Cal. Code Regs. tit. 13 § 3009

Current through Register 2024 Notice Reg. No. 50, December 13, 2024

Section 3009 - [Operative 1/1/2025] Reporting and Recordkeeping

(a) General recordkeeping requirements.

(1) The Responsible Official shall maintain all records related to these reporting requirements or needed to demonstrate compliance with this ZE Forklift Regulation for five years after the relevant reporting date or record collection.

(2) The Responsible Official shall provide all requested information and documents needed to demonstrate compliance with this Regulation to the Executive Officer within five business days of CARB's request.

(3) The Responsible Official shall maintain the records for any LSI Forklift or ZE Forklift that is removed from operation in California for three years after removal.

(b) Contact information. When required by other provisions of this section, an Operator shall report the following information to CARB:

(1) Entity Information.

(A) Entity name;

(B) Parent company, corporation, or agency, if reporting Fleet Portion;

(C) Entity address(es);

(D) Contact name(s);

(E) Contact phone number(s);

(F) Contact e-mail address(es);

(G) Responsible Official Name;

(H) Responsible Official Title; and

(I) Whether this entity is a Fleet Operator, Dealer, Rental Agency, or Forklift Manufacturer.

(2) Forklift Information to Report.

(A) Forklift manufacturer;

(B) Forklift model;

(C) Forklift serial number;

(D) Forklift class;

(E) Rated Capacity;

(F) Powertrain type (LSI, battery electric, or fuel-cell electric); and

(G) For LSI Forklifts:

1. Engine MY (Forklift MY for the purpose of this Regulation);

2. Engine manufacturer;

3. Engine model; and

4. Engine serial number.

(c) MY Phase-Out Reporting

(1) Initial Report. No later than April 30, 2026, the Responsible Official of a Large Fleet (Fleet Operator or Rental Agency) shall submit a completed Initial Report to the Executive Officer. The Initial Report shall contain the following information:

(A) Entity information specified in Section 3009(b)(1);

(B) Total Number of Class IV LSI Forklifts within the Fleet on January 1, 2026, not including Forklifts that are exempt pursuant to Section 3007(a)(1), 3007(a)(2), or 3007(a)(3);

(C) Total Number of Class V LSI Forklifts with a Rated Capacity of 12,000 pounds or less within the Fleet on January 1, 2026, not including Forklifts that are exempt pursuant to 3007(a)(1), 3007(a)(2), or 3007(a)(3); and

(D) For each separately metered building or operating location with LSI Forklifts subject to the phase-out requirements:

1. Copy of the information submitted to the applicable electric utility provider pursuant to Section 3006(c);

2. Copy of the confirmation provided by the electric utility provider demonstrating the information has been received, or other evidence that the information in section 3009(c)(1)(D)1. was submitted to the utility; and

3. If applicable, the date by which the existing panel capacity is expected to be insufficient to charge or fuel ZEFs necessary to comply with the phase out requirements.

(2) Annual Report. By April 30 of each calendar year subsequent to the submittal of the Initial Report, the Responsible Official shall submit the following information regarding their Forklift fleet over the previous calendar year. For example, an Annual Report is due by April 30, 2030, covering fleet information between January 1, 2029, and December 31, 2029. The first Annual Report is due no later than April 30, 2027.

(A) Updates to any Entity or Forklift number information provided in a previously submitted report; and

(B) For each separately metered building or operating location with LSI Forklifts subject to the phase out requirements:

1. Information on whether the existing panel capacity is currently sufficient to charge or fuel ZEFs necessary to comply with the phase-out requirements; and

2. If applicable, the date by which the existing panel capacity is expected to be insufficient to charge or fuel ZEFs necessary to comply with the phase out requirements.

(3) Final Report for Class IV LSI Forklifts. The Responsible Official shall submit a confirmation that the Fleet has completed its phase-out of Class IV LSI Forklifts to the Executive Officer no later than April 30, 2035, or April 30 of the final year of an applicable extension, whichever is later.

(4) Final Report for Class V LSI Forklifts. The Responsible Official shall submit a confirmation that the Fleet has completed its phase-out of Class V LSI Forklifts to the Executive Officer no later than April 30, 2038, or April 30 of the final year of an applicable extension, whichever is later.

(d) MY Phase-Out Reporting for a Small Fleet

(1) Initial Report. No later than September 30, 2026, the Responsible Official of a Small Fleet (Fleet Operator or Rental Agency) shall submit a completed Initial Report to the Executive Officer. The Initial Report shall contain the following information:

(A) Entity information specified in Section 3009(b)(1);

(B) Total Number of Class IV LSI Forklifts within the Fleet on January 1, 2026, not including Forklifts that are exempt pursuant to Section 3007(a)(1), 3007(a)(2), or 3007(a)(3);

(C) Total Number of Class V LSI Forklifts with a Rated Capacity of 12,000 pounds or less within the Fleet on January 1, 2026, not including Forklifts that are exempt pursuant to Section 3007(a)(1), 3007(a)(2), or 3007(a)(3);

(D) If opting to phase out Class IV LSI Forklifts according to the Alternative MY Phase-Out Schedules for Class IV LSI Forklifts set forth in Section 3006(d)(2), for each LSI Forklift and ZEF within the fleet on January 1, 2026:

1. Forklift information as specified in Section 3009(b)(2); and

2. Primary operating location address; and

(E) For each separately metered building or operating location with LSI Forklifts subject to the phase-out requirements:

1. Copy of the information submitted to the applicable electric utility provider pursuant to Section 3006(c);

2. Copy of the confirmation provided by the electric utility provider demonstrating the information has been received; and

3. If applicable, the date by which the existing panel capacity is expected to be insufficient to charge or fuel ZEFs necessary to comply with the phase out requirements.

(2) Annual Report. By September 30 of each calendar year subsequent to the submittal of the Initial Report, the Responsible Official shall submit the following information regarding their Forklift fleet over the previous calendar year. For example, an Annual Report is due by September 30, 2030, covering fleet information between January 1, 2029, and December 31, 2029. The first Annual Report is due no later than September 30, 2027.

(A) Updates to any Entity or Forklift number information provided in a previously submitted report; and

(B) If utilizing the Alternative MY Phase-Out Schedules for Class IV LSI Forklifts set forth in Section 3006(d)(2):

1. For each LSI Forklift and ZEF added the previous calendar year:

a. Forklift information as specified in Section 3009(b)(2);

b. Date Forklift entered fleet; and

c. Primary operating address; and

2. For each LSI Forklift and ZEF removed from the fleet the previous calendar year:

a. EIN; and

b. Date Forklift removed from Fleet; and

(C) For each separately metered building or operating location with LSI Forklifts subject to the phase out requirements:

1. Information on whether the existing panel capacity is currently sufficient to charge or fuel ZEFs necessary to comply with the phase-out requirements; and

2. If applicable, the date by which the existing panel capacity is expected to be insufficient to charge or fuel ZEFs necessary to comply with the phase out requirements.

(3) Final Report for Class IV LSI Forklifts. The Responsible Official shall submit a confirmation that the Fleet has completed its phase-out of Class IV LSI Forklifts to the Executive Officer no later than September 30 of the final compliance year of the applicable phase-out schedule, or September 30 of the final year of an applicable extension, whichever is later.

(4) Final Report for Class V LSI Forklifts. The Responsible Official shall submit a confirmation that the Fleet has completed its phase-out of Class V LSI Forklifts to the Executive Officer no later than September 30, 2038, or September 30 of the final year of an applicable extension, whichever is later.

(e) MY Phase-Out Reporting for a Crop Preparation Services Fleet

(1) Initial Report. No later than September 30, 2026, the Responsible Official of a Crop Preparation Services Fleet shall submit a completed Initial Report to the Executive Officer. The Initial Report shall contain the following information:

(A) Entity information specified in Section 3009(b)(1);

(B) Total Number of Class IV LSI Forklifts within the Fleet on January 1, 2026, not including Forklifts that are exempt pursuant to Section 3007(a)(1), Low-Use LSI Forklift Exemption, 3007(a)(2), Dedicated Emergency Forklift Exemption, or 3007(a)(3), Temporary Storage of Non-Compliant LSI Forklifts Awaiting Sale, Scrap, or Relocation;

(C) Total Number of Class V LSI Forklifts with a Rated Capacity of 12,000 pounds or less within the Fleet on January 1, 2026, not including Forklifts that are exempt pursuant to Section 3007(a)(1), Low-Use LSI Forklift Exemption, 3007(a)(2), Dedicated Emergency Forklift Exemption, or 3007(a)(3), Temporary Storage of Non-Compliant LSI Forklifts Awaiting Sale, Scrap, or Relocation; and

(D) For each separately metered building or operating location with LSI Forklifts subject to the phase-out requirements:

1. Copy of the information submitted to the applicable electric utility provider pursuant to Section 3006(c);

2. Copy of the confirmation provided by the electric utility provider demonstrating the information has been received; and

3. If applicable, the date by which the existing panel capacity is expected to be insufficient to charge or fuel ZEFs necessary to comply with the phase out requirements.

(2) Annual Report. By September 30 of each calendar year subsequent to the submittal of the Initial Report, the Responsible Official shall submit the following information regarding their Forklift fleet over the previous calendar year. For example, an Annual Report is due by September 30, 2030, covering fleet information between January 1, 2029, and December 31, 2029. The first Annual Report is due no later than September 30, 2027.

(A) Updates to any Entity or Forklift number information provided in a previously submitted report; and

(B) For each separately metered building or operating location with LSI Forklifts subject to the phase out requirements:

1. Information on whether the existing panel capacity is currently sufficient to charge or fuel ZEFs necessary to comply with the phase-out requirements; and

2. If applicable, the date by which the existing panel capacity is expected to be insufficient to charge or fuel ZEFs necessary to comply with the phase out requirements.

(3) Final Report for Class IV LSI Forklifts. The Responsible Official shall submit a confirmation that the Fleet has completed its phase-out of Class IV LSI Forklifts to the Executive Officer no later than September 30 of the final compliance year of the applicable phase-out schedule, or September 30 of the final year of an applicable extension, whichever is later.

(4) Final Report for Class V LSI Forklifts. The Responsible Official shall submit a confirmation that the Fleet has completed its phase-out of Class V LSI Forklifts to the Executive Officer no later than September 30, 2038, or September 30 of the final year of an applicable extension, whichever is later.

(f) Low-Use Exemption Report. To qualify for the Low-Use Exemption provided in Section 3007(a)(1), the Responsible Official shall comply with the following reporting requirements, which apply through April 30, 2038:

(1) Initial Report. Prior to operation, the Responsible Official shall submit an Initial Report to the Executive Officer with the following information:

(A) Entity information specified in Section 3009(b)(1); and

(B) For each Low-Use LSI Forklift:

1. Forklift information as specified in Section 3009(b)(2);

2. Primary operating location address;

3. Hour-meter reading gathered within 30 calendar days of January 1 of the first year the Forklift will be maintained as a Low-Use LSI Forklift; and

4. Date of hour-meter reading;

(C) The following microbusiness attestations, if submitted on or after January 1, 2031:

1. If the entity is not a manufacturer, an attestation that the entity has average gross annual receipts of $5,000,000 or less over the previous three years (or the number of years the entity has been in business, if less than three), as evidenced by the entity's tax returns for those respective years;

2. If the entity is a manufacturer, an attestation that the entity has had no more than 25 employees during the last four quarters (or the number of quarters the entity has been in business, if less than four), as evidenced by the entity's Quarterly Contribution Return & Report of Wages (Continuation) Form DE 9C for the most recently completed quarters; and

3. An attestation that copies of the tax returns for those respective years or the Quarterly Contribution Return & Report of Wages (Continuation) Form DE 9Cs for the most recently completed quarters, as applicable, will be maintained onsite.

(2) Annual Reports. The Responsible Official shall submit Annual Reports to the Executive Officer between January 1 and April 30 of each year subsequent to the submittal of the Initial Report. Annual Reports shall include the following for each Low-Use LSI Forklift:

(A) Hour-meter reading within 30 calendar days of December 31 of the previous calendar year;

(B) Date of hour-meter reading;

(C) The total calculated hours of operation during the previous calendar year; and

(D) The microbusiness attestations set forth in Section 3009(f)(1)(C), if submitted on or after January 1, 2031.

(g) Dedicated Emergency Forklift Exemption Report. To qualify for the Dedicated Emergency Forklift Exemption provided in Section 3007(a)(2), the Responsible Official shall comply with the following reporting requirements, which apply through April 30, 2038:

(1) Initial Report. Prior to operation, the Responsible Official shall report all the following to the Executive Officer:

(A) Entity information specified in Section 3009(b)(1); and

(B) For each Dedicated Emergency Forklift:

1. Forklift information as specified in Section 3009(b)(2);

2. Primary operating location address;

3. Hour-meter reading gathered within 30 calendar days of January 1 of the first year the Forklift will be maintained as a Dedicated Emergency Forklift; and

4. Date of hour-meter reading.

(C) Annual Reports. The Responsible Official shall submit Annual Reports to the Executive Officer between January 1 and April 30 of each year subsequent to the submittal of the Initial Report. Annual Reports shall include the following information:

1. Dates of Emergency Operations the Forklift supported during the previous calendar year; and

2. For each Dedicated Emergency Forklift:

a. Hour-meter readings at the commencement and completion of each Emergency Operation the Forklift supported the previous calendar year.

b. Hour-meter reading within 30 calendar days of December 31 of the previous calendar year;

c. Date of each hour-meter reading;

d. The total calculated hours of emergency operation during the previous calendar year; and

e. The total calculated hours of operation (including non-emergency use) during the previous calendar year.

(h) Heavy Class V LSI Forklift Reporting. The following reporting requirements apply through September 30, 2038.

(1) Initial Report. For Fleets that own or operate a Class V LSI Forklift with a Rated Capacity greater than 12,000 pounds, by April 30, 2026, for a Large Fleet, or by September 30, 2026, for a Small Fleet or Crop Preparation Services Fleet, or within 30 calendar days of when the Forklift enters the fleet, whichever is later, the Responsible Official shall submit an Initial Report to the Executive Officer with the following:

(A) Entity information specified in Section 3009(b)(1);

(B) Forklift information as specified in Section 3009(b)(2);

(C) Date Forklift entered fleet; and

(D) Primary operating location address.

(2) Annual Reports. Until the Class V LSI Forklift with a Rated Capacity greater than 12,000 pounds is removed from the Fleet, the Responsible Official of a Large Fleet shall submit an Annual Report to the Executive Officer between January 1 and April 30 of each calendar year subsequent the submittal of the Initial Report, and the Responsible Official of a Small Fleet or Crop Preparation Services Fleet shall submit an Annual Report to the Executive Officer by September 30 of each calendar year subsequent the submittal of the Initial Report. The Annual Report shall include updates to any applicable information provided in a previously submitted report.

(i) Credit for Deployment of Heavy Zero-Emission Forklifts. The Responsible Official shall provide the following information to the Executive Officer:

(1) Entity information specified in Section 3009(b)(1);

(2) Primary operating location address of the Class V LSI Forklift with a Rated Capacity greater than 12,000 pounds replaced, the ZEF that has replaced said Class V LSI Forklift, and the LSI Forklift for which compliance would be delayed;

(3) The following information for the Class V LSI Forklift with a Rated Capacity greater than 12,000 pounds replaced:

(A) EIN; and

(B) Documentation, including the date of removal, demonstrating that the Class V LSI Forklift has been removed from the fleet;

(4) The following information for the ZEF that has replaced the Class V LSI Forklift with a Rated Capacity greater than 12,000 pounds:

(A) Information specified in Section 3009(b)(2) or EIN, as applicable;

(B) Date of deployment;

(C) Documentation for the purchase or lease and delivery;

(D) Documentation showing the specifications, including Rated Capacity, of the ZEF;

(5) For the LSI Forklift for which compliance is being delayed, information specified in Section 3009(b)(2) or EIN, if applicable.

(j) Production and Sales Reporting. The Responsible Official shall submit to the Executive Officer, between January 1 and April 30 of each year starting in 2027, the following information:

(1) Entity information specified in Section 3009(b)(1);

(2) For each LSI Forklift sold in California or produced for California sale the previous calendar year, Forklift information as specified in Section 3009(b)(2); and

(3) Total number of LSI Forklifts sold in California or produced for California sale the previous calendar year.

(k) Phase-Out Percentage Cap Reporting. If opting to utilize a Phase-Out Percentage Cap pursuant to Section 3006(e), the Fleet Operator or Rental Agency shall provide, prior to the applicable compliance date, the following information to the Executive Officer for each LSI Forklift and ZEF within the fleet on January 1, 2026:

(1) Forklift information as specified in Section 3009(b)(2);

(2) Primary operating location address; and

(3) Indication as to whether the Forklift will or will not be phased out by the applicable compliance date.

Cal. Code Regs. Tit. 13, § 3009

Note: Authority cited: Sections 39600, 39601, 43101, 43102, 43013, 43018, 43151, 43152, 43153 and 43205.5, Health and Safety Code. Reference: Section 43150, Health and Safety Code.

1. New section filed 9-16-2024; operative 1/1/2025 (Register 2024, No. 38).