1 

FINAL REGULATION ORDER 

AIRBORNE TOXIC CONTROL MEASURE FOR DIESEL ENGINES ON

COMMERCIAL HARBOR CRAFT OPERATED WITHIN

CALIFORNIA WATERS AND 24 NAUTICAL MILES OF THE CALIFORNIA BASELINE

Adopt new section 93118.5, title 17, chapter 1, subchapter 7.5, California Code of 

Regulations (CCR), to read as follows: 

(Note: The entire text of section 93118.5 is new language.): 

Section 93118.5. Airborne Toxic Control Measure for Commercial Harbor Craft. 

(a) Purpose. 

The purpose of this section is to reduce diesel particulate matter (PM), oxides of sulfur 

(SOx), and oxides of nitrogen (NOx) from diesel propulsion and auxiliary engines on 

harbor craft that operate in any of the waters subject to this section (“Regulated 

California Waters”). This section implements provisions of the Goods Movement 

Emission Reduction Plan, adopted by the California Air Resources Board (ARB or 

CARB) in April 2006, to reduce emissions and health risk from ports and the movement 

of goods in California. 

(b) Applicability. 

(1) Except as provided in subsections (b) and (c), this section applies to any person 

who sells, supplies, offers for sale, purchases, owns, operates, leases, charters, 

or rents any new or in-use diesel fueled harbor craft that is operated in any of the 

Regulated California Waters. 

(2) Engine Subject to Multiple ARB Regulations. The requirements of this section 

shall control in the event an engine on a harbor craft is subject to the 

requirements: 

(A) of this section, and either 

(B) the regulation for portable compression ignition (CI) engines and equipment 

(sections 93116-93116.5, title 17, California Code of Regulations (CCR)), or 

(C) the regulation for off-road CI engines and equipment (sections 2420-2427, 

title 13, CCR). 

This provision shall apply only to each engine on the vessel that meets the above 

requirements and is permanently affixed to the vessel (i.e., the engine, its fueling 

system, or its exhaust system is welded or otherwise physically connected to the 
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vessel or other vessel system in such a way that the engine cannot be easily 

removed for use in a land-based application without modifications). 

(3) This section applies to towboats and tugboats engaged in or intending to engage 

in the service of pulling, pushing, or hauling alongside tank vessels or tank 

barges. 

 

(4) Notwithstanding the provisions of title 13, CCR, section 2299.1 and title 17, CCR, 

section 93118, this section shall apply to any ocean-going tugboats and towboats 

and shall supersede the requirements of 13 CCR 2299.1 and 17 CCR 93118 in 

their entirety for ocean-going tugboats and towboats. For purposes of this 

paragraph, “ocean-going tugboats and towboats” shall mean tugboats and 

towboats with a “registry” (foreign trade) endorsement on its United States (U.S.) 

Coast Guard certificate of documentation, or tugboats and towboats that are 

registered under the flag of a country other than the United States. 

(5) Nothing in this section shall be construed to amend, repeal, modify, or change in 

any way any other applicable State, U.S. Coast Guard, or other federal 

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 and any other applicable State and federal 

requirements, including but not limited to, obtaining any necessary approvals, 

exemptions, or orders from the U.S. Coast Guard. 

(6) This section shall not apply to any engine and equipment that fall within the 

scope of the preemption of Section 209(e)(1)(A) of the Federal Clean Air Act 

(42 United States Code (U.S.C.) 7543(e)(1)(A)) and as defined by regulation of 

the U.S. Environmental Protection Agency (U.S. EPA). 

(c) Exemptions. 

All or portions of this section do not apply to the following, as provided below, but 

vessels that are partly or wholly exempt from this section may be subject to other State 

or federal regulations and requirements. A person subject to such other State or federal 

regulations and requirements is solely responsible for ensuring the vessel complies with 

those regulations and requirements. All other portions of this section shall apply unless 

otherwise specified: 

(1) The requirements of this section do not apply to harbor craft voyages that are 

comprised 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 

stopping and anchoring only to the extent such stopping and anchoring are 

required by the U.S. Coast Guard; rendered necessary by force majeure or 

distress; or made for the purpose of rendering assistance to persons, ships, or 

aircraft in danger or distress. This exemption does not apply to the passage of a 
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harbor craft that 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 U.S. Coast Guard mandated stops or 

stops due to force majeure or the rendering of assistance, this exemption does 

not apply to a vessel that was otherwise scheduled or intended to enter California 

internal or estuarine waters or call at a port, roadstead or terminal facility; 

(2) Except as provided in Paragraph (3) below, a temporary replacement vessel is 

exempt only from the requirements set forth in subsection (e)(6) and only upon 

written approval by the ARB’s Executive Officer (E.O.). All other provisions in 

this section shall apply to a temporary replacement vessel subject to this 

paragraph. An owner or operator, who has or will have a vessel taken out of 

service, may apply in writing to the E.O. to operate a temporary replacement 

vessel pursuant to the following: 

(A) The E.O. shall approve or disapprove such a request within 15 days of 

receipt. The E.O. shall not unreasonably withhold approval of the request to 

operate the temporary replacement vessel; 

(B) If the approval is granted, the temporary replacement vessel’s operating 

time will be specified in the approval by the E.O., along with any other 

terms, conditions, or requirements the E.O. deems necessary, but in no 

case shall the approved operating time in Regulated California Waters for a 

specific temporary replacement vessel exceed one year total for any single 

vessel that is temporarily replaced; and 

(C) No temporary replacement vessel exemptions shall be approved for a 

vessel that is taken out of service more than 12 months in any 24-month 

period or if the E.O. cannot determine the length of time a vessel has been 

taken out of service within any 24-month period; 

(3) A temporary replacement vessel used to replace a vessel that has its homeport 

in the South Coast Air Quality Management District (SCAQMD) is exempt only 

from the compliance dates set forth in Table 8 of subsection (e)(6) and only upon 

written approval from the E.O. All other provisions in this section, including but 

not limited to, the compliance dates specified in Table 7 of subsection (e)(6), 

shall apply to a temporary replacement vessel subject to this paragraph. An 

owner or operator, who has or will have a vessel taken out of service, may apply 

in writing to the E.O. to operate a temporary replacement vessel pursuant to the 

following: 

(A) The E.O. shall approve or disapprove such a request within 15 days of 

receipt. The E.O. shall not unreasonably withhold approval of the request to 

operate the temporary replacement vessel; 

(B) If the approval is granted, the temporary replacement vessel’s operating 

time will be specified in the approval by the E.O., along with any other 

terms, conditions, or requirements the E.O. deems necessary, but in no 

case shall the approved operating time in Regulated California Waters for a 
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specific temporary replacement vessel exceed one year total for any single 

vessel that is temporarily replaced; and 

(C) No temporary replacement vessel exemptions shall be approved for a 

vessel that is taken out of service more than 12 months in any 24-month 

period or if the E.O. cannot determine the length of time a vessel has been 

taken out of service within any 24-month period; 

 

(4) A temporary emergency rescue/recovery vessel is exempt from this section in its 

entirety; 

(5) A recreational vessel is exempt from this section in its entirety; 

(6) An ocean-going vessel, except for ocean-going tugboats and towboats as 

provided in subsection (b)(4), is exempt from this section in its entirety; 

(7) The following engines are exempt from this section in its entirety: 

(A) Notwithstanding section (b)(2), a vessel engine, including an engine on a 

barge, which is registered with ARB’s Portable Engine Registration Program 

(PERP) (sections 2450 through 2465, title 13, CCR) before January 1, 2009; 

(B) A vessel engine that is registered with PERP on or after January 1, 2009 

and is not permanently affixed to the vessel (i.e., the engine, its fueling 

system, and its exhaust system are not welded or otherwise physically 

connected to the vessel or other vessel system, which permits the engine to 

be easily removed for use in a land-based application without 

modifications); and 

(C) A vessel engine that is registered and permitted under local air district 

regulations before January 1, 2009; 

 

(8) A registered historic vessel is exempt only from subsection (e)(6); 

(9) A U.S. Coast Guard vessel is exempt from this section in its entirety; 

(10) A military tactical support vessel is exempt from this section in its entirety; 

(11) An engine rated less than 50 horsepower (hp) is exempt only from subsection 

(e)(6); 

(12) An engine or vessel that is operated less than 300 hours per calendar year is 

exempt only from the requirements of subsection (e)(6); and 

(13) Near-Retirement Vessels. A harbor craft is exempt from the requirements of

subsection (e)(6)(C) and (e)(6)(D) if all of the following criteria have been met: 
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(A) the vessel is scheduled to be taken out of service and retired permanently; 

(B) the vessel is actually taken out of service and retired on or before the 

retirement date scheduled under (A) above; and 

(C) the vessel has an engine with a compliance date, as set forth in subsection 

(e)(6)(D), that is within one year of the vessel’s scheduled retirement date 

under (A) above. 

Operation of a vessel subject to this provision after the scheduled retirement date 

or the engine’s compliance date, whichever occurs later, is a separate violation of 

this section for each and every engine and each and every day of operation 

during which an engine on the vessel does not meet the requirements of 

subsection (e)(6)(C) or other parts of this section. 

(d) Definitions. 

For purposes of this section, the definitions of Health and Safety Code (H&S) sections 

39010 through 39060 shall apply except as otherwise specified in this section: 

(1) “Air District” means one of the local air pollution control districts (APCDs) or air 

quality management districts (AQMDs) established under H&S section 40000 et 

seq. 

(2) “Alternative Diesel Fuel” means any fuel used in a diesel 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 American Society for 

Testing and Materials (ASTM) D975-81, “Standard Specification for Diesel Fuel 

Oils,” as modified in May 1982, which is incorporated herein by reference, 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 and biodiesel blends not meeting the definition of CARB

diesel fuel; Fischer-Tropsch fuels; emulsions of water in diesel fuel; and fuels 

with a fuel additive, unless: 

(A) the additive is supplied to the engine fuel by an on-board dosing 

mechanism, or 

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

engine, or 

(C) the additive and base fuel are not mixed until engine fueling commences, 

and no more additive plus base fuel combination is mixed than required for 

a single fueling of a single engine. 

(3) “Alternative Fuel” means natural gas, propane, ethanol, methanol, gasoline, 

hydrogen, electricity, or other technologies that do not meet the definition of 

CARB diesel or alternative diesel fuel. "Alternative fuel" also means any mixture 

that only contains these fuels. 
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(4) “Annual Hours of Operation” means the total number of hours, rounded to the 

nearest whole hour, a vessel engine is used for all commercial purposes in 

Regulated California Waters in the calendar year (January 1 to December 31) 

immediately prior to the engine’s applicable compliance date set forth in 

subsection (e)(6)(D). For example, if a vessel is used for commercial fishing and 

commercial non-fishing purposes, the total number of hours combined for both 

uses shall be the total annual hours of operation for that vessel. 

(5) “Auxiliary Engine” means an engine designed primarily to provide power for uses 

other than propulsion. 

(6) “Averaging” means an exchange of excess reduced regulated emissions among 

engines on vessels in the same owner’s or operator’s fleet. 

(7) “Baseline” means the emissions level of a diesel engine using CARB diesel fuel 

as configured upon initial marine installation. 

(8) “Barge” means a vessel having a flat-bottomed rectangular hull with sloping ends 

and built with or without a propulsion engine. 

 

(9) “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, 2284, 2299, and title 17 CCR section 93116. 

(10) “California Baseline” means the mean lower low water line along the California 

coast, as shown on the following National Oceanic and Atmospheric 

Administration (NOAA) Nautical Charts as authored by the NOAA Office of Coast 

Survey, which are incorporated herein by reference:

(A) Chart 18600, Trinidad Head to Cape Blanco (January 2002); 

(B) Chart 18620, Point Arena to Trinidad Head (June 2002); 

(C) Chart 18640, San Francisco to Point Arena (August 2005); 

(D) Chart 18680, Point Sur to San Francisco (June 2005); 

(E) Chart 18700, Point Conception to Point Sur (July 2003); 

(F) Chart 18720, Point Dume to Purisima Point (January 2005); and 

(G) Chart 18740, San Diego to Santa Rosa Island (April 2005). 

(11) “CARB” means the California Air Resources Board. CARB may also be referred 

to as “ARB.” 

(12) “Carbon Monoxide (CO)” is a colorless, odorless gas resulting from the 

incomplete combustion of hydrocarbon fuels. 

(13) “Category 1 engine” means any marine engine with a displacement of less than 

5.0 liters per cylinder and with a maximum horsepower (hp) rating of 50 hp or 

greater. 
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(14) “Category 2 engine” means any marine engine with a displacement of 5.0 to less 

than 30 liters per cylinder. 

(15) “Category 3 engine” means any marine engine with a displacement of greater 

than 30 liters per cylinder. 

(16) “Certified engine” means an engine that is certified by U.S. EPA as meeting the 

requirements of title 40, Code of Federal Regulations (CFR), Part 94. 

(17) “Coast Guard Vessel” means any vessel or boat owned or operated by the U.S. 

Coast Guard, including, but not limited to, U.S. Coast Guard cutters and patrol 

boats that are used for law enforcement, defense operations, marine science, 

search and rescue missions, training missions, coastal surveillance, servicing 

aids to navigation, and marine environmental response. 

(18) “Compliance Date” means the date by which time a vessel engine must meet the 

requirements set forth in subsection (e)(6)(C). The “compliance date” for a 

vessel engine is set forth in either Table 7 or Table 8 in subsection (e)(6)(D), 

whichever is applicable. 

(19) “Crew and Supply Vessel” means a self-propelled vessel used for carrying 

personnel and/or supplies to and from off-shore and in-harbor locations 

(including, but not limited to, off-shore work platforms, construction sites, and 

other vessels). 

(20) “Date of Acquisition” means, for a vessel or engine subject to this regulation, the 

date of purchase as defined by the date shown on the front of the cashed check, 

the date of the financial transaction, or the date on the vessel or engine 

purchasing agreement, whichever is earliest of the three dates. 

(21) “Diesel Engine” means an internal combustion, compression-ignition (CI) engine, 

or pilot ignition 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. 

(22) “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. 

(23) “Diesel-Fueled” means a diesel engine fueled in whole or part by diesel fuel. 

(24) “Diesel Oxidation Catalyst (DOC)” means an emission control technology that 

employs a catalyst to promote oxidation processes in diesel exhaust gases, 
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usually designed to reduce emissions of the organic fraction of diesel 

particulates, gas-phase HC, and CO. 

(25) “Diesel Particulate Filter (DPF)” means an emission control technology that 

reduces diesel PM emissions in engine exhaust gases 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. 

(26) “Diesel Particulate Matter (Diesel PM)” means the particles found in the exhaust 

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

structures of complex physical and chemical properties. 

(27) “Direct Control” means owning, operating, having a contract, lease, or other 

arrangement to operate a harbor craft. 

(28) “Emission Control Strategy” means any device, system, or strategy employed to 

reduce emissions from an engine, including, but not limited to, diesel oxidation 

catalysts, selective catalytic reduction systems, diesel particulate filters, 

alternative diesel fuels, water emulsified fuels, and any combination of the above. 

(29) “Estuarine Waters” means an arm of the sea or ocean that extends inland to 

meet the mouth of a river. 

(30) “Excursion Vessel” means a self-propelled vessel that transports passengers for 

purposes including, but not limited to, dinner cruises; harbor, lake, or river tours; 

scuba diving expeditions; and whale watching tours. “Excursion Vessel” does 

not include crew and supply vessels, ferries, and recreational vessels. 

(31) “Executive Officer” means the Executive Officer (E.O.) of the California Air 

Resources Board or his/her designee. 

(32) “Ferry” means a harbor craft having provisions only for deck passengers or 

vehicles, operating on a short run, on a frequent schedule between two points 

over the most direct water route, and offering a public service of a type normally 

attributed to a bridge or tunnel. 

(33) “Fishing Vessel” means a self-propelled vessel that is either: 

(A) a commercial vessel dedicated to the search for, and collection of, fish for 

the purpose of sale at market or directly to a purchaser(s), or 

(B) a charter vessel used for hire by the general public and dedicated to the 

search for and collection of, fish for the purpose of general consumption. 
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(34) “Fleet” means the total number of harbor craft owned, rented, or leased by an 

owner or operator in an air district or distinct locale within Regulated California 

Waters or the statewide population of a specific vessel type. 

(35) “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. 

(36) “Harbor Craft” (also called “Commercial Harbor Craft”) means any private, 

commercial, government, or military marine vessel including, but not limited to, 

passenger ferries, excursion vessels, tugboats, ocean-going tugboats, towboats, 

push-boats, crew and supply vessels, work boats, pilot vessels, supply boats, 

fishing vessels, research vessels, U.S. Coast Guard vessels, hovercraft, 

emergency response harbor craft, and barge vessels that do not otherwise meet 

the definition of ocean-going vessels or recreational vessels. 

(37) “Homeport” means the port in which a vessel is registered or permanently based. 

(38) “In-Use Harbor Craft” means a harbor craft that is not a new harbor craft. 

(39) “In-Use Marine Engine” means a marine engine that is not a new marine engine. 

(40) “Lease” means a contract by which the owner (lessor) of a property, such as a 

vessel or engine, grants the right to use or occupy the property to another person 

(lessee) for a specified term and for a specified rent. 

(41) “Level” means, unless the context requires otherwise, one of three categories of 

ARB-verified diesel emission control strategies as set forth in title 13, CCR, 

section 2700 et seq.: Level 1 means the strategy reduces engine diesel PM 

emissions by between 25 and 49 percent; Level 2 means the strategy reduces 

engine diesel PM emissions by between 50 and 84 percent; and Level 3 means 

the strategy reduces engine diesel PM emissions by 85 percent or greater, or 

reduces engine diesel PM emissions to less than or equal to 0.01 grams per 

brake horsepower-hour (g/bhp-hr). 

(42) “Low-Use” means the operation of any compression-ignition engine associated 

with a harbor craft vessel for less than 300 total annual hours of operation in 

Regulated California Waters, based on the immediately preceding calendar year. 

(43) “Military Tactical Support” means a vessel that meets military specifications, is 

owned by the U.S. Department of Defense, the U.S. Coast Guard, the U.S. 

Military services or its allies, and is used in combat, combat support, combat 

services support, tactical or relief operations or training for such operations. 
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(44) “Model Year” means the diesel 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. 

(45) “Multipurpose Harbor Craft” means a harbor craft that serves as a ferry, 

excursion vessel, tugboat, or towboat but is also used as a work, crew and 

supply, pilot, fishing, supply, or other vessel. 

(46) “New Harbor Craft” means a harbor craft for which both of the following criteria 

are true:

(A) it is built, or its keel is laid, on or after January 1, 2009, and

(B) the equitable or legal title to the harbor craft has never been transferred to 

an ultimate purchaser. 

Where the equitable or legal title to the harbor craft is not transferred to an 

ultimate purchaser prior to the harbor craft being placed into service, the harbor 

craft ceases to be new when it is placed into service. A harbor craft is placed 

into service when it is used for its functional purposes. 

(47) “New Marine Engine” means a marine engine for which both of the following 

criteria are true: 

(A) it is manufactured or imported on or after January 1, 2009, and 

(B) the equitable or legal title to the engine has never been transferred to an 

ultimate purchaser. 

Where the equitable or legal title to the engine is not transferred to an ultimate 

purchaser prior to the engine being placed into service, the engine ceases to be 

new when it is placed into service. An engine is placed into service when it is 

used for its functional purposes. 

(48) “Nitrogen Oxides or Oxides of Nitrogen (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. 

(49) “Non-Methane Hydrocarbons (NMHC)” means the sum of all hydrocarbon (HC) 

air pollutants except methane. 

(50) “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 CFR § 679.2, as adopted June 19, 1996;
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(B) a vessel greater than or equal to 10,000 gross tons (GT ITC) per the 

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 percylinder displacement of greater than or equal to 30 liters. 

(51) “Operate” means steering or otherwise running the vessel or its functions while 

the vessel is underway, moored, anchored, or at dock. 

(52) “Own” means having all the incidents of ownership, including the legal title, 

whether or not that person lends, rents, or pledges the vessel; having or being 

entitled to the possession of a vessel as the purchaser under a conditional sale 

contract; or being the mortgagor of a vessel. 

(53) “Particulate Matter (PM)” 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). 

(54) “Person” includes all of the following: 

(A) any person, firm, association, organization, partnership, business trust, 

corporation, limited liability company, or company; 

(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 permitted by federal law. 

(55) “Pilot Vessel” means a vessel designed for, but not limited to, the transfer and 

transport of maritime pilots to and from ocean-going vessels while such vessels 

are underway. 

(56) “Port” means any facility used for water-borne commerce. “Port” includes, but is 

not limited to, facilities also known as “marine terminals” and “roadsteads.” 

(57) “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. 

(58) “Portable Engine Registration Program (PERP)” means the statewide program 

designed to promote the use of clean portable engines in California, as provided 

for in title 13, CCR, sections 2450 through 2465. Once registered in the 

program, engines and equipment units can operate throughout the State without 

being required to obtain individual permits from each air pollution control or air 

quality management district in which they operate. 
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(59) “Pre-Tier 1 Engine” means an engine that was built before the effective date of 

U.S. EPA’s Tier 1 marine engine emission standards (Tier 1 standards), as set 

forth in 40 CFR 94. 

(60) “Propulsion Engine” means an engine that provides power to move a vessel 

through the water or directs the movement of a vessel. 

(61) “Purchase Date” means the date shown on the front of the cashed check; the 

date of the financial transaction; or the date on the engine or harbor craft 

purchase, rental, or lease agreement, whichever is earliest. 

(62) “Push Boat” means any self-propelled vessel engaged in or intending to engage 

in the service of pulling, pushing, or hauling along side barges or other vessels, 

or any combination of pulling, pushing, or hauling along side barges or other 

vessels. “Push boats” is interchangeable with “towboats.” 

(63) “Recreational Vessel” means a vessel that is intended by the vessel 

manufacturer to be operated primarily for pleasure or leased, rented, or chartered 

to another for the latter’s pleasure, excluding the following vessels: (1) vessels of 

less than 100 gross tons that carry more than 6 passengers, (2) vessels of 

100 gross tons or more that carry one or more passengers, and (3) vessels used 

solely for competition. 

(64) “Registered Historic Vessel” means a vessel listed in the National Register of 

Historic Places pursuant to the National Historic Preservation Act of 1966 

(16 U.S.C. 470). 

(65) “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 border at 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. 
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(66) “Rent” means payment for the use of harbor craft or diesel engine for a specified 

term. 

(67) “Retirement” means the act of taking an engine or harbor craft out of service (i.e., 

to “retire”) so that it subsequently never again operates in any of the Regulated 

California Waters. “Retirement” does not include an engine or harbor craft that is 

sold for use outside California then subsequently operated in any of the 

Regulated California Waters. 

(68) “SCAQMD” means the South Coast Air Quality Management District, as defined 

in Health and Safety Code section 40410 et seq. and described in section 60104, 

title 17, California Code of Regulations, and shall include all waters subject to the 

jurisdiction of the SCAQMD. 

(69) “Supply Vessel” means a self-propelled vessel used for carrying supplies to and 

from off-shore and in-harbor locations including, but not limited to, off-shore work 

platforms, construction sites, and other vessels. 

(70) “Take Out of Service” means the act of dry-docking, mooring, anchoring, or 

otherwise tying up a harbor craft at dock to conduct maintenance, repairs, 

replacements, or upgrades such that the vessel cannot be operated in Regulated 

California Waters while such acts are conducted on the vessel. 

(71) “Tank Barge” means a non-self-propelled vessel constructed or adapted primarily 

to carry, or that carries, oil or hazardous material in bulk as cargo or cargo 

residue. 

(72) “Tank Vessel” or “Tanker” means a self-propelled vessel constructed or adapted 

primarily to carry, or that carries, oil or hazardous material in bulk as cargo or 

cargo residue. 

(73) “Temporary emergency rescue/recovery vessel” means a self-propelled vessel 

whose homeport is not within California and is brought into California for the 

immediate use of emergency rescue or recovery and returns to its homeport 

outside of California at the conclusion of its emergency rescue/recovery mission. 

(74) “Temporary replacement vessel” means a self-propelled vessel that is brought 

into service to temporarily replace a California vessel that has been temporarily 

taken out of service. For purposes of this section, “temporary replacement 

vessel” includes only the following: 

(A) vessels that are used in the SCAQMD but have a homeport in California 

outside of the SCAQMD; and 

(B) vessels that are used anywhere in California, including the SCAQMD, but 

have a homeport outside of California. 
14 

(75) “Tier 1 Marine Engine Emission Standards (Tier 1 standards)” means the U.S. 

EPA marine engine Tier 1 emission standards, as promulgated by U.S. EPA and 

set forth in “Control of Emissions of Air Pollution from New Marine CompressionIgnition Engines at or Above 37 kW” (64 Federal Register (FR) 73299-73373, 

December 29, 1999)(40 CFR Part 94), both of which are incorporated herein by 

reference. The standards from 40 CFR Part 94 are summarized in Table 1. 

Table 1: U.S. EPA Tier 1 Marine Engine Emission Standards 

Category 

Power (kilowatt 

(kW)) & 

Displacement 

(liters/cylinder 

(l/cyl)) 

Engine Speed 

(Revolutions per 

minute (rpm)) 

Tier 1 

Model 

Year 

PM 

(g/bhphr) 

NOx+HC 

(g/bhp-hr)* 

CO 

(g/bhphr) 

rpm ≥ 2000 2004 - 7.3 - 

130 ≤ rpm <2000 2004 - 33.57 x rpm -0.2 - 

1, 2, 3, 

including 

Recreational

≥ 37 kW & ≥ 2.5 

l/cyl rpm <130 2004 - 12.7 - 

(40 CFR Part 94) 

*converted emission standards from 40 CFR 94, which are expressed in grams per kilowatt–hour 

(g/kW-hr) to g/hp-hr by the following: g/kW-hr * (0.746) = g/hp-hr. 

(76) “Tier 2 Marine Engine Emission Standards (Tier 2 standards)” means the U.S. 

EPA marine engine Tier 2 emission standards, as promulgated by U.S. EPA and 

set forth in “Control of Emissions of Air Pollution from New Marine CompressionIgnition Engines at or Above 37 kW” (64 FR 73299-73373, December 29, 

1999)(40 CFR Part 94), both of which are incorporated herein by reference. 
15 

Table 2: U.S. EPA Tier 2 Marine Engine Emission Standards for 

NOx + HC, PM, and CO 

Category Displacement (Disp.) 

(liters/cylinder) Date NOx+HC (g/bhp-hr)* 

PM 

(g/bhp-hr)* 

CO 

(g/bhp-hr)* 

Disp.< 0.9 and power ≥50 hp* 2005 5.6 0.30 3.7 

0.9 ≤ Disp. < 1.2 2004 5.4 0.22 3.7 

1.2 ≤ Disp. < 2.5 2004 5.4 0.15 3.7 1 

2.5 ≤ Disp. < 5.0 2007 5.4 0.15 3.7 

5.0 ≤ Disp. < 15 2007 5.8 0.20 3.7 

15 ≤ Disp. < 20 

(power < 4424 hp*) 2007 6.5 0.37 3.7 

15 ≤ Disp. < 20 

(power ≥ 4424 hp*) 2007 7.3 0.37 3.7 

20 ≤ Disp. < 25 2007 7.3 0.37 3.7 

2 

25 ≤ Disp. < 30 2007 8.2 0.37 3.7 

(40 CFR Part 94) 

*converted emission standards and maximum power rating from 40 CFR 94, which are expressed 

in g/kW-hr and kW to g/hp-hr and hp, respectively, by the following: g/kW-hr (0.746) = g/hp-hr or 

kW (1.34) = hp 

(77) “Tier 3 Marine Engine Emission Standards (Tier 3 standards)” means the U.S. 

EPA marine engine Tier 3 emission standards, as promulgated by U.S. EPA and 

set forth in “Final Rule: Control of Emissions of Air Pollution from Locomotive and 

Marine Compression-Ignition Engines Less Than 30 Liters Per Cylinder” (73 FR 

25245 et seq., May 6, 2008) (40 CFR Part 1042), both of which are incorporated 

herein by reference. The standards from 40 CFR Part 1042 are summarized in 

Table 3, Table 4, and Table 5. [Note: No Tier 3 standards apply for commercial 

Category 1 engines at or above 3700 kW. See “Tier 4 Marine Engine Emission 

Standards” for the standards that apply to these engines.] 
16 

Table 3: U.S. EPA Tier 3 Standards for Marine Diesel 

Category 1 Commercial Standard Power Density Engines below 3700 kW 

Rated kW L/Cylinder PM 

g/bhp-hre

NOx + HCd

g/bhp- hre Model Year 

0.22 5.6 2009 19 to < 75 kW <0.9a

0.22 b

 3.5 b 2014 

<0.9 0.10 4.0 2012 

0.9 - <1.2 0.09 4.0 2013 

1.2 - <2.5 0.08 c 4.2 2014 

2.5 - <3.5 0.08 c 4.2 2013 

75 to <3700 kW 

3.5 - <7.0 0.08 c 4.3 2012 

(a) <75 kW engines at or above 0.9 L/cylinder are subject to the corresponding 

75-3700 kW standards. 

(b) Option: 0.15 g/bhp-hr PM / 4.3 g/bhp-hr NOx+HC in 2014. 

(c) This standard level drops to 0.07 g/bhp-hr in 2018 for <600 kW engines.

(d) Tier 3 NOx+HC standards do not apply to 2000-3700 kW engines. 

(e) Converted emission standards from 40 CFR part 1042, which are expressed in g/kW-hr to 

g/hp-hr by the following: g/kW-hr (0.746) = g/hp-hr. 

Table 4: U.S. EPA Tier 3 Standards for Marine Diesel 

Category 1 Recreational and Commercial High Power Density 

Engines below 3700 kW 

Rated kW L/Cylinder PM 

g/bhp- hrc

NOx + HC 

g/bhp- hrc Model Year 

0.22 5.6 2009 19 to <75 kW <0.9 a

0.22 b 3.5 b 2014 

<0.9 0.11 4.3 2012 

0.9 - <1.2 0.10 4.3 2013 

1.2 - <2.5 0.09 4.3 2014 

2.5 - <3.5 0.09 4.3 2013 

75 to <3700 kW 

3.5 - <7.0 0.08 4.3 2012 

(a) <75 kW engines at or above 0.9 L/cylinder are subject to the corresponding 

 75-3700 kW standards. 

(b) Option: 0.15 g/bhp-hr PM / 4.3 g/bhp-hr NOx+HC in 2014.

(c) Converted emission standards from 40 CFR part 1042, which are expressed in g/kW-hr to

g/bhp-hr by the following: g/kW-hr (0.746) = g/bhp-hr. 
17 

Table 5: U.S. EPA Tier 3 Standards for 

Marine Diesel Category 2 Engines below 3700 kWa,b

L/Cylinder Rated kW PM 

g/bhp- hrc

NOx+HC 

g/bhp- hrc

Model 

Year 

<2000 0.10 4.6 2013 7 - <15 ≥2000 0.10 5.8 2013 

15 - <20a <2000 0.25 5.2 2014 

20 - <25a <2000 0.20 7.3 2014 

25 - <30a <2000 0.20 8.2 2014 

(a) No Tier 3 standards apply for Category 2 engines with per-cylinder displacement above 

15.0 liters if maximum engine power is at or above 2000 kW. See “Tier 4 Marine Engine 

Emission Standards” for the standards that apply for these engines. 

(b) For Category 2 engines at or above 1400 kW, optional Tier 3 and Tier 4 standards are 

available with some manufacturer restrictions, PM / NOx+HC at 0.10 / 5.8 g/bhp-hr in 2012, 

with Tier 4 standards in 2015. 

(c) Converted emission standards from 40 CFR part 1042, which are expressed in g/kW-hr to 

g/bhp-hr by the following: g/kW-hr * (0.746) = g/bhp-hr. 

(78) “Tier 4 Marine Engine Emission Standards (Tier 4 standards)” means the 

U.S. EPA marine engine Tier 4 emission standards, as promulgated by U.S. EPA 

and set forth in “Final Rule: Control of Emissions of Air Pollution from Locomotive 

and Marine Compression-Ignition Engines Less Than 30 Liters Per Cylinder” 

(73 FR 25245 et seq., May 6, 2008) (40 CFR Part 1042), both of which are 

incorporated herein by reference. Table 6 summarizes the Tier 4 standards from 

40 CFR Part 1042. 
18 

Table 6: U.S. EPA Tier 4 Standards for Marine Diesel 

Category 1 and Category 2 Engines above 600 kW 

(a) Converted emission standards from 40 CFR part 1042, which are expressed in g/kW-hr to 

g/bhp-hr by the following: g/KW-hr (0.746) = g/bhp-hr 

(b) Optional compliance start dates may be used within these model years; see 40 CFR part 

1042. 

(c) For Category 2 engines at or above 1400 kW, optional Tier 3 and Tier 4 standards are 

available with some manufacturer restrictions, PM / NOx+HC at 0.10 / 5.8 g/bhp-hr in 2012, 

with Tier 4 standards in 2015. 

(d) The Tier 3 PM standards continue to apply for Category 1 and Category 2 engines with percylinder displacements below 15.0 liters in model years 2014 and 2015 only. For Category 2 

engines with per-cylinder displacement at or above 15.0 liters, the PM standard is 0.25 g/bhphr for engines at or above 2000 kW and below 3300 kW, and 0.20 g/bhp-hr for engines at or 

above 3300 kW and below 3700 kW, in model years 2014 and 2015 only. 

(79) “Total Hydrocarbons (THC)” or “Hydrocarbons (HC)” means the total mass of 

open chain and cyclic hydrocarbon molecules. 

(80) “Towboat” means any self-propelled vessel engaged in or intending to engage in 

the service of pulling, pushing, or hauling along side barges or other vessels, or 

any combination of pulling, pushing, or hauling along side barges or other 

vessels. 

(81) “Tugboat” means any self-propelled vessel engaged in, or intending to engage in, 

the service of pulling, pushing, maneuvering, berthing, or hauling along side 

other vessels, or any combination of pulling, pushing, maneuvering, berthing or 

hauling along side such vessels in harbors, over the open seas, or through rivers 

and canals. Tugboats generally can be divided into three groups: harbor or 

short-haul tugboats, ocean-going or long-haul tugboats, and barge tugboats. 

“Tugboat” is interchangeable with “towboat” and “push boat” when the vessel is 

used in conjunction with barges. 

(82) “Verification Procedure, Warranty and In-Use Compliance Requirements for 

In-Use Strategies to Control Emissions from Diesel Engines (Verification 

Rated kW L/Cylinder PM 

g/bhp- hra

NOx 

g/bhp- hra

HC 

g/bhp- hra Model Year

<15.0 0.09 1.3 0.14 2014 b

15.0 to 

<30.0 0.19 1.3 0.14 2014 b

At or above 3700 kW

all 0.04 1.3 0.14 2016 b

2000 to <3700 kW all 0.03 d 1.3 0.14 2014 b,c,d

1400 to <2000 kW all 0.03 1.3 0.14 2016 b,c

600 to <1400 kW all 0.03 1.3 0.14 2017 
19 

Procedure)” means the ARB regulatory procedure codified in title 13, CCR, 

commencing with section 2700, which is incorporated herein by reference, that 

engine manufacturers, sellers, owners, or operators may use to verify the 

reductions of diesel PM or NOx from in-use diesel engines through the use of a 

particular diesel emission control strategy. 

(83) “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, CCR, commencing with 

section 2700. VDECS can be verified to achieve Level 1 diesel PM reductions 

(25-49 percent), Level 2 diesel PM reductions (50-84 percent), or Level 3 diesel 

PM reductions (85 percent or greater). VDECS may also be verified to achieve 

NOx reductions. 

(84) “Vessel” or “Marine Vessel” means any tugboat, tanker, freighter, passenger 

ship, barge, or other boat, ship, or watercraft, except those used primarily for 

recreation. 

(85) “Work Boat” means a self-propelled vessel that is used to perform duties such as 

fire/rescue, law enforcement, hydrographic surveys, spill/response, research, 

training, and construction (including drilling). 
20 

(e) Fuel Use and Engine Emission Requirements. 

 [Note: The plain English narrative in this overview is intended as a convenient 

guide for the reader and in no way adds, deletes, modifies, or otherwise affects 

the legal requirements and substantive provisions specified in subsection (e) or 

any other part of this section. Subsection (e) sets forth the various fuel and 

emission requirements for harbor craft subject to this regulation, and can be 

broken down as follows: 

• Subsection (e)(1) specifies low sulfur fuel use requirements that apply to 

all harbor craft, new and in-use. 

• Subsection (e)(2) specifies the requirement for installing hour-meters on 

all harbor craft, new and in-use. 

• Subsection (e)(3) establishes requirements that apply to transactions 

involving new engines to be installed on in-use vessels, including a limited 

6-month “sell-through” provision for non-complying engines. 

• Subsection (e)(4) sets forth requirements that apply to newly acquired new 

harbor craft, including ferries. 

• Subsection (e)(5) sets forth requirements that apply only to newly acquired 

new ferries, above and beyond those established in subsection (e)(4). 

These provisions include requirements for applying Best Available Control 

Technology (BACT) to new ferries and their engines.

• Subsection (e)(6) is the key provision of this regulation, as it achieves 

emission reductions by requiring the eventual replacement or cleanup of 

engines in the fleet of in-use ferries, excursion vessels, tugboats, 

towboats, push boats, and multipurpose harbor craft. This subsection 

requires that owners and operators eventually replace or otherwise bring 

into compliance with the specified engine standards all of their pre-Tier 1 

and Tier 1-certified engines in their in-use vessels by the dates shown in 

the specified compliance schedules. The compliance dates are designed 

to clean up the fleet’s oldest and dirtiest engines first, while giving more 

time for relatively newer, Tier 1 engines to be upgraded or replaced. 

Vessels with their homeport in the SCAQMD have an accelerated 

compliance schedule to reflect that district’s greater need for expedited 

emission reductions. The compliance schedules are grouped by vessel 

type, location of the vessel’s homeport, the engine’s model year, and the 

engine’s annual hours of operation. 

• Subsection (e)(6)(E) provides for a limited set of circumstances under 

which the E.O. may grant short extensions to the compliance dates if 

warranted.] 
21 

(1) All Harbor Craft – Low Sulfur Fuel Use Requirement.

Beginning January 1, 2009, a person subject to this section may only fuel a 

diesel engine on a harbor craft with one of the following: 

(A) CARB diesel fuel; or 

(B) an alternative diesel fuel as defined in subsection (d)(2); or 

(C) any alternative diesel fuel that does not meet subsection (e)(1)(B) above but 

is certified by CARB as meeting the requirements of the Verification 

Procedure; or 

(D) CARB diesel fuel used with fuel additives that meet the requirements of the 

Verification Procedure; or 

(E) any combination of subsection (e)(1)(A) through (D) above. 

(2) All Harbor Craft – Installation and Use of Non-Resettable Hour Meters. 

Beginning January 1, 2009, a person subject to this section may not operate a 

harbor craft without an installed and properly operating, non-resettable hour 

meter, which accurately measures the number of hours an engine operates. The 

hour meter must be installed on each diesel engine on the vessel in a manner 

that allows reasonable personnel access to the hour meter without impediment. 

(3) All In-Use Harbor Craft – Requirements for Newly Acquired Engines.

Beginning January 1, 2009, a person subject to this section may not sell, 

purchase, offer for sale, lease, rent, import, or otherwise acquire a new or in-use 

diesel engine for an in-use harbor craft, which is intended to operate or actually 

operates in any of the Regulated California Waters, unless that engine on the 

date of acquisition: 

(A) is certified to meet the Tier 2 or Tier 3 standards in effect on that date for a 

new engine of the same power rating and displacement. The newly 

acquired engine is not required to meet the Tier 4 standards unless it is 

replacing an engine on the in-use vessel that was certified as meeting Tier 4 

standards; or 

(B) is newly acquired within the allowable 6 month “sell-through” period, as set 

forth in this paragraph. For purposes of this paragraph only, the allowable 

sell-through period runs through 6 months after the date the Tier 2, Tier 3, or 

Tier 4 standards have come into effect for a new engine of the same power 

rating and displacement as the engine being replaced on the in-use vessel. 

Engines that are subsequently sold, supplied, offered for sale, or otherwise 

newly acquired after the 6 month sell-through period are subject to the 

requirements specified in paragraph (A) of this subsection, even if the 

engine was previously newly acquired within the 6 month sell-through 

period. 
22 

(4) All New Harbor Craft (Including All New Ferries) – Requirements for Newly 

Acquired Vessels. 

Beginning January 1, 2009, a person subject to this section may not sell, 

purchase, offer for sale, lease, rent, import, or otherwise acquire a new harbor 

craft for use in any of the Regulated California Waters unless each of the diesel 

engines on the vessel meets the applicable Tier 2, Tier 3, or Tier 4 standards in 

effect on the date of vessel acquisition. The person must also meet the 

additional requirements set forth in subsection (e)(5) below for diesel propulsion 

engines in newly acquired new ferries. 

 

(5) Selected New Ferries Only – Additional Requirements for All Newly Acquired 

Propulsion Engines. 

 

(A) Beginning January 1, 2009, a person subject to this section may not sell, 

purchase, offer for sale, import, or otherwise acquire a new ferry with the 

capacity to transport 75 or more passengers for use in any of the Regulated 

California Waters unless each propulsion diesel engine on the vessel:

1. meets either the Tier 2 or Tier 3 standards that are in effect on the date 

of vessel acquisition; and 

2. will be operated only in conjunction with the use of Best Available 

Control Technology (BACT), as determined and pre-approved by the 

E.O. pursuant to this provision. 

(B) In lieu of installing or using BACT pursuant to paragraph (A)2 above, the 

person may comply with paragraph (A)2 by installing on the new ferry a 

propulsion engine(s) that is certified to the Tier 4 standards, if a Tier 4-

certified engine is available at the time that the new ferry is delivered. If no 

Tier 4-certified engines are available at the time of ferry delivery, the person 

must meet the provisions of paragraphs (A)1 and (A)2.

(C) For purposes of this section, “BACT” is the diesel emission control strategy 

(DECS), whether verified or unverified pursuant to 13 CCR section 2700 et 

seq., that is determined by the E.O. as meeting all of the following criteria:

1. it provides or is expected to continuously provide the greatest reduction 

feasible of NOx or diesel PM when used with the ferry’s propulsion 

diesel engine; 

2. the use of BACT does not result in an increase of 10 percent or more of 

any air pollutant, including NOx and diesel PM, relative to the engine’s 

emissions of that air pollutant without the use of BACT; and
23 

3. either the DECS manufacturer or an authorized dealer of the DECS 

determines or otherwise agrees with the E.O. that use of the DECS on or 

with the new ferry’s propulsion engine(s) would not invalidate or 

otherwise adversely affect the propulsion engine’s original warranty.

For purposes of this section, DECS may include, but is not be limited to, 

exhaust treatment controls and the use of alternative fuels or fuel additives. 

(D) The E.O. shall determine the appropriate level of BACT and specify such 

BACT in an Executive Order granting such approval. Applications to comply 

with the requirements of paragraph (A)2 by using BACT must follow the 

application and review procedure set forth below:

1. Application Process. 

 For all new ferries for which the keel is laid on or after January 1, 2009, 

the application for BACT approval must be submitted in writing to the 

E.O. for evaluation before the keel is laid. The BACT application must 

contain, at a minimum, the following information: 

a. the applicant company’s name, address, and contact information; 

b. information specific to the harbor craft and engine(s) on which BACT 

will be used, including the vessel name and identification number(s); 

engine make, model, and serial numbers; and all other information 

that uniquely identify the engine; 

c. certification documentation, engineering calculations, emissions test 

data, or other information that establishes the diesel PM and NOx

emissions of the engine in combination with the proposed BACT. 

Emissions and emission reduction estimates must include both diesel 

PM and NOx emissions and be expressed in grams per brake 

horsepower-hour (g/bhp-hr) unless otherwise specified by the E.O. 

Information submitted pursuant to this provision will be used as 

follows: 

i. The E.O. shall use the information to compare the emissions 

resulting from the proposed use of BACT with the emissions 

quantified in BACT determinations previously approved by the 

E.O.; 

ii. If there are no previous BACT determinations available for 

comparison, the E.O. shall use ARB staff’s best engineering 

judgment to determine if the proposed BACT provides the 

greatest feasible reduction of diesel PM or NOx; and 

iii. The E.O. may require the applicant to submit additional emissions 

data for other air pollutants if the E.O. believes that the proposed 
24 

use of BACT may increase any air pollutant by 10 percent or 

more relative to the engine emissions without the proposed 

BACT; and 

d. the proposed recordkeeping, reporting, monitoring, and testing 

procedures that the applicant plans to use to demonstrate continued 

effectiveness of the BACT.

2. E.O. Review and Final Decision-Making Process. 

 

 a. Within 15 days after receiving a BACT application, the E.O. shall 

notify the applicant whether the application is deemed sufficiently 

complete to proceed with further evaluation. If the application is 

deemed incomplete, the notification must identify the application’s 

deficiencies. The E.O. shall have an additional 15-day period for 

reviewing each set of documents or information submitted in 

response to an incomplete determination. Nothing in this subsection 

prohibits the E.O. from requesting additional information from the 

applicant, during any part of the BACT application process, which the 

E.O. determines is necessary to evaluate the application. 

 b. Within 30 days of deeming an application complete, the E.O. shall 

take final action to either approve or deny a BACT application, and 

the E.O. shall notify the applicant accordingly. If the application is 

denied or modified, the E.O. shall state the reasons for the denial or 

modification in the notification. The E.O. shall specify all terms, 

conditions, and requirements the E.O. believes are necessary for the 

ferry engine and BACT to operate properly and reduce emissions of 

air pollutants consistent with this section. The reporting and 

recordkeeping requirements specific to the use of BACT must 

include, at a minimum: 

i. hours of operation for the engine and BACT and fuel usage; 

 ii. usage of any alternative fuels, additives, agents, flow rates, and 

emission test results; 

 iii. maintenance procedures for the engine(s) and its BACT; and 

 iv. any other measurements or recordings specified by the E.O. 

 The E.O. shall make the approval/disapproval notification to the 

applicant and identification of the approved/disapproved BACT 

available to the public on ARB’s internet site. 

3. Post-Approval Vessel, Engine, and BACT Operation. 

A person subject to this provision must maintain operating records and 

other information in the manner and form specified by the E.O. in the 
25 

BACT approval. The person must submit to ARB upon request all 

records and reports created pursuant to this provision, which must be 

maintained and retained for ARB inspection a minimum of three years 

after the records or reports were created. 

(6) In-Use Engines and Vessels – Schedules for Meeting Tier 2 or Tier 3 Standards. 

(A) For Pre-Tier 1 and Tier-1 Certified Engines on Ferries, Excursion Vessels, 

Tugboats, Towboats, Push Boats, and Multipurpose Harbor Craft Only.

1. Applicability. 

This subsection (e)(6) applies to any person who owns, operates, sells, 

purchases, offers for sale, leases, rents, imports, or otherwise acquires 

an in-use ferry, excursion vessel, tugboat, towboat, push boat, or 

multipurpose harbor craft with a pre-Tier 1 or Tier-1 certified engine for 

use in any of the Regulated California Waters. This subsection applies 

to all such engines on all such vessels. 

2. General Requirement. 

After January 1, 2009, a person subject to this provision may not own, 

operate, sell, purchase, offer for sale, lease, rent, import, or otherwise 

acquire an in-use engine, or a vessel with an in-use engine, unless that 

engine complies with at least one of the compliance methods set forth in 

subsection (e)(6)(C) by the applicable compliance date. The compliance 

methods set forth in subsection (e)(6)(C) involve either replacement of 

the in-use engine with a cleaner engine or demonstrating that the in-use 

engine already meets specified standards, as set forth below. 

For purposes of this subsection, “applicable compliance date” is either 

the compliance date, as set forth in subsection (e)(6)(D) for the in-use 

engine, or the compliance date from subsection (e)(6)(D) for the in-use 

engine, as extended pursuant to subsection (e)(6)(E), whichever applies 

and occurs later. 

(B) [Reserved for Future Use] 

(C) Compliance Methods. 

1. Method C1 – Replacement of the in-use engine with a U.S. EPA certified 

Tier 2 engine or one with a higher certification level (e.g., Tier 3-

certified). 

A person may comply under this method by replacing the in-use engine 

with a Tier 2- or Tier 3-certified engine, as set forth in this paragraph. 
26 

The replacement engine must meet the U.S. EPA Tier 2 or Tier 3 

standards that would apply to a new engine, of the same size and 

configuration as the in-use engine, at the time of the applicable 

compliance date set forth in subsection (e)(6)(D). 

[Note: For example, if the applicable compliance date is January 1, 

2010, and the Tier 2 standards would be in effect at that time for a new 

engine of the same size and configuration as the in-use engine, the 

replacement would need to meet Tier 2 standards. However, if the 

applicable compliance date is instead January 1, 2013, and the Tier 3 

standards would be in effect for a new engine of the same size and 

configuration as the in-use engine, the replacement engine would need 

to meet Tier 3 standards.] 

Once the in-use engine has been replaced with an engine that is U.S. 

EPA-certified to meet Tier 2 or Tier 3 standards, as set forth above, the 

engine is deemed to be in compliance with this subsection (e)(6) and no 

further replacements of this engine are required under this subsection. 

Tier 3-certified engines may be used as the replacement engine to 

comply with this paragraph, even if Tier 4-certified engines become 

available by the applicable compliance date; 

 

2. Method C2 – Demonstrate to the E.O.’s written satisfaction that the inuse engine already meets the Tier 2 standards that apply or would apply 

to new engines on the date the Tier 2 standards became effective. 

a. A person may comply under this method by demonstrating to the 

E.O.’s written satisfaction that:

i. the in-use engine already meets the Tier 2 standards, 

ii. which apply to new engines of the same power rating and 

displacement as the in-use engine. 

b. This compliance method is available only if the person makes the 

required demonstration before the date Tier 3 standards become 

effective for new engines of the same size and configuration as the 

in-use engine. The person may rebuild the in-use engine to a 

cleaner standard or implement a diesel emission control strategy to 

aid in meeting these standards. [Note: For example, if the Tier 3 

standards would have become effective on January 1, 2015 for a 

new engine of the same size and configuration as the in-use engine, 

the person would need to provide the Tier 2-compliance 

demonstration to the E.O.’s written satisfaction by January 1, 2015.] 
27 

c. For purposes of the demonstration, the person may, upon approval 

by the E.O., rely on any source of reliable and credible information, 

including but not limited to, any of the following:

i. the results from using the test method specified in section (j) or an 

alternative method approved by the E.O.; 

ii. the in-use engine manufacturer’s certification test data or other 

emissions test data for that in-use engine; 

iii. emissions test data derived from another in-use engine that is 

configured and used in a substantially similar way to the in-use 

engine; 

iv. emissions test data used to meet the regulatory requirements of 

ARB’s Verification Procedure for the non-verified emission control 

strategy implemented; or 

v. emissions test data used to meet the requirements for U.S. EPA 

certification for systems providing remanufacture to a cleaner 

standard. 

The E.O. may, in his/her sole discretion and based on good 

engineering judgment, exclude any information he/she determines is 

not reliable or credible. 

3. Method C3 – Demonstrate to the E.O.’s written satisfaction that the inuse engine already meets the Tier 2 or Tier 3 standards in effect or 

would be in effect for new engines at the time of the applicable 

compliance date. 

a. A person may comply under this method by demonstrating to the 

E.O.’s written satisfaction that:

i. the in-use engine already meets the Tier 2 or Tier 3 standards, 

ii. which apply to new engines of the same power rating and 

displacement as the in-use engine, 

iii. at the time of the applicable compliance date for the in-use 

engine. 

b. To comply with this method, the person may demonstrate that the inuse engine meets the Tier 3 standards, even if Tier 4 standards 

come into effect by the applicable compliance date. The person may 

rebuild the in-use engine to a cleaner standard or implement a diesel 

emission control strategy to aid in meeting these standards. 

c. For purposes of the demonstration, the person may, upon E.O. 

approval, rely on any source of reliable and credible information, 

including but not limited to, any of the following:
28 

i. the results from using the test method specified in section (j) or an 

alternative method approved by the E.O.; 

ii. the in-use engine manufacturer’s certification test data or other 

emissions test data for that in-use engine; 

iii. emissions test data derived from another in-use engine that is 

configured and used in a substantially similar way to the in-use 

engine; 

iv. emissions test data used to meet the regulatory requirements of 

ARB’s Verification Procedure for the non-verified emission control 

strategy implemented; or 

v. emissions test data used to meet the requirements for U.S. EPA 

certification for systems providing remanufacture to a cleaner 

standard. 

The E.O. may, in his/her sole discretion and based on good 

engineering judgment, exclude any information he/she determines is 

not reliable or credible. 

4. Method C4 – Demonstrate to the E.O’s written satisfaction that the inuse engine has not and will not operate 300 or more hours per calendar 

year.

A person may comply under this method by demonstrating to the E.O.’s 

written satisfaction that the engine is a low-use engine. This compliance 

method requires the person to provide records to the E.O. of the 

engine’s total annual hours of operation for the calendar year 

immediately preceding the demonstration. The person must also 

provide documentation sufficient for the E.O. to project future annual 

hours of operation for the engine. The person will be deemed in 

compliance with this method only if such records and documentation 

demonstrate to the E.O.’s written satisfaction that the in-use engine has 

not and will not operate 300 or more hours per calendar year. 

(D) Compliance Dates.

Table 7 and Table 8 below set forth the compliance dates by which a person 

must meet the requirements of subsection (e)(6)(A). Table 7 applies only to 

vessels with a homeport outside of the SCAQMD; Table 8 applies only to 

vessels with a homeport within the SCAQMD. The compliance dates are 

set forth by engine model year and total annual hours of operation (for all 

uses) of the vessel in Regulated California Waters. For Table 7, Method 

D1, D2, or D3 below may be used for determining the actual or effective 

engine model year. For Table 8, only Method D1 or D3 may be used for 

determining the actual or effective engine model year. 
29 

1. Method D1 – the engine’s actual model year of manufacture. 

A person may determine an engine’s compliance date under this method 

by using the engine’s actual model year of manufacture, as documented 

by the sales contract, invoice, purchase order, or other legitimate proof 

of purchase for the engine. The actual model year of manufacture may 

also be shown on a label permanently affixed to the engine by the 

manufacturer. In the event of a conflict between the proof of purchase 

and the permanent label, the date of manufacture shown on the 

permanent label controls. 

2. Method D2 – the engine’s effective model year based on the “Engine’s 

Model Year + 5” method. 

A person may determine an engine’s compliance date under this method 

by calculating the engine’s effective model year as the actual model 

year, using Method D1 above, and adding to that number 5 more years. 

To use this method, the person must use a diesel emissions control 

strategy (DECS) with the engine, as set forth below: 

a. Relative to the emissions without the use of the DECS, the engine 

with the DECS must be demonstrated to the E.O.’s written 

satisfaction as emitting at least 25 percent less diesel PM or NOx, 

and neither of those pollutants are increased by more than 10 

percent. This requirement is met automatically if the DECS is a 

verified DECS (VDECS); 

b. If the DECS is not a VDECS, the person must demonstrate 

compliance with this paragraph by submitting to the E.O. emissions 

data that demonstrate the non-verified emission control technology 

achieves a diesel PM or NOx emission reduction of 25 percent or 

better, using the test methods specified in subsection (j). Upon 

approval of the E.O., the person may submit data derived from the 

use of other test methods to demonstrate to the E.O.’s written 

satisfaction the required 25 percent minimum emission reductions, 

such as: 

i. marine engine certification test data for the harbor craft propulsion 

or auxiliary engine, or engine manufacturer emissions test data; 

ii. emissions test data derived from another engine that is configured 

and used in a substantially similar way to the in-use engine on 

which the emission control strategy is to be used; or 

iii. emissions test data used to meet the regulatory requirements of 

the ARB Verification Procedure for the non-verified emission 

control strategy implemented. 
30 

The E.O. may, in his/her sole discretion and based on good 

engineering judgment, exclude any data derived from the test 

methods under paragraph b above that he/she determines are not 

reliable or credible. 

A person’s use of a DECS or VDECS, which meets the requirements 

of this provision, extends the engine’s compliance date to the 

compliance date for a similar engine that is five model years newer 

(i.e., the actual model year for the engine with the emissions control 

strategy + 5). 

[Note: For example, the owner of a 1995 model year engine on a 

tugboat, which has a homeport outside of SCAQMD and operates in 

Regulated California Waters for 750 hours in 2013, would normally 

be required to meet a December 31, 2014 compliance date, as set 

forth in Table 7. However, if a DECS that meets the requirements of 

this provision is implemented with this engine prior to the 2014 

nominal compliance date, the engine’s actual compliance date would 

be extended to the compliance date for a 2000 model year engine 

(i.e., the effective model year = the 1995 model year + 5). 

Accordingly, in that scenario, the engine’s effective model year would 

extend the compliance date to December 31, 2016]; 

3. Method D3 – the engine’s effective model year based on the “Engine’s 

Tier 1 Rebuild Model Year” method.

A person may determine an engine’s compliance date by demonstrating, 

to the E.O.’s written satisfaction, that the engine is an existing pre-2004 

model year engine that was rebuilt to conform with U.S. EPA Tier 1 

standards prior to January 1, 2008. If the E.O. is thus satisfied, the 

effective model year of the Tier 1 rebuilt engine, for purposes of 

determining the compliance date in Table 7 or Table 8, is the actual year 

in which the Tier 1 rebuild occurred. 
31 

Table 7: Compliance Dates for Vessels with Homeports Outside SCAQMD 

[Note: For example, if a 1982-model year diesel engine on a tugboat operating in Regulated California 

 Waters is used for 750 hours in 2011, the owner or operator must bring the engine into compliance with 

 the requirements of subsection (e)(6)(C) by December 31, 2012.]. 

 

Engine Model Year Total Annual Hours of 

Operation 

Compliance 

Date 

1975 and earlier ≥ 1500 12/31/2009 

1975 and earlier ≥300 and < 1500 12/31/2010 

1976 - 1985 ≥1500 12/31/2011 

1976 - 1985 ≥ 300 and < 1500 12/31/2012 

1986 - 1995 ≥ 1500 12/31/2013 

1986 - 1995 ≥ 300 and < 1500 12/31/2014 

Ferries Only 

1996 - 1999 ≥ 300 12/31/2014 

Vessels Other Than 

Ferries 

1996 - 1999 

≥ 1500 12/31/2015 

Vessels Other Than 

Ferries 

1996 - 1999 

≥ 300 and < 1500 12/31/2016 

2000 ≥ 1500 12/31/2015 

2000 ≥ 300 and < 1500 12/31/2016 

2001 - 2002 ≥ 300 12/31/2017 

2003 ≥ 300 12/31/2018 

2004 ≥ 300 12/31/2019 

2005 ≥ 300 12/31/2020 

2006 ≥ 300 12/31/2021 

2007 ≥ 300 12/31/2022 
32 

Table 8: Compliance Dates for Vessels with Homeport in SCAQMD 

[Note: For example, if a 1982-model year diesel engine on a tugboat operating in Regulated California 

Waters is used for 300 or more hours in 2009, the owner or operator must bring the engine into 

compliance with the requirements of subsection (e)(6)(C) by December 31, 2010.].

(E) Compliance Extensions. 

 Pursuant to this subsection (e)(6)(E), a person subject to the requirements of 

subsection (e)(6)(C) may request in writing to the E.O. an extension to a 

compliance date set forth in subsection (e)(6)(D) (i.e., extension to the “nominal” 

compliance date). The E.O. may grant the person an extension to the nominal 

compliance date for any one of the reasons set forth below. A person granted 

such an extension is deemed to be in compliance with the requirements of 

subsection (e)(6)(C) during the extension period, but only upon written 

authorization from the E.O. made pursuant to this provision and only until the end 

of the extension period. During the extension, the person must meet all other 

requirements of this section. Immediately upon the end of the extension period, 

the person must meet all the applicable requirements of this section, including 

but not limited to, subsection (e)(6)(C). 

 Except as provided in paragraph (e)(6)(E)3 below, the E.O. may not combine 

compliance extensions granted pursuant to this provision with any other 

compliance date extensions, including those set forth in this provision and in 

subsection (e)(6)(D)2 and (D)3. And except as provided in paragraphs (e)(6)(E)2 

and (e)(6)(E)3 below, under no circumstances may the E.O. grant more than one 

compliance extension for any individual engine, set of engines, or harbor craft. 

1. Change in Annual Hours of Operation. 

The E.O. may grant a one-time, maximum one year extension to the 

nominal compliance date set forth in subsection (e)(6)(D), provided the 

Engine Model Year Total Annual Hours of 

Operation Compliance Date 

1979 and earlier > 300 12/31/2009 

1980 – 1985 > 300 12/31/2010 

1986 – 1990 > 300 12/31/2011 

1991 – 1995 > 300 12/31/2012 

1996 – 2000 > 300 12/31/2013 

2001 > 300 13/31/2014 

2002 > 300 12/31/2015 

2003 > 300 12/31/2016 

2004 > 300 12/31/2017 

2005 > 300 12/31/2018 

2006 > 300 12/31/2019 

2007 > 300 12/31/2020 
33 

person demonstrates to the E.O.’s written satisfaction that the all of the 

following have occurred: 

a. The person reasonably determined the vessel engine’s nominal 

compliance date based on the engine’s hours of operation two years 

before the nominal compliance date; and 

b. In the year immediately prior to the nominal compliance date, the 

engine’s annual hours of operation increased significantly from the 

prior year such that the engine’s nominal compliance date would 

have been accelerated from one compliance date to an earlier 

compliance date. 

[Note: For example, suppose an operator has a 1982-model year 

engine on a tugboat, which has a homeport outside of SCAQMD and 

operates for 750 hours in Regulated California Waters in 2010. If it is 

reasonable for the operator to assume the annual hours of operation in 

2011 will be similar to 2010, the operator would project from Table 7 that 

the engine’s compliance date is December 31, 2012, and would plan his 

operations accordingly. However, if the vessel engine’s operation 

increased substantially to 1600 hours in 2011, the engine normally would 

then have its compliance date accelerated to December 31, 2011, 

according to Table 7. The one-year extension would, therefore, extend 

the engine’s actual compliance date back to what it would have been 

without the change in hours of operation (i.e., back to December 31, 

2012).]. 

2. No Suitable Engine Replacement for Harbor Craft. 

The E.O. may grant to a person a one year extension, which can be 

renewed annually, only if the person demonstrates to the E.O.’s written 

satisfaction that there is no suitable Tier 2-certified or Tier 3-certified 

replacement engine available anywhere that can be used in the person’s 

specific vessel, and the person cannot otherwise meet the requirements 

of subsection (e)(6)(C). 

The E.O., in his/her sole discretion, may use any information available to 

the E.O. to rebut the person’s demonstration. For purposes of this 

paragraph, the E.O. may deem an engine as suitable to replace an 

existing engine if the replacement engine is similar in horsepower to the 

existing engine, the replacement engine can fit within the vessel’s engine 

compartment, and installation of the replacement engine would not 

cause the vessel to violate U.S. Coast Guard or other applicable safety 

regulations. The E.O. may not consider the cost of the replacement 

engine, by itself or including installation and downtime costs, in 

determining its suitability as a replacement. 
34 

The application for and issuance of an initial extension and subsequent 

extensions pursuant to this paragraph are subject to the following 

requirements:

a. For an initial extension and all subsequent annual extensions to be 

granted pursuant to this paragraph, the E.O. shall follow the same 

procedures for applying, determining completeness, allowing public 

review and considering public comments, taking final action, and 

publishing E.O. decisions that are set forth in subsection (f) for 

Alternative Control of Emissions (ACE) applications; 

b. The E.O. shall consider all information submitted by the public, 

including but not limited to, information related to the availability of 

replacement engines suitable for the person’s vessel; 

c. Except for the engine(s) for which the extension is sought, the person 

must demonstrate that all other engines subject to the person’s direct 

control meet the requirements of subsection (e)(6);

d. The person must submit the application for an extension so that it is 

received by the E.O. no later than 6 months before the nominal 

compliance date of the engine for which the extension is requested; 

e. The person must identify in the application each engine for which the 

extension is requested; 

f. For each engine identified in paragraph 2 above, the person must 

provide in the application a detailed description of the reasons and 

factors that serve as the basis for the claim that no suitable 

replacement engine is available. This description must include, at a 

minimum, detailed engineering diagrams, calculations, and citations 

to applicable U.S. Coast Guard regulations that support the person’s 

claim that there are no suitable replacement engines available. 

g. After the initial extension, the E.O. may grant additional one year 

extensions, provided the following requirements are met: 

i. All procedures specified in paragraph (e)(6)(E)2.a and 

(e)(6)(E)2.b above are followed; 

ii. The application for an additional extension demonstrates the 

engines identified in paragraph (e)(6)(E)2.c remain in compliance 

with this section; 
35 

iii. The application is received by the E.O. no sooner than 6 months 

but no later than 2 months before the expiration of the previous 

extension; 

iv. The application identifies the engine(s) for which the additional 

extension is requested; 

v. For each engine identified in paragraph (e)(6)(E)2.g.iv above, the 

person must provide in the application a detailed description of 

the reasons and factors that serve as the basis for the claim that 

suitable replacement engines remain unavailable. This 

description must include, at a minimum, detailed engineering 

diagrams, calculations, and citations to applicable U.S. Coast 

Guard regulations that support the person’s claim that there are 

still no suitable replacement engines available. 

3. Equipment Manufacturer Delays or Installation Difficulties. 

Upon written request, the E.O. may grant to a person a 6-month 

extension to the nominal compliance date set forth in subsection 

(e)(6)(D), provided all the following criteria are met: 

a. the person ordered the new replacement engine or other 

equipment necessary to comply with the requirements of 

subsection (e)(6)(C) prior to the nominal compliance date set forth 

in subsection (e)(6)(D); 

b. the purchase order identified in paragraph a above was placed 

with the manufacturer no later than 6 months before the engine’s 

nominal compliance date; 

c. the new engine or equipment has not been received or installed 

since it was ordered due to manufacturing delays or excessive 

difficulties encountered by the engine or equipment installer; and 

d. the applicant for the extension provides documentation to the 

E.O.’s satisfaction that demonstrates the criteria in subparts a. 

through c. above have been met. The E.O. may, in his/her sole 

discretion, use any information available to rebut any of the 

documentation submitted pursuant to subparts a through c above. 

4. Multiple Engines on Multiple Vessels Within Same Fleet and With 

Same Compliance Dates. 

This provision applies only to fleets of 2 or more vessels that are 

owned by the same person. Upon written request, the E.O. may 

grant to the person an extension to the nominal compliance date(s) 

for engines on vessels within such fleets, as set forth below; 
36 

a. For each set of engines on two or more vessels with compliance 

dates of 2009 or 2010 (a “set” means 2 or more engines), the 

E.O. may grant a one-time extension of the compliance date to 

December 31, 2013, provided the E.O. receives and approves a 

compliance schedule from the person that meets the 

requirements set forth below: 

i. The compliance schedule is received by the E.O. no later than 

December 31, 2009; 

ii. For each year, up to and including 2013, that the extension will 

be in effect, the compliance schedule must identify, at a 

minimum, the engines on specified vessels in the fleet that will 

meet the requirements of subsection (e)(6)(C) within any given 

year; 

iii. The compliance schedule must show that all engines with 

compliance dates of 2009 or 2010 on the specified vessels in 

the fleet will be in compliance with subsection (e)(6)(C) by 

December 31, 2013. [Note: For example, an approvable plan 

may show that 25% of these engines on the specified vessels 

in a fleet will be in compliance in 2010, 50% in 2011, 75% in 

2012, and 100% by December 31, 2013.]; and 

iv. The compliance schedule must include all other information 

the E.O. deems necessary and appropriate for implementing 

this provision. 

 

b. For each set of engines on two or more vessels with a compliance 

date of 2011 or later (a “set” means 2 or more engines), the E.O. 

may grant to a person a one-time, maximum one-year extension 

of the nominal compliance date. To receive an extension under 

this provision, the person must submit a written request to the 

E.O. that meets the following requirements: 

i. The request must be received by the E.O. no later than 

December 31st of the year immediately preceding the nominal 

compliance date for the set of engines; and 

ii. The request identifies the engines in each set of engines and 

the vessels in the person’s fleet that are subject to the 

requested extension. 

For all engines within a person’s fleet that have not been granted 

an extension pursuant to paragraphs a or b above, the 
37 

compliance dates for such engines remain as set forth in 

subsection (e)(6)(D). 

(F) Special Provisions Applicable to the Use of a Diesel Emission Control 

Strategy (DECS), including Verified Diesel Emission Control Strategies 

(VDECS). 

The following requirements apply to any person’s use of a DECS pursuant 

to subsections (e)(5) or (e)(6) and are in addition to any other applicable 

requirements: 

1. Once the DECS is installed or otherwise employed on a person’s vessel, 

the person must continue to operate and maintain the DECS, in 

accordance with the manufacturer’s directions, to achieve the original 

level of emission reductions that the DECS was designed and intended 

to achieve; 

2. In the event a DECS fails, breaks down, or is otherwise damaged 

(collectively referred to hereinafter as “fail” or “failure”), the vessel owner 

or operator must, within 90 days of the DECS failure, do at least one of 

the following: 

 

a. repair the DECS to good working order; 

b. replace the failed DECS with another working DECS, if it cannot be 

repaired; or 

c. employ another method that meets the requirements of subsection 

(e)(6)(C) and other applicable provisions of this section, if the DECS 

cannot be repaired. 

 

3. The determination in subpart 2.b and 2.c above of whether a DECS 

cannot be repaired may only be made by either the DECS manufacturer 

or an authorized dealer. 

4. For each replacement DECS installed under subpart 2.b above, the 

person must provide to the E.O. the same documentation for the 

replacement DECS that was required for the DECS that failed, and the 

person must obtain the same E.O. approvals that were required with the 

failed DECS. 
38 

(f) Alternative Control of Emissions (ACE). 

(1) Requirements.

(A) The purpose of this subsection is to allow a person (“person” or “applicant”) 

the option of complying with the requirements of this subsection in lieu of 

the requirements of subsection (e). As set forth in this subsection, a person 

may be deemed in compliance with subsection (e) by implementing an 

alternative emission control strategy(ies) (AECS) approved by the E.O. In 

no case may the E.O. approve an AECS that results in or has the potential 

to result in any increase of diesel PM and NOx emissions or any increase in 

emissions greater than 10 percent for any other pollutant, relative to the 

emissions of diesel PM, NOx, and other pollutants that would have occurred 

under compliance with subsection (e). 

(B) An applicant wishing to participate in an ACE may include one or more 

harbor craft in the ACE, but the applicant may only include harbor craft that 

the person owns or operates under the person’s direct control. 

(C) No harbor craft may be included in more than one ACE plan. 

(D) Harbor craft included in an ACE must continue to be included in and 

operated pursuant to the approved ACE for the duration of the ACE. 

(E) AECS may include, but are not limited to, any combination of the following: 

1. engine modifications; 

2. exhaust treatment control; 

3. engine repower; 

4. use of alternative fuels or fuel additives; 

5. shore-side power; 

6. fleet averaging; and 

7. any other measures that sufficiently reduce emissions. 

(F) A person complying under this provision must obtain E.O. approval of an 

ACE application that demonstrates compliance with this subsection and 

contains, at a minimum, the following information: 

1. the company name, address, and contact information; 

2. the harbor craft and engine(s) subject to the ACE, including the vessel 

name and identification number(s), engine make, model, and serial 

numbers, and other information that uniquely identify the engine; 

3. documentation, calculations, emissions test data, or other information 

that establishes the diesel PM and NOx reductions, expressed in 

pounds, are equal to or greater than the emission reductions that would 

have been achieved upon compliance with subsection (e), including but 
39 

not limited to the requirements specified in subsection (e)(6)(C) and 

(e)(6)(D); and 

4. the proposed recordkeeping, reporting, monitoring, and testing 

procedures that the applicant will use to demonstrate continued 

compliance with the ACE. 

(G) For each ACE, the emission reduction calculations demonstrating 

equivalence with the requirements of subsection (e) may include only those 

diesel PM and NOx emissions from harbor craft with its homeport within a 

single specified California air district, or another defined geographic area 

approved by the E.O. 

(H) A person subject to an approved ACE must maintain operating records in 

the manner and form as specified by the E.O as an element of any 

approved ACE. Required records must include, at a minimum: 

1. all the reporting and recordkeeping requirements specified in 

subsections (g) and (h); 

2. maintenance procedures; and 

3. emissions test results. 

A person subject to an approved ACE must retain records and reports on 

each vessel or at an office at the vessel’s homeport for the lifetime of each 

engine and must submit these records and reports to the E.O. in the manner 

specified in the approved ACE or upon request by the E.O. 

(I) Emission reductions included in an ACE may not include reductions that are 

otherwise required by any local, State, or federal rule, regulation, or statute, 

or that are achieved or estimated from equipment not located in the region 

to which the ACE applies. 

(J) A person subject to an approved ACE may not operate any harbor craft 

under the ACE unless the person has first been notified in writing by the 

E.O. of the ACE’s approval. Prior to such approval, the applicant must 

comply with the provisions of this section, including the requirements in 

subsection (e)(6)(C) and (e)(6)(D). 

(2) Application Process. 

(A) Applications for an ACE must be submitted in writing to the Executive 

Officer for evaluation. 

(B) The E.O. shall establish an internet site (“ACE internet site”) in which all 

documents pertaining to an ACE application shall be made available for 

public review. The E.O. shall also provide a copy of all such documents to 

each person who has requested copies of the documents; these persons 
40 

shall be treated as interested parties. The E.O. shall provide two separate 

public comment periods during the ACE application process, as specified in 

subsection (f)(2)(D) and (f)(2)(E). 

 

(C) Completeness Determination. 

Within 15 days after receiving an ACE application, the E.O. shall notify an 

applicant whether the application is deemed sufficiently complete to proceed 

with further evaluation. If the application is deemed incomplete, the 

notification shall identify the application’s deficiencies. The E.O. shall have 

an additional 15-day period for reviewing each set of documents or 

information submitted in response to an incomplete determination. Nothing 

in this subsection prohibits the E.O. from requesting additional information 

from the applicant, during any part of the ACE application process, which 

the E.O. determines is necessary to evaluate the application. 

(D) Notice of Completeness and 30-Day First Public Comment Period. 

After an ACE application has been deemed complete, the E.O. shall provide 

a 30-day public comment period to receive comments on any element of the 

ACE application and whether the E.O. should approve or disapprove the 

ACE application based on the contents and merits of the application. The 

E.O. shall notify all interested parties of the following: 

1. the applicant(s); 

2. the start and end dates for the 30-day first comment period; and 

3. the address of the ACE internet site where the application is posted. 

The E.O. shall also make this notification available for public review on the 

ACE internet site. 

(E) Proposed Action and 15-Day Second Public Comment Period. 

 Within 30 days after the first public comment period ends, the E.O. shall 

notify the applicant and all interested parties of ARB’s proposed approval or 

disapproval. This notification shall propose to approve the application as 

submitted, disapprove the application, or approve the ACE application with 

modifications as deemed necessary by the E.O. The notification shall 

identify the start and end dates for the 15-day second public comment 

period. 

 During the second public comment period, any person may comment on the 

E.O.’s proposed approval or disapproval of the ACE application and any 

element of the application. The E.O. shall also make this notification 

available for public review on the ACE internet site. 
41 

 (F) Final Action. 

Within 15 days after the second public comment period ends, the E.O. shall 

take final action to either approve or deny an ACE application and shall 

notify the applicant accordingly. If the application is denied or modified, the 

E.O. shall state the reasons for the denial or modification in the notification. 

The notification to the applicant and approved ACE plan, if applicable, shall 

be made available to the public on the ACE internet site. In addition, the 

E.O. shall consider and address all comments received during the first and 

second public comment periods, and provide responses to each comment 

on the ACE internet site. 

(G) Renewal of an Approved ACE. 

An applicant may apply for renewal of an approved ACE by forwarding the 

E.O. updated information for all elements of the approved ACE for review 

and re-approval. The applicant must submit the renewal application so that 

the E.O. receives the application no later than 30 days prior to the end of 

the ACE compliance period. 

(H) Notification to the E.O. of Changes to an Approved ACE. 

 A person with an approved ACE must notify the E.O. in writing within 

30 days upon learning of any information that would alter the emissions 

estimates submitted during any part of the ACE application process. If the 

E.O. has reason to believe that an approved ACE has been granted to a 

person that no longer meets the criteria for an ACE, the E.O. may, pursuant 

to subsection (f)(3) below, modify or revoke the ACE as necessary to assure 

that the applicant and subject vessel(s) meet the emission reduction 

requirements in this section. 

(3) Revocation or Modification of Approved ACEs. 

 With 30 days of notice of violation to the ACE holder, the E.O. may revoke or 

modify, as needed, an approved ACE if any of the following apply: 

(A) there have been multiple violations of the ACE provisions or the 

requirements of the approved ACE plan; 

(B) the E.O. has reason to believe that an approved ACE has been granted that 

no longer meets the criteria or requirements for an ACE; or 

(C) the person can no longer comply with the requirements of the approved 

ACE in its current form. 
42 

Public notification of a revocation or modification of an approved ACE shall be 

made available on the ACE internet site. 

(g) Recordkeeping Requirements. 

Beginning January 1, 2009, the owner or operator of a harbor craft must maintain the 

records specified in this subsection on the vessel or at the vessel’s homeport for the life 

of each engine subject to this section. The owner or operator must provide such 

records for inspection to an agent or employee of ARB upon request for all harbor craft 

subject to this section. Records may be provided as a hard copy, electronic, or any 

alternative reporting strategy approved by the E.O. Records provided by the person 

under this provision must include, at a minimum, the following: 

(1) Owner or Operator Contact Information: 

(A) Company name; 

(B) Contact name, phone and fax number, address, e-mail address; 

(C) Address where vessel is registered; and

(D) Reporting year.

(2) Vessel information: 

(A) Harbor craft name; 

(B) Specify vessel use(s) (ferry, excursion vessel, tugboat, ocean-going 

tugboat, towboat, push boat, work boat, commercial fishing vessel, charter 

fishing vessel, crew and supply vessel, pilot vessel, or other if none of the 

preceding apply); 

(C) Vessel homeport; 

(D) Vessel build year; 

(E) U.S. Coast Guard documentation number; 

(F) California Fish and Game license number; 

(G) International Maritime Organization (IMO) number; 

(H) Call Sign number; and 

(I) Maritime Mobile Service identity number. 

(3) Engine Information (for each diesel engine on the vessel): 

(A) Current hour meter reading; 

(B) Make of engine; 

(C) Model of engine; 

(D) Engine family (if applicable); 

(E) Engine serial number; 

(F) Year of manufacture of engine (if unable to determine, provide its 

approximate age); 

(G) Rated brake horsepower; 

(H) Total engine displacement; and 

(I) Number of cylinders. 
43 

(4) Operational Information: 

(A) Describe the general use of engine (propulsion or auxiliary engine); 

(B) Total annual hours of operation, based upon readings of the non-resettable 

hour meters for previous calendar year per engine (for engines without an 

hour meter before 2009, provide an estimate); 

(C) Estimated annual fuel usage per engine; and 

(D) Estimated percent operating time as a function of distance from shore at the 

distances below: 

1. 0-3 nautical miles; and 

2. >3-24 nautical miles; and 

3. >24 nautical miles from shore. 

(5) Control Equipment (if applicable): 

(A) Type of diesel emission control strategy; 

(B) Manufacturer of installed diesel emission control strategy; 

(C) Model of installed diesel emission control strategy; 

(D) Level of control – air pollutants controlled and percent reductions; 

(E) Emission control serial number; and 

(F) Date control equipment installed. 

(6) Maintenance records for each installed engine and diesel emission control 

strategy: 

(A) Hour meter reading at last top end rebuild (i.e., less than full rebuild); 

(B) Hour meter reading at last full engine rebuild; and 

(C) Number of times full engine rebuild completed. 

(7) The retirement date for each near-retirement vessel for which an owner or 

operator is claiming an exemption pursuant to subsection (c)(13). 

(8) For each engine for which the model year is determined using the “Engine’s 

Model Year + 5” method pursuant to subsection (e)(6)(D)2: 

(A) the name and contact information (representative, address, and phone 

number) for the manufacturer of the emission control strategy; 

(B) the name and type of emission control strategy; 

(C) the installation date of the emission control strategy; and, 

(D) if a VDECS is not being used for this purpose, the test plan, and the data 

demonstrating the emission reductions achieved due to the emission control 

strategy. 

(9) For each engine for which an owner or operator is claiming an extension 

pursuant to subsection (e)(6)(E)3, the purchase order or signed contract between 

the owner or operator and seller of the new engine or equipment that has been 

purchased to comply with subsection (e)(6)(C) and (e)(6)(D). 
44 

(10) For each engine an owner or operator claims to have replaced, written 

documentation that the engine has been dismantled or destroyed. 

(11) Records for each engine must be retained by the owner or operator for the entire 

engine life. 

(12) All records specific to an E.O. approved ACE plan. 

(13) All records specific to a BACT approved by the E.O. pursuant to subsection 

(e)(5). 

(h) Initial and Compliance Plan Reporting Requirements.

(1) Initial Reporting of California Harbor Craft Fleet. By February 28, 2009, a person 

subject to this section must submit the information specified in subsections (g)(1) 

through (g)(6) for all harbor craft vessels in his/her California fleet. For purposes 

of this paragraph, “California fleet” means the total population of harbor craft 

under the person’s direct control as of January 1, 2009. 

(2) Compliance Plan. By February 28 of the year vessel engine compliance is 

required, a person subject to the requirements of subsection (e)(6)(C) and 

(e)(6)(D) must submit a Compliance Plan to the E.O. that describes in detail the 

engine replacements, rebuilds, upgrades, use of DECS, and any other measures 

the person plans to use to meet the requirements of subsection (e)(6)(C) and 

(e)(6)(D) for each of the person’s engines and harbor craft. The person may 

revise the Compliance Plan, as needed, but the person must notify the E.O. 

within 10 business days of any changes to the Compliance Plan after the initial 

Compliance Plan is submitted. The Compliance Plan is for the E.O.’s 

informational and planning use only, and the substantive contents of the plan are 

not binding on either the E.O. or the person who submitted the Compliance Plan. 

The E.O.’s receipt and acceptance of a submitted Compliance Plan shall not 

constitute or be interpreted as evidence of compliance with the requirements of 

subsection (e)(6)(C) or (e)(6)(D). 

(3) Demonstration of Compliance. By no later than the applicable compliance date 

specified in subsection (e)(6)(D), a person subject to the requirements of 

subsection (e) must provide the following information to the E.O.: 

(A) All information specified in subsections (g)(1) through (g)(6), and 

(B) The implementation date and the emission control strategy implemented for 

each engine in accordance with the requirements of subsection (e)(6)(D) 

and (e)(6)(C), respectively, for purposes of demonstrating compliance.
45 

(4) Reporting for Change of Annual Hours of Operation, Vessel Category/Use, 

Transfers of Vessels, or a Change of Ownership of Vessel or Engine. 

(A) A person subject to this section must submit to the E.O. the information 

specified in subsection (g)(1) through (g)(6) within 30 days of a significant 

change of annual hours of operation (i.e., enough to change the engine’s 

compliance date), vessel category/use, purchase, lease, rental, or change 

of ownership of the vessel or engine. In the case of a purchase, lease, 

rental, or change in ownership, the party in control or possession of the 

engine or vessel after the transaction is responsible for meeting the 

requirements of this paragraph; 

(B) Within 90 days of a significant change of annual hours of operation, vessel 

category/use, purchase, lease, rental, or change of ownership, or by the 

earliest applicable compliance date specified in subsection (e)(6)(D), 

whichever is later, a person subject to subsection (e)(6) shall submit a new 

Compliance Plan with the updated information pursuant to the Compliance 

Plan requirements specified in paragraph 2 above. 

(i) Violations.

(1) A person who is subject to this section and commits a violation of any 

provision, standard, criteria, or requirement in this section is subject to the 

penalties, injunctive relief, and other remedies specified in H&S section 42400 et 

seq.; H&S section 42402 et seq.; other applicable sections in the Health and 

Safety Code; and other applicable provisions as provided under California law for 

each violation. Nothing in this section shall be construed to limit or otherwise 

affect any applicable penalties or other remedies available under federal law. 

(2) Any failure to meet any provision, standard, criteria, or requirement in this 

section, including but not limited to the applicable emission limits; 

recordkeeping requirements; and ACE provision, including the requirements of 

any approved ACE plans, shall constitute a single, separate violation of this 

section for each hour that a person operates a vessel within the Regulated 

California Waters until such provision, standard, criteria, or requirement has been 

met. 

(3) A person who is subject to this section is liable for meeting the requirements 

of this section, notwithstanding any contractual arrangement that person may 

have with any third-parties. 

(j) Methods to Demonstrate Compliance with Engine and Fuel Standards.

(1) Diesel PM, NOx, NO, CO, HC, NMHC, and CO2 testing must be done in 

accordance with the applicable method specified in the following procedures: 

International Organization for Standardization (ISO) 8178-2: 1996(E) (“ISO 8178 
46 

Part 2”); (2) ISO 8178-4: 1996(E) (“ISO 8178 Part 4”); and applicable methods 

and procedures specified in 40 CFR Part 94 (as amended in 2007), all of which 

are incorporated herein by reference.

(2) The E.O. may approve in writing any alternative test methods not specified in 

paragraph (1) above that the method’s proponent has demonstrated to the E.O.’s 

satisfaction provides equivalent or better results to the methods in paragraph (1). 

(k) Right of Entry. 

 An agent or employee of the ARB has the right of entry to board any harbor craft 

for the purpose of inspecting propulsion and auxiliary engines, emission control 

strategies, fuel systems, and fuel storage; collecting fuel sample(s) not to exceed 

one liter per fuel tank; and acquiring and inspecting records required pursuant to 

this section.

(l) Severability. 

 If any subsection, paragraph, subparagraph, sentence, clause, phrase, or portion 

of this regulation is, for any reason, held invalid, unconstitutional, or 

unenforceable by any court of competent jurisdiction, such portion shall be 

deemed as a separate, distinct, and independent provision, and such holding 

shall not affect the validity of the remaining portions of the regulation. 

(m) Submittal of Documents. 

(1) All documents required under this regulation must be submitted to the Executive 

Officer as follows: 

 California Air Resources Board 

 Stationary Source Division 

 Emissions Assessment Branch 

 Control Strategies Section, Harbor Craft 

 P.O. Box 2815 

 Sacramento, California 95812-2815 

(2) Electronic submittals of information associated with compliance with this section 

may be approved by the E.O. upon request, provided such electronic submittals 

use digital signatures that meet the requirements specified in Government Code 

section 16.5. The E.O. may request the submittal of a hard copy of any 

electronic submittal. 

NOTE: Authority cited: Sections 39600, 39601, 39650, 39658, 39659, 39666, and 

41511, Health and Safety Code. Reference: Sections 39650, 39658, 39659, 39666, 

41510, and 41511, Health and Safety Code.