densely developed territory that contains 50,000 or more people as reported by the latest U.S. Census Bureau census.

(70) “Verification Procedure, Warranty and In-Use Compliance Requirements for In-Use Strategies to Control Emissions from Diesel Engines (Verification Procedure)” means the Air Resources Board (ARB) regulatory procedure codified in title 13, CCR, sections 2700-2710, which is incorporated herein by reference, that engine manufacturers, sellers, owners, or operators may use to verify the reductions of diesel PM and/or NOx from in-use diesel engines using a particular emission control strategy.

(71) “Verified Diesel Emission Control Strategy (VDECS)” means an emission control strategy, designed primarily for the reduction of diesel PM emissions, which has been verified pursuant to the “Verification Procedure for In-Use Strategies to Control Emissions from Diesel Engines” in title 13, California Code of Regulations, commencing with section 2700.

(72) “Warranty Period” means the period of time and/or mileage that a vehicle, engine, or part is covered by the engine manufacturer's new engine warranty provisions.

(73) “Water-borne Commerce” means the movement of materials, goods or commodities using vessels or other craft plying upon navigable waters of the United States.

(74) “Yard truck” means an off-road mobile utility vehicle used to carry cargo containers with or without chassis; also known as utility tractor rig (UTR), yard tractor, yard goat, yard hostler, yard hustler, or prime mover.

(1) Newly Purchased, Leased, or Rented Equipment Performance Standards:

(2) Performance Standards for In-Use Yard Trucks

(3) Performance Standards for In-Use Non-Yard Truck Mobile Cargo Handling Equipment

(4) Fuel Requirements

(5) Replacement Engines for In-Use Yard Truck and Non-Yard Truck Equipment

(1) Compliance Extension for an Engine Near Retirement. If an owner or operator has applied a Compliance Option to its fleet pursuant to the schedule set forth in Table 3 of subsection (e), and the next engine subject to the Compliance Options is scheduled to be retired from the active fleet within one year of the applicable compliance deadline, the owner or operator does not need to apply a Compliance Option to that engine for up to one year, provided the owner or operator maintains appropriate records and documentation, as specified in subparagraph (i)(1)(F), regarding the assigned retirement date and the engine is retired on or before the assigned date. If upon inspection, ARB finds the aforementioned conditions to have not been met, the engine would be in noncompliance from the date that compliance would otherwise have been required under the schedule set forth in Table 3 of subsection (e).

(2) Compliance Extension Based on No Verified Diesel Emission Control Strategy for Non-Yard Truck Mobile Cargo Handling Equipment. Subject to the conditions set below, if the Executive Officer has not verified a diesel emission control strategy or one is not commercially available for a particular engine and equipment combination, an annual extension in compliance, up to a maximum of four years, may be granted by the Executive Officer. Owners or operators who apply for an additional compliance extension beyond the first two annual extensions are required to use electric or hybrid cargo handling equipment as specified in subsection (f)(2)(D), if such equipment is available and operationally feasible for the intended use. The additional compliance extension beyond the first two annual extensions will be a two-year extension. The Executive Officer shall grant the extension upon determining that the following circumstances have been met:

(3) Use of Experimental Diesel Particulate Matter Emission Control Strategies for Mobile Cargo Handling Equipment. An annual compliance extension may be granted by the Executive Officer for the use of an experimental, or non-verified, diesel PM emission control strategy if a VDECS is not available, the owner or operator can demonstrate that an existing VDECS is not safe or feasible for their equipment or application, or use of the non-verified control strategy is needed to generate data to support verification of the control strategy. The owner or operator shall keep documentation of this use in records as specified in paragraph (i)(1)(G). Each mobile cargo handling equipment engine will be considered to be in compliance for the duration of the experiment, until the extension expires. The Executive Officer may grant the extension upon determining that the owner or operator has met the conditions specified below:

(4) Compliance Extension for Equipment Manufacturer Delays. An owner or operator who has purchased new equipment in order to comply with subsection (e), including an owner or operator who has been granted a compliance extension per subsections (f)(2), (f)(3), or (f)(5), will be considered to be in compliance if the new equipment has not been received due to manufacturing delays, as long as the following conditions are met:

(5) Compliance Extension for Yard Trucks Having VDECS with Minimum Use Requirements. If VDECS were installed on a yard truck prior to December 31, 2005, and the minimum use requirements of the VDECS, as established under a public funding program, is later than the compliance date as specified in subsection (e)(2)(B), an exemption from compliance may be extended to three years beyond the installation date of the VDECS if the following conditions are demonstrated by the owner or operator:

(6) Compliance Extension for Non-yard Truck Equipment Operated Less Than 200 Hours Annually.

(1) In the event of a failure or damage of a diesel emission control strategy, the following conditions apply:

(1) Requirements

(2) Application Process

(3) Revocation or Modification of Approved ACPs

With 30-days notice to the ACP holder, the Executive Officer may revoke or modify, as needed, an approved ACP if there have been multiple violations of the ACP provisions or the requirements of the approved ACP; or if the Executive Officer has reason to believe that an approved ACP has been granted that no longer meets the criteria or requirements for an ACP or the applicant can no longer comply with the requirements of the approved ACP in its current form.

Public notification of a revocation or modification of an approved ACP shall be made available on the ACP Internet site.

(1) Records Kept at Terminal. The owner or operator shall keep the following records accessible either in hard copy format or computer records at the terminal where the mobile cargo handling equipment normally resides:

(2) Records Kept in Mobile Cargo Handling Equipment. For each mobile cargo handling equipment, the owner or operator shall keep the following information affixed to the driver's side door jamb, or another readily accessible location known by the owner or operator of each mobile cargo handling equipment, in the form of a legible and durable label or in an alternative form approved by the Executive Officer or designee that is immediately accessible at the time of inspection by the enforcement agency:

(3) Each owner or operator shall maintain these records for each piece of mobile cargo handling equipment until it is sold outside of the State of California or is no longer used at a port or intermodal rail yard in the State of California. If ownership is transferred, the seller shall convey the records to the buyer.

(1) Compliance Plan. By January 31, 2007, each owner or operator of in-use mobile cargo handling equipment subject to the requirements of subsection (e) shall provide the following information to the Executive Officer:

(2) Demonstration of Compliance. By no later than the earliest applicable compliance date specified in subsections (e)(2)(B) or (e)(3)(C), for each piece of in-use cargo handling equipment subject to the requirements of subsection (e), the owner or operator shall provide the following information to the Executive Officer:

(3) Annual Reporting. Each terminal owner or operator shall submit an annual report to the Executive Officer by January 31, 2007, and by each January 31 annually, through 2016 as described below:

(4) Reporting for Off-Road Equipment that Does Not Handle Cargo at any Time. Each terminal owner or operator to whom subsection (c)(3) applies, shall submit a report to the Executive Officer by January 31, 2007, as described below:

(1) The two facilities that the equipment is being transferred from and to are under the same control;

(2) The equipment transfer will not be used to meet the requirements of this section at the facility the equipment is being transferred from;

(3) The owner or operator must agree to bring the transferred equipment into compliance with the requirements of subsection (e)(3) before the equipment is put into operation at the new location; and

(4) The transfer plan is submitted to the Executive Officer for review at least 30 days prior to the planned transfer and the Executive Officer determines that the plan does not result in a significant increase in public health impacts based on an evaluation of the following information:

(5) The transfer plan must include the following information:

(1) Any person who sells, offers for sale, leases or rents cargo handling equipment with an engine certified to Tier 4 Alternate PM off-road diesel engine standards, as specified in title 13, CCR, section 2423(b)(2)(B), or an independent engine certified to those standards that will be used in cargo handling equipment must provide the following disclosure in writing on the bill of sale, lease agreement, or rental agreement: “When operated at a California port or intermodal rail yard, this engine is subject to the retrofit requirements of either subsection (e)(1)(B)3., (e)(3)(B)1.b., (e)(3)(B)2.b.,or (e)(3)(B)3.b. of the California Air Resources Board's Regulation for Mobile Cargo Handling Equipment at Ports and Intermodal Rail Yards.”

(2) For purposes of this section, it shall be presumed that an independent engine sold or leased by a person who sells cargo handling equipment will be used to repower cargo handling equipment. For more information, please visit the California Air Resources Board's website at http://www.arb.ca.gov/ports/cargo/cargo.htm.

(1) All documents required under this regulation to be submitted to the Executive Officer shall be submitted as follows:

(2) An alternative method, including electronic submittals, may be approved by the Executive Officer.