FINAL REGULATION ORDER
AIRBORNE TOXIC CONTROL MEASURE FORAUXILIARY DIESEL ENGINES OPERATED ON
OCEAN-GOING VESSELS AT- BERTH IN A CALIFORNIA PORT
Adopt new section 93118.3, title 17, chapter 1, subchapter 7.5, California Code ofRegulations (CCR), to read as follows:(Note: The entire text of section 93118.3 is new language.)
Section 93118.3. Airborne Toxic Control Measure for Auxiliary Diesel Engines
Operated on Ocean-Going Vessels At-Berth in a California Port.
(a)

Purpose.

The purpose of this section is to reduce oxides of nitrogen (NOx) and diesel particulatematter (PM) emissions from the operation of auxiliary engines on container vessels,passenger vessels, and refrigerated cargo vessels while these vessels are docked atberth at a California port. This section reduces emissions by limiting the time during
which auxiliary diesel engines are operated on the regulated vessels while such vessels
are docked at-berth in a California port, as well as by applying other requirements. Thissection implements provisions of the Goods Movement Emission Reduction Plan,
adopted by the Air Resources Board (ARB) in April 2006, to reduce emissions andhealth risk from ports and the movement of goods in California. This section also helps
achieve the goals specified in the California Global Warming Solutions Act of 2006,
established under California law by Assembly Bill 32 (Stats. 2006, ch. 488) and set forthin Health and Safety Code § 38500 et seq.
(b)

Applicability and General Exemptions.
(1)

Except as provided in this subsection (b), this section applies to any person
who owns, operates, charters, rents, or leases any U.S. or foreign-flagged
container vessel, passenger vessel, or refrigerated cargo vessel that visits a
California port. In addition, this section also applies to any person who owns
or operates a port or terminal located at a port where container, passenger, or
refrigerated cargo vessels visit.

(2)

Nothing in this section shall be construed to amend, repeal, modify, or change
in any way any applicable U.S. Coast Guard requirements. Any person
subject to this section shall be responsible for ensuring compliance with both
U.S. Coast Guard regulations and the requirements of this section, including
but not limited to, obtaining any necessary approvals, exemptions, or orders
from the U.S. Coast Guard.

(3)The requirements of this section do not apply to:(A) Ocean-going vessel voyages that consist of continuous and expeditious
navigation through any of the Regulated California Waters for the
purpose of traversing such bodies of water without entering California
internal or estuarine waters or calling at a port, roadstead, or terminal
facility. “Continuous and expeditious navigation” includes:
1. Stopping and anchoring only to the extent such stopping andanchoring are required by the U.S. Coast Guard;
2. Rendered necessary by force majeure or distress; or
3. Made for the purpose of rendering assistance to persons, ships, oraircraft in danger or distress.
This exemption does not apply to the passage of an ocean-going vesselthat engages in any of the prejudicial activities specified in United
Nations Convention on the Law of the Seas (UNCLOS) 1982, Article 19,
subpart 2. Further, notwithstanding any Coast Guard mandated stops or
stops due to force majeure or the rendering of assistance, thisexemption does not apply to a vessel that was otherwise scheduled orintended to enter California internal or estuarine waters or call at a port,
roadstead or terminal facility.
(B) Auxiliary engines on-board ocean-going vessels owned or operated byany branch of local, state, federal government, or by a foreign
government, when such vessels are operated on government
non-commercial service. However, such vessels are encouraged to act
in a manner consistent, so far as is reasonable and practicable, with thissection.
(C) Steamships while berthed at a California port.
(D) Auxiliary engines while such engines are operating primarily on liquefied
natural gas or compressed natural gas.
(E) Except as otherwise specified in subsection (d)(1)(I), fleets meeting thefollowing criteria:
1. A fleet composed solely of container or refrigerated cargo vesselsthat visits the same California port fewer than 25 times total in acalendar year; and2. A fleet composed solely of passenger vessels that visits the same
California port fewer than 5 times total in a calendar year.

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(c)

Definitions.

For purposes of this section, the definitions in Health and Safety Code sections 39010
through 39060 shall apply, except as otherwise specified in this section:(1)“Alternative Control Technologies” means technologies, techniques, ormeasures that reduce the emissions of NOx and PM from an auxiliary diesel
engine other than shutting down the engine.

(2)“Auxiliary Engine” means an engine on an ocean-going vessel designed
primarily to provide power for uses other than propulsion, except that alldiesel-electric engines shall be considered “auxiliary diesel engines” forpurposes of this section.

(3) “Baseline Fleet Emissions” means the total emissions from all vessels in afleet during all berthing times in a calendar year or other specified time period.
For purposes of calculating the baseline fleet emissions, the auxiliary engines
on the vessels in the fleet shall be assumed to use marine gas oil or marine
diesel oil while at berth.
(4) “Baseline Fleet Power Generation” refers to the electrical power used by all
vessels in the fleet while the vessels are docked at berths located at a
California Port during a calendar quarter or other time period specified in theregulation.
(5) “Berthing Time” means the time period that begins when the vessel is first tied
to the berth and ends when the vessel is untied from the berth.
(6) “California Ports” means:(A) The Port of Hueneme, the Port of Los Angeles (POLA) and Port of Long
Beach (POLB), the Port of Oakland, the Port of San Diego, and the Portof San Francisco; and(B) For purposes of this section, POLA and POLB are treated as one port.
(7) “Charter Agreement” means a lease or agreement to hire a vessel or othermeans of conveyance to transport goods or passengers to one or moredesignated locations.
(8) “Container Vessel” means a self-propelled ocean-going vessel constructed or
adapted primarily to carry uniform-sized ocean freight containers.
(9) “Diesel Engine” means an internal combustion, compression-ignition (CI)engine with operating characteristics significantly similar to the theoreticaldiesel combustion cycle. The regulation of power by controlling fuel supply inlieu of a throttle is indicative of a compression ignition engine.
3(10) “Diesel-Electric Engine” means a diesel engine connected to a generator thatis used as a source of electricity for propulsion or other uses.
(11) “Diesel Particulate Matter” means the particles found in the exhaust of diesel
engines, which may agglomerate and adsorb other species to form structuresof complex physical and chemical properties.
(12) “Distributed Generation” shall have the same meaning as that term is definedin title 17, CCR, section 94202.
(13) “Docked at the Berth” means the state of being tied to a berth.
(14) “Emergency Event” means the period of time during which any of the following
events occurs; the emergency event begins when such an event begins andends when the event is over:(A)

Any situation arising from a sudden and reasonably unforeseeable
event beyond the control of the master that threatens the safety of thevessel; or(B) The utility serving the port cannot provide electrical power to the port asa result of equipment failure, a transmission emergency, distribution
emergency, a California Independent System Operator (CAISO) or
Los Angeles Department of Water and Power (LADWP) Stage 3
emergency, or the utility needs to reduce power to the port because of asudden and reasonably unforeseeable natural disaster, such as, but notlimited to, an earthquake, flood, or fire; or(C) When the utility providing electrical power to the port notifies the terminal
operator(s) to reduce the use of grid-based electrical power in response
to a transmission or distribution emergency, a CAISO or LADWP
Stage 3 emergency, or to avoid a Stage 3 emergency if one isanticipated. The emergency event ends when CAISO or LADWP
cancels the Stage 3 emergency or the utility notifies the terminal
operator(s) that reduction in the use of grid-based electrical power is nolonger necessary. The port may contact the terminal operator(s) onbehalf of the utility if such an agreement exists between the utility andthe port; or(D) The electrical system at the terminal cannot provide electrical power as aresult of equipment failure.
(15) “Executive Officer” means the executive officer of the Air Resources Board(ARB), or his or her designee.

4(16) “Fleet” means all container, passenger, and refrigerated cargo vessels, visitinga specific California port, which are owned and operated by, or otherwise
under the direct control, of the same person. Direct control includes, but is
not limited to, vessels that carry cargo or passengers for the person pursuant
to a charter agreement or other arrangement with a third-party for the thirdparty to operate the vessel. For purposes of this definition, "direct control"
does not include the vessel master or any other member of the vessel crew,unless the crew member is also the owner of the vessel. For the purposes ofthis section, a person shall be deemed to have separate fleets for each
California port visited and each fleet is composed of one type of vessel. For
example, if a person owns or operates vessels that visit both the Port ofLos Angeles and Port of Oakland, that person is deemed to have two fleets,
one a “POLA-based fleet” and the other a “Port of Oakland-based fleet.”(17) “Marine Diesel Oil” means any fuel that meets all the specifications for DMB
grades as defined in Table I of International Standard ISO 8217, as revised in
2005, which is incorporated herein by reference.
(18) “Marine Gas Oil” means any fuel that meets all the specifications for DMX or
DMA grades as defined in Table I of International Standard ISO 8217, asrevised in 2005, which is incorporated herein by reference.
(19) “Master” means the person who operates an ocean-going vessel or isotherwise in charge of the vessel’s operations.
(20) “Ocean-Going Vessel” means a commercial, government, or military vessel
meeting any one of the following criteria:(A) A vessel greater than or equal to 400 feet in length overall (LOA) as
defined in 50 Code of Federal Regulations (CFR) § 679.2, as adopted
June 19, 1996;(B) A vessel greater than or equal to 10,000 gross tons (GT ITC) pursuant tothe convention measurement (international system) as defined in
46 CFR § 69.51-.61, as adopted September 12, 1989; or(C) A vessel propelled by a marine compression ignition engine with a
per-cylinder displacement of greater than or equal to 30 liters.
For the purposes of this section, “ocean-going vessel” will be usedinterchangeably with the term “vessel.”(21) “Operate” means steering or otherwise running the vessel or its functions
while the vessel is underway, moored, anchored, or at berth.

5(22) “Own” means having all the incidents of ownership, including the legal title, ofa vessel whether or not that person lends, rents, or pledges the vessel;
having or being entitled to the possession of a vessel as the purchaser undera conditional sale contract; or being the mortgagor of a vessel.
(23) “Oxides of Nitrogen” (NOx) means compounds of nitric oxide (NO), nitrogendioxide (NO2), and other oxides of nitrogen, which are typically created during
combustion processes and are major contributors to smog formation and aciddeposition.
(24) “Particulate Matter” means any airborne finely divided material, except
uncombined water, which exists as a liquid or solid at standard conditions(e.g., dust, smoke, mist, fumes, or smog).
(25) “Passenger Vessel” means a self-propelled vessel constructed or adapted
primarily to carry people.
(26) “Person” includes all of the following:(A) Any person, agent, firm, association, organization, partnership, businesstrust, corporation, limited liability company, company, consortium, or any
other commercial relationship;(B) Any state or local governmental agency or public district, or any officer or
employee thereof; and(C) The United States or its agencies, to the extent authorized by federallaw.
(27) “Post-Baseline Fleet Emissions” means the total emissions from all vessels ina fleet after the application of one or more control techniques, such asalternative control technologies, electrical power from the utility grid, andelectrical power from sources that are not part of the utility’s electrical grid
(distributed generation), during all berthing times in a calendar year or otherspecified time period. For purposes of calculating the baseline fleet
emissions, the auxiliary engines on the vessels in the fleet shall be assumed
to use marine gas oil or marine diesel oil while at berth.
(28) “Refrigerated Cargo Vessel” (commonly known as “reefer”) means a selfpropelled vessel constructed or adapted primarily to carry refrigerated cargo.
Refrigerated cargo vessels include vessels where the cargo may be stored inlarge refrigerated rooms within the vessel or vessels that carry refrigerated
cargo containers exclusively.

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(29) “Regulated California Waters” means all of the following:(A) all California internal waters;(B) all California estuarine waters;(C) all California ports, roadsteads, and terminal facilities (collectively“ports”);(D) all waters within 3 nautical miles of the California baseline, starting at the
California-Oregon border and ending at the California-Mexico border at
the Pacific Ocean, inclusive;(E) all waters within 12 nautical miles of the California baseline, starting at
the California-Oregon border and ending at the California-Mexico borderat the Pacific Ocean, inclusive;(F) all waters within 24 nautical miles of the California baseline, starting at
the California-Oregon border to 34.43 degrees North, 121.12 degrees
West; inclusive; and(G) all waters within the area, not including any islands, between the
California baseline and a line starting at 34.43 degrees North, 121.12
degrees West; thence to 33.50 degrees North, 118.58 degrees West;thence to 32.65 degrees North, 117.81 degrees West; and ending at the
California-Mexico border at the Pacific Ocean, inclusive.
(30) “Responsible Official” means the individual(s) with the authority to certify thatall vessels in a fleet comply with applicable requirements of this regulation.
(31) “Shore power” refers to electrical power being provided by either the local
utility or by distributed generation.
(32) “Steamship” means a self-propelled vessel in which the primary propulsion
and electrical power are provided by steam boilers.
(33) “Synchronous Power Transfer” means the synchronized switchover in vesselbased power to shore-based power without a loss in power during suchtransfer.
(34) “Terminal” means a facility consisting of wharves, piers, docks and otherberthing locations and adjacent storage, which are used primarily for loading
and unloading of passengers, cargo or material from vessels or for the
temporary storage of this cargo or material on-site.
(35) “Terminal Operator” means a person who leases terminal property from a port
for the purpose of loading and unloading of passengers, cargo or material
from vessels or for the temporary storage of this cargo or material on-site.
(36) “Utility” shall have the same meaning and be used interchangeably with theterm “Electric Utility” as defined in Public Resources Code section 25108.

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(37) “Verified Emission Control Strategy” means an emission control strategy thathas been verified pursuant to the “Verification Procedure for In-Use Strategies
to Control Emissions from Diesel Engines” in title 13, California Code ofRegulations, commencing with section 2700, which is incorporated herein byreference.
(38) “Visit” means the time period that begins when an ocean-going vessel initiallyties to a berth (the beginning of the visit) and ends when it casts off the lines(the end of the visit) at a berth in a California port. For the purposes ofdetermining the number of visits by a fleet, separate and sequential visits
shall collectively be deemed a single visit when a vessel ties to two or more
berths at the same California port and the time interval between leaving one
berth and tying to another berth in the same port is less than two hours.
(d)Vessel In-Use Operational Requirements.
(1)

Reduced Onboard Power Generation Option(A) 2014 Requirements
Except as provided in subsection (d)(2), beginning January 1, 2014, thefollowing shall apply to a fleet visiting a California port:
1. At least 50 percent of the fleet’s visits to the port shall meet the
onboard auxiliary diesel engine operational time limits in subsection(d)(1)(D); and2. The fleet’s onboard auxiliary-diesel-engine power generation while
docked at the berth shall be reduced by at least 50 percent from thefleet’s baseline power generation.
(B) 2017 Requirements
Except as provided in subsection (d)(2), beginning January 1, 2017, thefollowing shall apply to a fleet visiting a California port:
1. At least 70 percent of the fleet’s visits to the port shall meet the
onboard auxiliary diesel engine operational time limits in subsection(d)(1)(D); and2. The fleet’s onboard auxiliary-diesel-engine power generation while
docked at the berth shall be reduced by at least 70 percent from thefleet’s baseline power generation.

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(C) 2020 Requirements
Except as provided in subsection (d)(2), beginning January 1, 2020, thefollowing shall apply to a fleet visiting a California port:
1. At least 80 percent of a fleet’s visits to the port shall meet the onboard
auxiliary diesel engine operational time limits in subsection (d)(1)(D);and
2. The fleet’s onboard auxiliary-diesel-engine power generation while
docked at the berth shall be reduced by at least 80 percent from thefleet’s baseline power generation.
(D) Limits on Hours of Operation
1. Except as exempt in subsection (d)(1)(E), auxiliary diesel engines
onboard vessels subject to subsection (d)(1)(A), (d)(1)(B), and(d)(1)(C) shall meet the following operational limits while at berth forthe specified percentage of visits by the fleet:a. Three hours total per visit to a berth, provided the visiting vessel
uses a synchronous power transfer process to change fromvessel-based power to shore-based power; orb. Five hours total per visit to a berth, provided the visiting vessel
does not use a synchronous power transfer process to change
from vessel-based power to shore-based power.
For example, if a fleet is subject to subsection (d)(1)(A) and makes
10 visits to a California port in a calendar quarter, in at least 5 of thosevisits, the auxiliary diesel engines on the vessels shall be operated no
more than a combined 3 or 5 hours total, depending on whether asynchronous power transfer is used. The 3- and 5-hour limit applies tothe combined operating time for all auxiliary diesel engines used in a
vessel visit, rather than on a per-engine basis.
(E) Exemptions to Limits on Hours of Operation
1. Emergency Event
All of the following requirements apply to claimed exemptions to limits
on hours of operation based on emergency events:a. If the master of the vessel reasonably and actually determinesthat an emergency event, as defined in subsection (c)(14), occurs
during the vessel’s visit to a California port, the master of the9vessel may operate the vessel’s auxiliary engines during the
emergency event:b. The master shall not operate the vessel’s auxiliary engines formore than one hour beyond the time when the master receives
notification that the emergency event is over or determines thatthe emergency event is over; andc. The provisions of paragraph (b) above notwithstanding, themaster may continue to operate the auxiliary engines for no morethan five hours if the master receives notification that the
emergency event is over or determines that the emergency event
is over, and the vessel is scheduled to leave port within five
hours.
2. Delays Caused By the United States (U.S.) Coast Guard or
Department of Homeland Security Inspections
The Executive Officer may extend the three-hour/five-hour
operational requirement in subsection (d)(1)(D) if the following criteria
are met:a. The initial inspection and clearance of the vessel by the
Department of Homeland Security exceeds one hour. The timeextension granted shall be commensurate with the excess timenecessary for inspection and clearance; orb. After the auxiliary engines have been put back into service
pending departure from the berth, the scheduled departure of thevessel has been delayed by U.S. Coast Guard or the Departmentof Homeland Security.
(F) Adjustments for Visits Meeting Exemption Criteria
The following adjustments can be made to visits meeting the exemption
criteria where the vessel is capable of using shore power:
1. Visits exceeding the operational time limits in (d)(1)(D) that meet theexemption criteria in (d)(1)(E) shall be counted towards compliancewith the minimum-visit requirements of (d)(1)(A), (d)(1)(B), and(d)(1)(C).
2. The onboard auxiliary diesel engine power generation associatedwith each visit meeting the exemption criteria in (d)(1)(E) above shallbe excluded from the fleet’s power reduction calculations pursuant tosection (e)(1)(D).

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(G) Compliance Periods
Compliance with the requirements in subsection (d)(1)(A), (d)(1)(B), and(d)(1)(C), shall be determined quarterly for the periods specified asfollows:
1. January 1 through March 31, inclusive;
2. April 1 through June 30, inclusive;
3. July 1 through September 30, inclusive; and4. October 1 through December 31, inclusive.
(H) No person shall sell, supply, offer to supply, or purchase electrical power
for use on a vessel during a visit in lieu of using the on-board auxiliary
diesel engines, unless such electrical power is either supplied by the
local utility or is otherwise generated by equipment that meets thefollowing emission standards:
1. NOx emissions no greater than 0.03 gram per kilowatt-hour(g/kW-hr);
2. PM emissions equivalent to the combustion of natural gas with a fuelsulfur content of no more than one grain per 100 standard cubic foot;3. Carbon dioxide (CO2) emissions shall be no greater than
500 g/kW-hr; and4. Ammonia emissions no greater than five parts per million on a dry
volume basis (ppmdv), if selective catalytic reduction (SCR) is used.
(I)

Notwithstanding the requirements specified in subsection (d)(1)(A),(d)(1)(B), and (d)(1)(C), any ocean-going vessel equipped to receive
shore power that visits a terminal with a berth equipped to provide
compatible shore power shall utilize the shore power during every visit tothat berth, unless the berth is already occupied with a vessel receiving
shore power. This requirement shall not apply under the following
circumstances:
1. The master of the vessel reasonably and actually determines that an
emergency event, as defined in subsection (c)(14)(A), is in effect andthe use of shore power during the emergency event would endanger
the vessel’s safety. Shore power shall be used for the remainder ofthe visit once the master determines that the emergency event nolonger exists;

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2. An emergency event, as defined in subsection (c)(14)(B),(c)(14)(C),or (c)(14)(D) is in effect. Shore power shall be used for theremainder of the visit once the emergency event is no longer in
effect; or
3. The equipment on the vessel that allows the use of electricity fromthe terminal fails to function and the master of the vessel has madethe necessary effort to repair the equipment as documented pursuant
to subsection (g)(1)(B)1g.
(2)

Equivalent Emissions Reduction Option
The purpose of this provision is to allow any person the option of complying
with the requirements of this subsection (d)(2) in lieu of meeting therequirements of subsection (d)(1).
(A) Requirements
For fleets using one or more control techniques including electric powerfrom the utility grid, electrical power from sources that are not part of anutility’s electrical grid (distributed generation), or alternative control
technologies to reduce the emissions of the fleet, the owner or operatorof the fleet shall comply with the following schedule and complianceperiod:1. For each calendar year beginning on January 1, 2010 throughDecember 31, 2011, inclusive, the NOx and PM emissions from thefleet’s auxiliary engines when the vessels in the fleet are docked at
the berth must be reduced by10 percent from the baseline fleet
emissions.
2. For each calendar year beginning on January 1, 2012, throughDecember 31, 2013, inclusive, the NOx and PM emissions from thefleet’s auxiliary engines when the vessels in the fleet are docked at
the berth must be reduced by 25 percent from the baseline fleet
emissions.
3. For the quarter beginning on January 1, 2014, and each subsequent
quarter through December 31, 2016, inclusive, the NOx and PM
emissions from the fleet’s auxiliary engines when the vessels in the
fleet are docked at the berth must be reduced by 50 percent from thebaseline fleet emissions.
4. For the quarter beginning on January 1, 2017, and each subsequent
quarter through December 31, 2019, inclusive, the NOx and PM
emissions from the fleet’s auxiliary engines when the vessels in the12fleet are docked at the berth must be reduced by 70 percent from thebaseline fleet emissions.
5. For the quarter beginning on January 1, 2020, and each subsequent
quarter thereafter, the NOx and PM emissions from the fleet’s
auxiliary engines when the vessels in the fleet are docked at theberth must be reduced by 80 percent from the baseline fleet
emissions.
(B) Vessels Using Grid-Based Shore Power as a Control Technique
If a vessel is equipped to receive shore power provided by the utility gridbut is unable to do so while at berth due to an emergency event, theonboard diesel auxiliary engine emissions from such visits shall be
excluded from the fleet’s emissions reduction calculations pursuant to(e)(2)(C).
(C) Applying Early or Excess Emissions Reduction to the 2010, 2012, or2017 Emission Requirements
Early or excess emissions reduction that are approved by the Executive
Officer pursuant to section (e)(2)(D) can be used towards compliancewith requirements in (d)(2)(A)1, (d)(2)(A)2, or (d)(2)(A)4 as follows:
1. Reductions achieved before January 1, 2010 can be used towards
complying with requirements in (d)(2)(A)1, (d)(2)(A)2, or (d)(2)(A)4.
2. Reductions achieved between January 1, 2010 and
December 31, 2011, which exceed the amount required by(d)(2)(A)1, can be used towards complying with requirements in(d)(2)(A)2 and (d)(2)(A)4.
3. Reductions achieved between January 1, 2012 andDecember 31, 2013, which exceed the amount required by(d)(2)(A)2, can be used towards complying with (d)(2)(A)4.
4. Early or excess emission reductions cannot be used towards
complying with the requirements in (d)(2)(A)3 or (d)(2)(A)5.
(D) Compliance with the requirements of subsection (d)(2)(A)3, (d)(2)( A)4,and (d)(2)( A)5 shall be determined quarterly for the periods specified asfollows:
1. January 1 through March 31, inclusive;
2. April 1 through June 30, inclusive;13

3. July 1 through September 30, inclusive; and4. October 1 through December 31, inclusive.
(E) No person shall sell, supply, offer to supply, or purchase electrical power
for use on a vessel during a visit in lieu of using the on-board auxiliary
diesel engines, unless such electrical power is either supplied by the
local utility or is otherwise generated by equipment that meet thefollowing emission standards:
1. NOx Emissions;a. Up to and including December 31, 2013, the NOx emissions shallbe no greater than 2 g/kW-hr at any time; andb. Beginning January 1, 2014, the NOx emissions shall be no
greater than 0.2 g/kW-hr at any time.
2. PM emissions shall be no greater than the PM emissions fromcombustion of natural gas with a fuel sulfur content of no more than
one grain per 100 standard cubic foot;
3. CO2 emissions shall be no greater than 500 g/kW-hr; and4. Ammonia emissions shall be no greater than five ppmdv if selective
catalytic reduction is used.
(F) Alternative control technologies using SCR to comply with subsection(d)(2)(A) shall have ammonia emissions no greater than five ppmdv.
(3)

Limitations on Changing Compliance Options
Prior to January 1, 2014, fleets cannot change compliance options from(d)(1), the reduced onboard power generation option, to (d)(2), the equivalentemission reduction option, unless all of the following have been satisfied:(A) Adequate emission reductions were achieved by the fleet prior toswitching compliance options such that the requirements of (d)(2)(A)1 or(d)(2)(A)2, whichever is applicable, are satisfied;(B) The Responsible Official of the fleet has submitted to the Executive
Officer an application for the compliance option change that contains thefollowing information:

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1. A demonstration that the requirements of (d)(2)(A)1 or (d)(2)(A)2,
whichever is applicable, are satisfied at the time of the application;
and
2. An updated vessel plan demonstrating compliance with (d)(2).
(C) The Executive Officer determines that the information in the application
satisfies (d)(3)(A) and that the fleet will comply with all applicablerequirements of (d)(2).
(e) Calculations for Reduced Onboard Power Generation Option in Subsection (d)(1)and Equivalent Emissions Reduction Option in Subsection (d)(2).
(1)

Reduced Onboard Power Generation
For the purposes of subsection (d)(1), the percent reduction of onboard
electrical generation from auxiliary diesel engines while vessels are docked atberth shall be calculated as follows:
Percent Reduction = [Baseline fleet power generation (BFPG) –Power provided by fleet’s auxiliary engines] /(BFPG)
Where the baseline fleet power generation and the power provided by the
fleet’s auxiliary engines are calculated as follows:(A) Baseline Fleet Power Generation (BFPG)The baseline power generation for the fleet shall be calculated using thefollowing formula:
Baseline Fleet Power Generation = ∑ (berthing time x power
requirement)
Where:“Berthing time” is the actual berthing time for each visit falling within theapplicable period specified in subsection (d)(1)(G);“Power requirements” means the electrical power requirement for thevessel making each visit as determined pursuant to subsection (e)(1)(C);and“∑” means the summation of all visits made by the fleet in the applicable
period specified in subsection (d)(1)(G).

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(B)

Power provided by fleet’s auxiliary engines
The power provided by the fleet’s auxiliary engines is calculated asfollows:
Power provided by theauxiliary engines= ∑ (Auxiliary engine operating time x fleet’s
power requirement)

Where:“Auxiliary engine operating time” is the actual time period these engines
operated for each visit falling within the applicable period specified insubsection (d)(1)(G). Three hours for vessels using synchronous powertransfer to grid-based shore power or five hours for vessels not usingsynchronous power transfer to grid-based shore power can besubstituted for the actual operating times of the engines;“Power requirements” means the electrical power requirement for thevessel making each visit as determined pursuant to subsection (e)(1)(C);and“∑” means the summation of all visits made by the fleet in the applicable
period specified in subsection (d)(1)(G).
(C) Power Requirements
1. The following values in Table 1 may be used as default values for
power requirements:

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Table 1.

Break Bulk

Default Power
Requirement (kW)
1,000
1,300
1,600
1,900
2,200
2,300
2,500
2,900
3,300
3,700
No Default Value
Use Actual Load
1,300

Fully Containerized

3,300

Vessel Category
Container Vessel

Size / Type<1000 TEU
1,000-1,999 TEU
2,000-2,999 TEU
3,000-3,999 TEU
4,000-4,999 TEU
5,000-5,999 TEU
6,000-6,999 TEU
7,000-7,999 TEU
8,000-9,999 TEU
10,000-12,000 TEU

Passenger Vessel
Refrigerated Cargo
VesselTEU = twenty-foot equivalent unit.
kW = kilowatt

2. In lieu of the default values above, the fleet operator may, withadequate supporting documentation, use the actual power usage, ona monthly basis, rounded to the nearest whole kW-hrs.
(D) The onboard auxiliary diesel engine power generation associated witheach visit that meets the exemption criteria in (d)(1)(E) shall be excluded
from the calculation for the fleet’s baseline power generation and thecalculation for the power provided by the fleet’s auxiliary engines.
(2)

Equivalent Emissions Reduction Option
For the purposes of subsection (d)(2)(A) the percent emission reduction shallbe calculated as follows:
Percent Reduction = (BFE – PBFE – FEC) / BFE
Where, the baseline fleet emissions, post-baseline fleet emissions, and fleet
emission credits are calculated as follows:(A)

Baseline Fleet Emissions (BFE)
The baseline fleet emissions of NOx and PM shall be calculated using
the following formula:17

Baseline Fleet Emissions = ∑ (emission rate x average berthing time x
power requirement x visits)
Where:“Emission rate” for each auxiliary engine is determined pursuant tosubsection (e)( 3);“Average berthing time” for each vessel is determined for the applicable
period specified in (d)(2)(D);“Power requirements” means the electrical power requirement for each
vessel as determined pursuant to subsection (e)(1)(C);“Visits” means the total number of visits by the vessel during theapplicable period specified in the appropriate subsection in (d)(2)(A) or
subsection (d)(2)(D); and“∑” means the summation over the entire fleet subject to the emission
reduction option.

(B)

Post-Baseline Fleet Emissions (PBFE)
The post-baseline fleet emissions of NOx and PM shall be calculatedusing the following formula:
Post-Baseline Fleet Emissions = ∑ (emission rate x averageberthing time x power
requirement x visits x control
factor)
Where:“Emission rate” for each auxiliary engine is determined pursuant tosubsection (e)(3);“Average berthing time” for each vessel is determined for the applicable
period specified in the appropriate subsection in (d)(2)(A) or subsection(d)(2)(D);“Power requirements” means the electrical power requirement for each
vessel as determined pursuant to subsection (e)(1)(C);“Visits” means the total number of visits by the vessel during theapplicable period specified in the appropriate subsection in (d)(2)(A) or
subsection (d)(2)(D);18

“Control factor” means the applicable control factor specified insubsection (e)(4); and“∑” means the summation over the entire fleet subject to the emission
reduction option.
(C) Adjustments to Baseline Fleet Emissions and Post-Baseline Fleet
Emissions Calculations for Vessels Choosing to Use Grid-Based Shore
Power
Emissions from a vessel capable of using shore power during a visit thatcan be classified as an emergency event shall be excluded fromparagraphs (A) and (B) above.
(D) Fleet Emission Credits (FEC)
Fleets that achieve reductions of NOx and PM emissions earlier thanJanuary 1, 2010, or in excess of the requirements of (d)(2)(A)1 or(d)(2)(A)2 may apply for fleet emission credits (FEC) that can be used
toward compliance with the requirements in (d)(2)(A)1, (d)(2)(A)2, or(d)(2)(A)4. FECs can only be used by a fleet achieving the early orexcess emission reductions, can be used only at the port where the earlyor excess emission reductions occurred, cannot be used in any otherprogram administered by the Air Resources Board or local air district,and expire on March 1, 2018.
1. Eligible emission reductions are as follows:a. Emission reductions achieved prior to January 1, 2010.
b. Emission reductions achieved between January 1, 2010, toDecember 31, 2011, beyond the amount required by (d)(2)(A)1.
c. Emission reductions achieved between January 1, 2012, toDecember 31, 2013, beyond the amount required by (d)(2)(A)2.
2. Ineligible emission reductions
Emission reductions which are a result of a project that has received
incentive funds through a contract or other binding agreement fromthe Air Resources Board or a local air district are not eligible
emission reductions.
3. Applying for fleet emission credits

19Applications for fleet emission credits must demonstrate that theemission reductions are quantifiable and occurred earlier thanJanuary 1, 2010, or were in excess of the requirements of (d)(2)(A)1or (d)(2)(A)2. The information shall be submitted on forms specified
by the Executive Officer according to the following schedule:a. Application for fleet emission credits for reductions achieved prior
to January 1, 2010, shall be submitted to the Executive Officer by
March 1, 2010.
b. Application for fleet emission credits for excess reductions beyond
those required for (d)(2)(A)1 shall be submitted to the Executive
Officer as part of the fleet’s March 1, 2012 annual statement ofcompliance required pursuant to subsection (g)(2)(A)3.
c. Application for fleet emission credits for excess reductions beyond
those required for (d)(2)(A)2 shall be submitted to the Executive
Officer as part of the fleet’s March 1, 2014 annual statement ofcompliance required pursuant to subsection (g)(2)(A)3.
4. Approval of fleet emission creditsa. Within 30 calendar days of receipt of an application, the Executive
Officer shall inform the Applicant in writing if the application iscomplete or deficient. If deemed deficient, the Executive Officer
shall identify the specific information required to make theapplication complete.
b. Within 60 calendar days of the application being deemedcomplete, the Executive Officer shall approve or deny the fleet
emission credit.
c. An applicant dissatisfied with the decision of the Executive Officer
regarding the approval or denial of the fleet emission credit may
appeal the decision within 30 calendar days in accordance with
the Administrative Hearing Procedure for Petitions for Review of
Executive Officer Decisions, Title 17 California Code ofRegulations, commencing with section 60055.1.
d. Upon approval of the fleet emission credit, the Executive Officer
shall issue a Certificate to the applicant. The Certificate shallidentify the recipient of the certificate, the quantity of the fleet
emission credit of each pollutant in tons per year, the port at
which the reduction was created, and any other data deemed
appropriate by the Executive Officer.

20

5. Using fleet emission credits
a. Fleet emission credits may be applied to the percent emission
reduction calculations used by the fleet to demonstratecompliance with the requirements in (d)(2)(A)1, (d)(2)(A)2, and(d)(2)(A)4. The fleet shall surrender the FEC Certificate(s) as partof the applicable annual compliance statement. If the entire FEC
is used, the Executive Officer shall retain the Certificate. If only
part of the FEC is used, the Executive Officer shall retain the old
Certificate and issue a new Certificate identifying the remaining
portion of the FEC.
b. The Executive Officer shall monitor the accumulation and use of
the fleet emission credits.
c. Fleet emission credits cannot be used to comply withrequirements in (d)(2)(A)3 or (d)(2)(A)5.
d. Fleets that switch compliance options from (d)(1), the reduced
onboard power generation option, to (d)(2), the equivalentemission reduction option, cannot accumulate or use fleet
emission credits.
(3)

A person complying with the requirements of subsection (d)(2) may choose
any of the following emissions rates for use in the calculations specified insubsection (e)(2)(A) and (e)(2)(B):(A) Results from emission measurements for similar auxiliary diesel enginesthat are used to satisfy a marine engine standard, including
U.S. Environmental Protection Agency (EPA) emission standards formarine engines (40 CFR Part 94), and the International Convention for
the Prevention of Pollution from Ships, 1973, as modified by the Protocolof 1978 (MARPOL 73/78), both of which are incorporated herein byreference;(B) Emission measurements approved by the Executive Officer and using
the test methods specified in subsection (e)(4)(B)(3); or(C) In lieu of test data measured pursuant to paragraph (A) or (B) above, thefollowing emission rates may be used as default values:
1. 13.9 g/kW-hr for NOx.
2. 0.38 g/kW-hr for PM if 0.11 to 0.5 percent sulfur marine gas oil ormarine diesel oil is used as a fuel.

21

3. 0.25 g/kW-hr for PM if 0.10 or less sulfur content marine gas oil ormarine diesel oil is used as a fuel.
(4)

Control Factors(A) The emissions from vessels using grid power in lieu of the vessel’s
auxiliary engines when the vessels are at berth are presumed to be
reduced by 90 percent.
(B) No control efficiencies for alternative control technologies shall be used
to comply with the requirements of this provision unless the control
efficiencies are calculated or measured as follows:
1. The control efficiencies shall be based on an emission test protocolthat is approved by the Executive Officer prior to conducting theemission measurements;
2. The results of the emission measurements conducted pursuant toparagraph 1 above are approved by the Executive Officer; and3. Emission measurements are conducted using the following test
methods. Alternative tests methods may be used upon written
approval from the Executive Officer:
a. NOx and CO2 shall be measured using California Air Resources
Board (CARB) Test Method 100, dated July 1997, which isincorporated herein by reference, or equivalent district-approved
test method;b. Diesel PM shall be measured using ISO 8178 Test Procedures:
ISO 8178-1: 1996(E) (“ISO 8178 Part 1”); ISO 8178-2:1996(E)(“ISO 8178 Part 2”); and ISO 8178-4: 1996(E)(“ISO 8178 Part 4”), all of which are incorporated herein byreference;c. Ammonia slip shall be measured using the Bay Area Air Quality
Management District Source Test Procedure ST-1B, Ammonia
Integrated Sampling, dated January 1982, which is incorporated
herein by reference, or other equivalent district approved test
method; andd. The sulfur content of fuels shall be determined pursuant toInternational Standard ISO 8754 (as adopted in 2003), which isincorporated herein by reference.
(C) Results from emission measurements from a verified emission control
strategy may be used in conjunction with engine emission information.
22

(D) The Executive Officer may request periodic emission testing or othertypes of monitoring to verify the proper operation of alternative control
technologies or distributed generation equipment, or to verify theemission rate of an auxiliary engine.
1. At a minimum, emission control technologies shall be tested asfollows and the results of such testing provided to the Executive
Officer within 30 days of the testing:a. Shore-based systems shall be tested annually to demonstrate theoverall percentage of emission reduction being achieved.
b. Catalyst based air pollution control systems installed on vessels
shall be tested after every 1,000 hours of operation to determine
the overall percentage of emission reduction being achieved.
c. If SCR is used as a control technology, the emissions of ammonia
shall also be measured at the same time the NOx emissions arebeing measured.
2. The Executive Officer may modify the testing frequency as he/she
deems appropriate.
(f)Terminal Plan Requirements.
(1)

The operator of a terminal that receives more than 50 vessel visits in 2008
shall submit for the Executive Officer’s approval, a plan, and subsequent
updates, that discusses how the terminal will accommodate the vessels thatwill visit the terminal and are subject to subsection (d)(1) and (d)(2). The
initial plan shall address requirements in subsection (d)(1) and (d)(2) through2020. The plan updates shall address any contingencies that may benecessary for the vessels to meet the requirements of subsection (d)(1) and(d)(2) by the applicable dates.
(A) Schedule for Plan Submittals
The terminal operator shall submit the initial plan and subsequent
updates to the plan according to the schedule below (Table 2).

23

Table 2.
Vessel Compliance Option

Initial Terminal
Plan Due Date

Reduced Onboard Power
Generation Option: (d)(1)

July 1, 2009

Equivalent Emissions
Reduction Option: (d)(2)July 1, 2009

Subsequent Terminal
Plan Updates
July 1, 2013
July 1, 2016
July 1, 2019
July 1, 2011
July 1, 2013
July 1, 2016
July 1, 2019

(B) Approval of Plans
a. Within 30 calendar days of receipt of a plan, the Executive Officer
shall inform the terminal operator in writing if the plan is complete or
deficient. If deemed deficient, the Executive Officer shall identify the
specific information required to make the plan complete.
b. Within 60 calendar days of the plan being deemed complete, theExecutive Officer shall approve or disapprove the plan based on adetermination of it meeting the requirements of (f)(2) or (f)(3),
whichever is applicable.
(2)

Plan Requirements for Reduced Onboard Power Generation Option
The plan shall include discussion of necessary infrastructure modifications
needed for affected fleets to satisfy the requirements of subsection (d)(1) by
the 2014, 2017, and 2020 compliance dates. The plan shall also include theschedule for implementing the modifications. The discussion shall include thefollowing:(A) Discussion of ship activity and projected power demands at the terminal:
1. Number of ships and visits to the terminal;
2. The projected amount of electric power needed from the utility grid on
an annual basis and the maximum power capacity;(B) Discussion of available power at the terminal;(C) Discussion of major infrastructure improvements to terminal that would
be needed to provide projected power loads at the berth, including
identification of existing berths to be modified or new berths to beconstructed;

24

(D) Discussion of improvements to port infrastructure that would be needed
to provide projected power loads;(E) Discussion of utility infrastructure improvements, if any, outside the port
boundary that would be needed to provide projected power loads; and(F) A schedule for each activity needed to implement (C), (D), and (E)above.
(3)

Plan Requirements for Equivalent Emissions Reduction Option(A) The plan shall include a description of the control techniques that will be
used to reduce in-berth vessel emissions needed for affected fleets tosatisfy requirements of subsection (d)(2) by the 2010, 2012, 2014, 2017,and 2020 compliance dates. These techniques would include electric
power from the utility grid (grid-based shore power), electrical powerfrom sources that are not part of a utility’s electrical grid (distributed
generation), and alternative control technologies;(B) For berths where grid-based shore power will be implemented, the plan
shall contain the information specified in subsection (f)(2);(C) For berths where distributed generation will be implemented, the plan
shall contain the following information:
1. Identification and description of distributed generation equipment,
including estimated electrical output and fuelinput;
2. Berth(s) where the equipment will be used;
3. Number of ships and corresponding visits to the berth(s);4. Projected amount of electric power that will be needed at the berth(s)from the distributed generation equipment, calculated on an annual
and maximum capacity basis;
5. Schedule for deploying distributed generation equipment; and6. The estimated reductions in NOx and PM emissions from vessels
using the distributed generation equipment, including documentation
supporting the anticipated reductions.
(D) For berths where alternative controls will be implemented, the plan shallcontain the following information;25

1. Identification and description of equipment, including whether it will
be located on the ship or on the shore;
2. Number of ships and corresponding visits using ship-side equipment;
3. Number of ships and corresponding visits using shore-side
equipment;
4. Berth(s) where shore-side equipment will be used;
5. Schedule for implementing equipment; and6. Estimated reductions in NOx and PM emissions from vessels using
the ship-side and shore-side equipment, including documentation
supporting the anticipated reductions.
(4)

A port may submit terminal plans required under subsection (f)(1) on behalf ofthe terminals located at that port.

(g) Reporting and Recordkeeping Requirements.
(1)

Reporting and Recordkeeping Requirements for Persons that Comply with
Subsection (d)(1)(A) The Responsible Official shall provide the following reports to the
Executive Officer:
1. A vessel fleet plan for each California port visited by a fleet, where
the fleet is not exempt pursuant to section (b)(3)(E).
a. The plan is due to the Executive Officer by July 1, 2013, and an
updated plan is due by July 1, 2016, and July 1, 2019.
b. The plan must address the vessels in the fleet that visit the port
and would be affected by the requirements specified in subsection(d)(1). The following information shall be included in the vessel
fleet plan and subsequent updates:i.

Fleet information, including: vessel category for the fleet(container, passenger, or refrigerated cargo), name of the port
visited by the fleet, name of terminals visited, number of ships
visiting the port annually, and total number of ship visits to theport annually.

26

ii. Information on the vessels in the fleet that will have theiremissions reduced to satisfy the requirements of subsection(d)(1).
I.

Vessel plans that are due July 1, 2013, shall include thefollowing vessel information:
1. Name and Lloyd’s number of each vessel capable ofusing shore power by January 1, 2014, maximum
power requirement of the vessel while at berth, andtotal number of annual visits to the port;
2. The number of vessels that will have the capabilities
for using shore power by January 1, 2017, themaximum amount of power expected to be used bythese vessels while at berth, and the total number ofannual visits expected to be made by these ships tothe port; and3. The number of vessels that will have the capabilities
for using shore power by January 1, 2020, themaximum amount of power expected to be used bythese vessels while at berth, and the total number ofannual visits expected to be made by these ships tothe port.

II.

Vessel plan updates that are due July 1, 2016, shall havethe following vessel information:
1. Name and Lloyd’s number of each vessel capable ofusing shore power by January 1, 2017, maximum
power requirement of the vessel while at berth, andtotal number of annual visits to the port; and2. The number of vessels that will have the capabilities
for using shore power by January 1, 2020, themaximum amount of power expected to be used bythese vessels while at berth, and the total number ofannual visits expected to be made by these ships tothe port.

III.

Vessel plan updates that are due July 1, 2019, shall
include the following vessel information:
Name and Lloyd’s number of each vessel capable ofusing shore power by January 1, 2020, maximum power27

requirement of the vessel while at berth, and total
number of annual visits to the port.
2. An annual statement of compliance pursuant to subsection (d)(1).
a. The initial annual statement of compliance is due to the Executive
Officer by March 1, 2015. This statement is for the 2014 calendar
year. Thereafter, the annual statement is due to the Executive
Officer by March 1 of each year, certifying compliance with therequirements for the previous calendar year.
b. The following information shall be included with the statement ofcompliance:i.

A statement signed by the Responsible Official that therequirements specified in subsection (d)(1) have been met foreach California port visited by a fleet, where the fleet is notexempt pursuant to section (b)(3)(E).

ii. Information on visits and power requirements while at berth for
all vessels within the fleet that visited the California port
including:I.
Current name of the vessel;
II. Lloyd’s number for the vessel;
III. Vessel type (container, passenger, refrigerated cargo);
IV. TEU capacity (container vessels only);
V. Total visits, by terminal;
VI. Number of visits where the vessel satisfied therequirements of (d)(1)(D);VII. Number of visits where the visit for the vessel would fallwithin the exemptions identified in (d)(1)(E);
VIII. Average berthing time at the port; andIX. Average power requirement for the vessel while at berth,in MW-hr.
iii. The information submitted pursuant to paragraph ii. above
shall be reported for the following periods:
I.
January 1 through March 31, inclusive;
II. April 1 through June 30, inclusive;
III. July 1 through September 30, inclusive; andIV. October 1 through December 31, inclusive.

28

(B) Recordkeeping
1. The following records shall be kept at a central location by the vessel
operator. A logbook that records, for each visit, the dates, times, andother information as specified below:a.

Name of the vessel, the port and terminal visited;b.

Power requirement while at berth;c.

When the vessel initially tied to the berth and when the vessel
cast-off the tie lines;d.

When the auxiliary engines were shut down and subsequently
restarted;e.

Whether departure from the berth was delayed by the
U.S. Coast Guard or other federal agency. Identification of theagency that caused the delay, reason for the delay, and when
the federal agency released the vessel;f.

If an emergency event occurred, a description and duration ofthat emergency event; andg.

For vessels subject to (d)(1)(I), a discussion of any onboard
equipment failure that prevents the usage of shore power
equipment. This discussion should include the date whenequipment initially failed, identification of equipment that failed,and dates and description of each effort to repair the equipment.

2. All records required pursuant to this provision shall be retained for aminimum of five years. This information shall be supplied to the
Executive Officer within 30 days of a request from ARB staff.
(2)

Reporting and Recordkeeping Requirements for Persons Opting to Comply
with the Equivalent Emissions Reduction Option in Subsection (d)(2)(A) The Responsible Official shall provide the following reports to the
Executive Officer:
1. A vessel fleet plan for each California port visited by a fleet, where
the fleet is not exempt pursuant to section (b)(3)(E).
a. The plan is due to the Executive Officer by July 1, 2009, and an
updated plan is due by July 1, 2011, July 1, 2013, July 1, 2016,
and July 1, 2019.

29

b. The plan must address the vessels in the fleet that visit the port
and would be affected by the requirements specified in subsection(d)(2). The following information shall be included in the vessel
fleet plan and subsequent updates:i.

Fleet information, including: vessel category for the fleet(container, passenger, or refrigerated cargo), name of the port
visited by the fleet, name of terminals visited, number of ships
visiting the port annually, and total number of ship visits to theport annually.

ii. Information on the vessels in the fleet that will have theiremissions reduced to satisfy the requirements of subsection(d)(2).
I. Vessel plans that are due July 1, 2009, shall include thefollowing vessel information:
1. Name and Lloyd’s number of each vessel that will haveits emissions reduced to satisfy the requirements of(d)(2) as of January 1, 2010 , type of control techniqueused (electric power from the utility grid, electrical
power from sources that are not part of an utility’selectrical grid (distributed generation), or alternative
control technologies), maximum power requirement of
the vessel while at berth (if using power from the grid or
distributed generation), and total number of annual
visits to the port, and
2. The number of vessels that are expected to have theiremissions reduced, by each type of control technique,to satisfy the requirements of (d)(2) by January 1, 2012,
January 1, 2014, January 1, 2017 and January 1, 2020,
and the total number of annual visits expected to bemade by these ships to the port.
II. Vessel plan updates that are due July 1, 2011, shall
include the following vessel information:
1. Name and Lloyd’s number of each vessel that will haveits emissions reduced to satisfy the requirements of(d)(2) as of January 1, 2012, type of control techniqueused, maximum power requirement of the vessel whileat berth (if using power from the grid or distributed

30

generation), and total number of annual visits to theport; and2. The number of vessels that are expected to have theiremissions reduced, by each type of control technique,to satisfy the requirements of (d)(2) by January 1, 2014,
January 1, 2017 and January 1, 2020, and the total
number of annual visits expected to be made by theseships to the port.
III. Vessel plan updates that are due July 1, 2013, shall
include the following vessel information:
1. Name and Lloyd’s number of each vessel that will haveits emissions reduced to satisfy the requirements of(d)(2) as of January 1, 2014, type of control techniqueused, maximum power requirement of the vessel whileat berth (if using power from the grid or distributed
generation), and total number of annual visits to theport; and2. The number of vessels that are expected to have theiremissions reduced, by each type of control technique,to satisfy the requirements of (d)(2) by January 1, 2017,
and January 1, 2020, and the total number of annual
visits expected to be made by these ships to the port.
IV. Vessel plan updates that are due July 1, 2016, shall
include the following vessel information:
1. Name and Lloyd’s number of each vessel that will haveits emissions reduced to satisfy the requirements of(d)(2) as of January 1, 2017, type of control techniqueused, maximum power requirement of the vessel whileat berth (if using power from the grid or distributed
generation), and total number of annual visits to theport; and2. The number of vessels that are expected to have theiremissions reduced to satisfy the requirements of (d)(2)by January 1, 2020, by each type of control technique,and the total number of annual visits expected to bemade by these ships to the port.
V. Vessel plan updates that are due July 1, 2019, shall
include the following information:

31

Name and Lloyd’s number of each vessel that will have its
emissions reduced to satisfy the requirements of (d)(2) byJanuary 1, 2020, type of control technique used, maximum
power requirement of the vessel while at berth (if using
power from the grid or distributed generation), and total
number of annual visits to the port.
iii. Description of the control technique(s) that will be used toreduce the vessels’ auxiliary engine emissions to achieve therequirements specified in subsection (d)(2), including
identifying the pollutant being reduced, the expected emission
reduction (percent reduced), and the basis for determining the
expected emission reduction, including submittal of emission
testing results or other documentation.
2. If the Responsible Official submits an update to the vessel fleet plan
for a fleet switching from the reduced onboard power generation
compliance option to the equivalent emissions reduction option
pursuant to (d)(3), the updated plan shall contain the same
information required in (g)(2)(A)1.
3. An annual statement of compliance.
a. The initial annual statement of compliance is due to the Executive
Officer by March 1, 2011. This statement is for the 2010 calendar
year. Thereafter, the annual compliance statement is due to the
Executive Officer by March 1 of each year, certifying compliancewith the requirements for the previous year.
b. The following items should be included with the statement ofcompliance:
i. A statement signed by the Responsible Official indicating that
the NOx and PM emission reductions specified by (d)(2) havebeen achieved for each California port visited by a fleet, where
the fleet is not exempt pursuant to section (b)(3)(E);
ii. The calculated NOx and PM baseline and post-baseline
emissions for each fleet. The emissions must be calculated
on a calendar year basis if complying with subsection(d)(2)(A)1 or subsection (d)(2)(A)2 and on a quarterly basis if
complying with subsection (d)(2)(A)3, (d)(2)(A)4 and (d)(2)(A)5
as specified in (d)(2)(D). The following information shall be
included for each vessel in the fleet:

32

I.
II.
III.
IV.
V.
VI.

Current name;
Lloyd’s number;
Vessel type (container, passenger, refrigerated cargo);
Total visits by terminal;
Average berthing time at the port;
Average power requirement for the vessel while at berth,in MW-hr;VII. TEU capacity (container vessels only);
VIII. Type of control technique used (electrical power from theutility grid, distributed generation, or alternative control
technologies); andIX. Emissions of NOx and PM, in pounds, for the reporting
period.

iii. The fleet emission credits that will be applied to the NOx andPM emission reduction calculations for the fleet and theCertificate(s) for these credits that were issued pursuant tosection (e)(2)(D); andiv. Description of the control technique(s) used, achievableemission reductions, and supporting documentation (e.g.,reference source test results pursuant to (e)(4)(D)1 orverification documentation). For subsequent statements ofcompliance, the supporting documents can be referenced,
including the most recent source test submitted to the
Executive Officer.
(B) Recordkeeping
The following records shall be kept at a central location by the fleet
vessel operator.
1. For each calendar year of vessel activity, an annual summary ofemissions that demonstrates compliance with the applicableemission reduction for 2010 and 2012, and a quarterly summary ofemissions that demonstrates compliance with the applicableemission reduction for 2014, 2017, or 2020, which includes thefollowing:a. The fleet’s baseline and post-baseline levels for NOx and PM
emissions for each California port; andb. Each vessel’s contribution to fleet’s baseline and post-baseline
NOx and PM emissions, including the following information:i.

Name of each vessel;

33

ii. Lloyd’s number for each vessel;iii. Fuel type and average sulfur content of fuel for each vessel;
iv. NOx and PM emissions for each vessel, in pounds;
v. Average berthing time for each vessel;
vi. Average power requirements for each vessel while at berth;vii. Total visits to each terminal at the California port made by thevessel;viii. Technology used to reduce emissions and associated control
factor used; andix. Any equipment failure aboard a vessel that prevented thevessel from using the emissions reduction technology.
2. Additional recordkeeping requirements for fleets using grid-based
shore power to satisfy (d)(2):
If the vessel could not use shore power as a result of an emergency
event, a description and duration of that emergency event.
3. Records made pursuant to paragraph (2)(B) above shall be kept for aminimum of five years. This information shall be supplied to the
Executive Officer within 30 days of a request from ARB staff.
(3)

Reporting Requirements for Ports and Terminals(A) Each California port shall provide wharfinger information to the Executive
Officer annually, beginning with the wharfinger information for calendar
year 2010.
1. This information shall be provided to the Executive Officer no later
than April 1 of the following year.
2. At a minimum, the wharfinger information shall include for each
vessel visiting the port:a. Name of the vessel;b. Vessel type;c. Company operating the vessel;

34

d. Lloyd’s number for each vessel;e. Berth used by the vessel; andf. Date(s) and time the vessel was initially tied to the berth andsubsequently released from the berth.
(B) The terminal operator shall keep the following records. These records
shall be supplied to the Executive Officer within 30 days of a requestfrom ARB staff:
1. Electricity usage for shore power:a. Monthly utility billing statements that separately identify electricity
supplied for shore power;b. Episodes of electrical service interruption by local utility company,
as confirmed and documented by local utility company; andc. For distributed generation, monthly records that contain thefollowing:i. Names of vessels serviced;
ii. Location of vessels serviced, by berth;iii. Date and time of use; andiv. Power, in megawatts, supplied to the vessels.
2. Date, time, and description of equipment failure located at theterminal that affected the ability of vessels to turn off their auxiliary
engines or use alternative control technologies to reduce emissions
pursuant to (d)(2);
3. Record of each vessel that did not operate its auxiliary engines whilethe vessel was docked at the berth:a. Name of vessel; andb. Date and time each vessel was initially tied to the terminal.
4. Records made pursuant to paragraph (3)(B) above shall be kept forfive years.
(4)

Electronic submittals of records and other information required under thissection may be approved by the Executive Officer upon request, provided
such electronic submittals use digital signatures that meet the requirements
specified in Government Code section 16.5. Notwithstanding the approved

35submittal of electronic records, the Executive Officer may request thesubmittal of a hard copy of any electronic submittal.
(h)Violations.
(1)

Except as otherwise specified in this subsection, any person who is subject tothis section and commits a violation of any provision, prohibition, limit,
standard, criteria, or requirement in this section is subject to the penalties,
injunctive relief, and other remedies specified in Health and Safety Codesection 42400 et seq., other applicable sections in the Health and Safety
Code; and other applicable provisions as provided under California law foreach violation. Nothing in this section shall be construed to limit or otherwise
affect any applicable penalties or other remedies available under federal law.

(2)

Except as otherwise specified in this subsection, any failure to meet any
provision, prohibition, limit, standard, criteria, or requirement in this section,
including but not limited to the applicable emission limits for supplied shore
power and hours of engine operation limits, shall constitute a single, separate
violation of this section for each hour that a person operates the auxiliary
diesel engine until such provision, prohibition, limit, standard, criteria, or
requirement has been met.
(A) The number of violations if the provisions of (d)(1) are not satisfied aredetermined as given below:
1. If the fleet fails to achieve the baseline power reduction requirement
as specified in (d)(1)(A), (d)(1)(B), or (d)(1)(C), the number ofviolations shall be determined with the formula in (h)(2)(C)1;
2. If the fleet fails to achieve the applicable percentage of visitssatisfying (d)(1)(D) as specified in (d)(1)(A), (d)(1)(B), or (d)(1)(C),
the number of violations shall be determined with the formula in(h)(2)(C)2;
3. If the fleet fails to achieve both the baseline power reduction and theapplicable percentage of visits satisfying (d)(1)(D) as specified in(d)(1)(A), (d)(1)(B), or (d)(1)(C), the number of violations shall be
determined with the formula in (h)(2)(C)3; and4. If a vessel subject to (d)(1)(I) does not use shore power for every visit
to terminals that have available shore power, the number of violations
shall be determined with the formula in (h)(2)(C)2.
(B) If the emission reductions, pursuant to (d)(2), do not achieve theapplicable percentage of reduction, the number of violations shall be
determined with the formula in (h)(2)(C)4.

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(C) Formulas for Determining Number of Violations:
1. Number of reduced onboard power violations =MW-Hr shortfall / 1.8
2. Number of visits violations = visits * MW-Hr per visit / 1.8“Visits” refers to the shortfall in the number of visits in theapplicable quarter that should have satisfied the requirements of(d)(1)(A), (d)(1)(B), or (d)(1)(C).
“MW-Hr per visit” shall be based on the average MW-Hr for avisit for the applicable quarter (∑total MW-Hr in quarter / total
visits in quarter).
3. Number of both reduced onboard power and visits violations =MW-Hr shortfall for the applicable quarter / 1.2
4. Number of emission reduction violations =[NOx + PM shortfall (pounds)] / 57
(3)

(i)

A violation of the recordkeeping and reporting requirements in this section
shall constitute a single, separate violation of this section for each day thatthe applicable recordkeeping or reporting requirement has not been met.

Severability.
If any subsection, paragraph, subparagraph, sentence, clause, phrase, or portionof 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, 39650, 39658, 39659, 39666 and41511, Health and Safety Code. Reference: Sections 39650, 39658, 39659, 39666,
41510, and 41511, Health and Safety Code.

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