FINAL REGULATION ORDER 

AIRBORNE TOXIC CONTROL MEASURE FOR 

AUXILIARY DIESEL ENGINES OPERATED ON 

OCEAN-GOING VESSELS AT- BERTH IN A CALIFORNIA PORT

Adopt new section 93118.3, title 17, chapter 1, subchapter 7.5, California Code of 

Regulations (CCR), to read as follows: 

(Note: The entire text of section 93118.3 is new language.) 

Section 93118.3. Airborne Toxic Control Measure for Auxiliary Diesel Engines 

Operated on Ocean-Going Vessels At-Berth in a California Port. 

(a) Purpose. 

The purpose of this section is to reduce oxides of nitrogen (NOx) and diesel particulate 

matter (PM) emissions from the operation of auxiliary engines on container vessels, 

passenger vessels, and refrigerated cargo vessels while these vessels are docked at 

berth at a California port. This section reduces emissions by limiting the time during 

which auxiliary diesel engines are operated on the regulated vessels while such vessels 

are docked at-berth in a California port, as well as by applying other requirements. This 

section implements provisions of the Goods Movement Emission Reduction Plan, 

adopted by the Air Resources Board (ARB) in April 2006, to reduce emissions and 

health risk from ports and the movement of goods in California. This section also helps 

achieve the goals specified in the California Global Warming Solutions Act of 2006, 

established under California law by Assembly Bill 32 (Stats. 2006, ch. 488) and set forth 

in Health and Safety Code § 38500 et seq. 

(b) Applicability and General Exemptions. 

 

(1) Except as provided in this subsection (b), this section applies to any person 

who owns, operates, charters, rents, or leases any U.S. or foreign-flagged 

container vessel, passenger vessel, or refrigerated cargo vessel that visits a 

California port. In addition, this section also applies to any person who owns 

or operates a port or terminal located at a port where container, passenger, or 

refrigerated cargo vessels visit. 

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

in any way any applicable U.S. Coast Guard requirements. Any person 

subject to this section shall be responsible for ensuring compliance with both 

U.S. Coast Guard regulations and the requirements of this section, including 

but not limited to, obtaining any necessary approvals, exemptions, or orders 

from the U.S. Coast Guard. 
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 (3) The requirements of this section do not apply to: 

 (A) Ocean-going vessel voyages that consist of continuous and expeditious 

navigation through any of the Regulated California Waters for the 

purpose of traversing such bodies of water without entering California 

internal or estuarine waters or calling at a port, roadstead, or terminal 

facility. “Continuous and expeditious navigation” includes: 

 1. Stopping and anchoring only to the extent such stopping and 

anchoring are required by the U.S. Coast Guard; 

 2. Rendered necessary by force majeure or distress; or 

 3. Made for the purpose of rendering assistance to persons, ships, or 

aircraft in danger or distress. 

 This exemption does not apply to the passage of an ocean-going vessel 

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 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. 

 (B) Auxiliary engines on-board ocean-going vessels owned or operated by 

any branch of local, state, federal government, or by a foreign 

government, when such vessels are operated on government 

 non-commercial service. However, such vessels are encouraged to act 

in a manner consistent, so far as is reasonable and practicable, with this 

section. 

 (C) Steamships while berthed at a California port. 

 

 (D) Auxiliary engines while such engines are operating primarily on liquefied 

natural gas or compressed natural gas. 

 (E) Except as otherwise specified in subsection (d)(1)(I), fleets meeting the 

following criteria: 

1. A fleet composed solely of container or refrigerated cargo vessels 

that visits the same California port fewer than 25 times total in a 

calendar year; and 

2. A fleet composed solely of passenger vessels that visits the same 

California port fewer than 5 times total in a calendar year. 
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(c) Definitions.

For purposes of this section, the definitions in Health and Safety Code sections 39010 

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

(1) “Alternative Control Technologies” means technologies, techniques, or 

measures that reduce the emissions of NOx and PM from an auxiliary diesel 

engine other than shutting down the engine. 

(2) “Auxiliary Engine” means an engine on an ocean-going vessel designed 

primarily to provide power for uses other than propulsion, except that all 

diesel-electric engines shall be considered “auxiliary diesel engines” for 

purposes of this section. 

(3) “Baseline Fleet Emissions” means the total emissions from all vessels in a 

fleet during all berthing times in a calendar year or other specified time period. 

For purposes of calculating the baseline fleet emissions, the auxiliary engines 

on the vessels in the fleet shall be assumed to use marine gas oil or marine 

diesel oil while at berth. 

(4) “Baseline Fleet Power Generation” refers to the electrical power used by all 

vessels in the fleet while the vessels are docked at berths located at a 

California Port during a calendar quarter or other time period specified in the 

regulation. 

(5) “Berthing Time” means the time period that begins when the vessel is first tied 

to the berth and ends when the vessel is untied from the berth. 

(6) “California Ports” means: 

(A) The Port of Hueneme, the Port of Los Angeles (POLA) and Port of Long 

Beach (POLB), the Port of Oakland, the Port of San Diego, and the Port 

of San Francisco; and 

(B) For purposes of this section, POLA and POLB are treated as one port. 

(7) “Charter Agreement” means a lease or agreement to hire a vessel or other 

means of conveyance to transport goods or passengers to one or more 

designated locations. 

(8) “Container Vessel” means a self-propelled ocean-going vessel constructed or 

adapted primarily to carry uniform-sized ocean freight containers. 

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

engine with operating characteristics significantly similar to the theoretical 

diesel combustion cycle. The regulation of power by controlling fuel supply in 

lieu of a throttle is indicative of a compression ignition engine. 
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(10) “Diesel-Electric Engine” means a diesel engine connected to a generator that 

is used as a source of electricity for propulsion or other uses. 

(11) “Diesel Particulate Matter” means the particles found in the exhaust of diesel 

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

of complex physical and chemical properties. 

(12) “Distributed Generation” shall have the same meaning as that term is defined 

in title 17, CCR, section 94202. 

(13) “Docked at the Berth” means the state of being tied to a berth. 

(14) “Emergency Event” means the period of time during which any of the following 

events occurs; the emergency event begins when such an event begins and 

ends when the event is over: 

(A) Any situation arising from a sudden and reasonably unforeseeable 

event beyond the control of the master that threatens the safety of the 

vessel; or 

(B) The utility serving the port cannot provide electrical power to the port as 

a result of equipment failure, a transmission emergency, distribution 

emergency, a California Independent System Operator (CAISO) or

Los Angeles Department of Water and Power (LADWP) Stage 3 

emergency, or the utility needs to reduce power to the port because of a 

sudden and reasonably unforeseeable natural disaster, such as, but not 

limited to, an earthquake, flood, or fire; or 

(C) When the utility providing electrical power to the port notifies the terminal 

operator(s) to reduce the use of grid-based electrical power in response 

to a transmission or distribution emergency, a CAISO or LADWP 

Stage 3 emergency, or to avoid a Stage 3 emergency if one is 

anticipated. The emergency event ends when CAISO or LADWP 

cancels the Stage 3 emergency or the utility notifies the terminal 

operator(s) that reduction in the use of grid-based electrical power is no 

longer necessary. The port may contact the terminal operator(s) on 

behalf of the utility if such an agreement exists between the utility and 

the port; or 

(D) The electrical system at the terminal cannot provide electrical power as a 

result of equipment failure. 

(15) “Executive Officer” means the executive officer of the Air Resources Board 

(ARB), or his or her designee. 
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(16) “Fleet” means all container, passenger, and refrigerated cargo vessels, visiting 

a specific California port, which are owned and operated by, or otherwise 

under the direct control, of the same person. Direct control includes, but is 

not limited to, vessels that carry cargo or passengers for the person pursuant 

to a charter agreement or other arrangement with a third-party for the thirdparty to operate the vessel. For purposes of this definition, "direct control" 

does not include the vessel master or any other member of the vessel crew, 

unless the crew member is also the owner of the vessel. For the purposes of 

this section, a person shall be deemed to have separate fleets for each 

California port visited and each fleet is composed of one type of vessel. For 

example, if a person owns or operates vessels that visit both the Port of 

Los Angeles and Port of Oakland, that person is deemed to have two fleets, 

one a “POLA-based fleet” and the other a “Port of Oakland-based fleet.” 

(17) “Marine Diesel Oil” means any fuel that meets all the specifications for DMB 

grades as defined in Table I of International Standard ISO 8217, as revised in 

2005, which is incorporated herein by reference. 

 

(18) “Marine Gas Oil” means any fuel that meets all the specifications for DMX or 

DMA grades as defined in Table I of International Standard ISO 8217, as 

revised in 2005, which is incorporated herein by reference.

(19) “Master” means the person who operates an ocean-going vessel or is 

otherwise in charge of the vessel’s operations. 

(20) “Ocean-Going Vessel” means a commercial, government, or military vessel 

meeting any one of the following criteria: 

(A) A vessel greater than or equal to 400 feet in length overall (LOA) as 

defined in 50 Code of Federal Regulations (CFR) § 679.2, as adopted 

June 19, 1996; 

(B) A vessel greater than or equal to 10,000 gross tons (GT ITC) pursuant to 

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 

per-cylinder displacement of greater than or equal to 30 liters. 

For the purposes of this section, “ocean-going vessel” will be used 

interchangeably with the term “vessel.” 

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

while the vessel is underway, moored, anchored, or at berth. 
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(22) “Own” means having all the incidents of ownership, including the legal title, of 

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

having or being entitled to the possession of a vessel as the purchaser under 

a conditional sale contract; or being the mortgagor of a vessel. 

(23) “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. 

(24) “Particulate Matter” means any airborne finely divided material, except 

uncombined water, which exists as a liquid or solid at standard conditions 

(e.g., dust, smoke, mist, fumes, or smog). 

(25) “Passenger Vessel” means a self-propelled vessel constructed or adapted 

primarily to carry people. 

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

(A) Any person, agent, firm, association, organization, partnership, business 

trust, corporation, limited liability company, company, consortium, or any 

other commercial relationship; 

(B) Any state or local governmental agency or public district, or any officer or 

employee thereof; and 

(C) The United States or its agencies, to the extent authorized by federal 

law. 

(27) “Post-Baseline Fleet Emissions” means the total emissions from all vessels in 

a fleet after the application of one or more control techniques, such as 

alternative control technologies, electrical power from the utility grid, and 

electrical power from sources that are not part of the utility’s electrical grid 

(distributed generation), during all berthing times in a calendar year or other 

specified time period. For purposes of calculating the baseline fleet 

emissions, the auxiliary engines on the vessels in the fleet shall be assumed 

to use marine gas oil or marine diesel oil while at berth. 

(28) “Refrigerated Cargo Vessel” (commonly known as “reefer”) means a selfpropelled vessel constructed or adapted primarily to carry refrigerated cargo. 

Refrigerated cargo vessels include vessels where the cargo may be stored in 

large refrigerated rooms within the vessel or vessels that carry refrigerated 

cargo containers exclusively. 
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(29) “Regulated California Waters” means all of the following: 

(A) all California internal waters; 

(B) all California estuarine waters; 

(C) all California ports, roadsteads, and terminal facilities (collectively 

“ports”); 

(D) all waters within 3 nautical miles of the California baseline, starting at the 

California-Oregon border and ending at the California-Mexico border at 

the Pacific Ocean, inclusive; 

(E) all waters within 12 nautical miles of the California baseline, starting at 

the California-Oregon border and ending at the California-Mexico 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. 

(30) “Responsible Official” means the individual(s) with the authority to certify that 

all vessels in a fleet comply with applicable requirements of this regulation. 

(31) “Shore power” refers to electrical power being provided by either the local 

utility or by distributed generation. 

(32) “Steamship” means a self-propelled vessel in which the primary propulsion 

and electrical power are provided by steam boilers.

(33) “Synchronous Power Transfer” means the synchronized switchover in vesselbased power to shore-based power without a loss in power during such 

transfer. 

(34) “Terminal” means a facility consisting of wharves, piers, docks and other 

berthing locations and adjacent storage, which are used primarily for loading 

and unloading of passengers, cargo or material from vessels or for the 

temporary storage of this cargo or material on-site. 

(35) “Terminal Operator” means a person who leases terminal property from a port 

for the purpose of loading and unloading of passengers, cargo or material 

from vessels or for the temporary storage of this cargo or material on-site. 

(36) “Utility” shall have the same meaning and be used interchangeably with the 

term “Electric Utility” as defined in Public Resources Code section 25108. 
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(37) “Verified Emission Control Strategy” means an emission control strategy that 

has been verified pursuant to the “Verification Procedure for In-Use Strategies 

to Control Emissions from Diesel Engines” in title 13, California Code of 

Regulations, commencing with section 2700, which is incorporated herein by 

reference. 

(38) “Visit” means the time period that begins when an ocean-going vessel initially 

ties to a berth (the beginning of the visit) and ends when it casts off the lines 

(the end of the visit) at a berth in a California port. For the purposes of 

determining the number of visits by a fleet, separate and sequential visits 

shall collectively be deemed a single visit when a vessel ties to two or more 

berths at the same California port and the time interval between leaving one 

berth and tying to another berth in the same port is less than two hours. 

(d) Vessel In-Use Operational Requirements. 

(1) Reduced Onboard Power Generation Option 

(A) 2014 Requirements 

 Except as provided in subsection (d)(2), beginning January 1, 2014, the 

following shall apply to a fleet visiting a California port: 

1. At least 50 percent of the fleet’s visits to the port shall meet the 

onboard auxiliary diesel engine operational time limits in subsection 

(d)(1)(D); and 

2. The fleet’s onboard auxiliary-diesel-engine power generation while 

docked at the berth shall be reduced by at least 50 percent from the 

fleet’s baseline power generation. 

(B) 2017 Requirements 

Except as provided in subsection (d)(2), beginning January 1, 2017, the 

following shall apply to a fleet visiting a California port: 

1. At least 70 percent of the fleet’s visits to the port shall meet the 

onboard auxiliary diesel engine operational time limits in subsection 

(d)(1)(D); and 

2. The fleet’s onboard auxiliary-diesel-engine power generation while 

docked at the berth shall be reduced by at least 70 percent from the 

fleet’s baseline power generation. 
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(C) 2020 Requirements 

 Except as provided in subsection (d)(2), beginning January 1, 2020, the 

following shall apply to a fleet visiting a California port: 

1. At least 80 percent of a fleet’s visits to the port shall meet the onboard 

auxiliary diesel engine operational time limits in subsection (d)(1)(D); 

and 

2. The fleet’s onboard auxiliary-diesel-engine power generation while 

docked at the berth shall be reduced by at least 80 percent from the 

fleet’s baseline power generation. 

 

(D) Limits on Hours of Operation 

1. Except as exempt in subsection (d)(1)(E), auxiliary diesel engines 

onboard vessels subject to subsection (d)(1)(A), (d)(1)(B), and 

(d)(1)(C) shall meet the following operational limits while at berth for 

the specified percentage of visits by the fleet: 

a. Three hours total per visit to a berth, provided the visiting vessel 

uses a synchronous power transfer process to change from 

vessel-based power to shore-based power; or 

b. Five hours total per visit to a berth, provided the visiting vessel 

does not use a synchronous power transfer process to change 

from vessel-based power to shore-based power. 

 For example, if a fleet is subject to subsection (d)(1)(A) and makes 

10 visits to a California port in a calendar quarter, in at least 5 of those 

visits, the auxiliary diesel engines on the vessels shall be operated no 

more than a combined 3 or 5 hours total, depending on whether a 

synchronous power transfer is used. The 3- and 5-hour limit applies to 

the combined operating time for all auxiliary diesel engines used in a 

vessel visit, rather than on a per-engine basis. 

(E) Exemptions to Limits on Hours of Operation 

1. Emergency Event 

All of the following requirements apply to claimed exemptions to limits 

on hours of operation based on emergency events: 

a. If the master of the vessel reasonably and actually determines 

that an emergency event, as defined in subsection (c)(14), occurs 

during the vessel’s visit to a California port, the master of the 
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vessel may operate the vessel’s auxiliary engines during the 

emergency event: 

b. The master shall not operate the vessel’s auxiliary engines for 

more than one hour beyond the time when the master receives 

notification that the emergency event is over or determines that 

the emergency event is over; and 

c. The provisions of paragraph (b) above notwithstanding, the 

master may continue to operate the auxiliary engines for no more 

than five hours if the master receives notification that the 

emergency event is over or determines that the emergency event 

is over, and the vessel is scheduled to leave port within five 

hours. 

2. Delays Caused By the United States (U.S.) Coast Guard or 

Department of Homeland Security Inspections 

The Executive Officer may extend the three-hour/five-hour 

operational requirement in subsection (d)(1)(D) if the following criteria 

are met: 

a. The initial inspection and clearance of the vessel by the 

Department of Homeland Security exceeds one hour. The time 

extension granted shall be commensurate with the excess time 

necessary for inspection and clearance; or 

b. After the auxiliary engines have been put back into service 

pending departure from the berth, the scheduled departure of the 

vessel has been delayed by U.S. Coast Guard or the Department 

of Homeland Security. 

(F) Adjustments for Visits Meeting Exemption Criteria 

 The following adjustments can be made to visits meeting the exemption 

criteria where the vessel is capable of using shore power: 

1. Visits exceeding the operational time limits in (d)(1)(D) that meet the 

exemption criteria in (d)(1)(E) shall be counted towards compliance 

with the minimum-visit requirements of (d)(1)(A), (d)(1)(B), and 

(d)(1)(C). 

 2. The onboard auxiliary diesel engine power generation associated 

with each visit meeting the exemption criteria in (d)(1)(E) above shall 

be excluded from the fleet’s power reduction calculations pursuant to 

section (e)(1)(D). 
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(G) Compliance Periods 

Compliance with the requirements in subsection (d)(1)(A), (d)(1)(B), and 

(d)(1)(C), shall be determined quarterly for the periods specified as 

follows: 

1. January 1 through March 31, inclusive; 

2. April 1 through June 30, inclusive; 

3. July 1 through September 30, inclusive; and 

4. October 1 through December 31, inclusive. 

(H) No person shall sell, supply, offer to supply, or purchase electrical power 

for use on a vessel during a visit in lieu of using the on-board auxiliary 

diesel engines, unless such electrical power is either supplied by the 

local utility or is otherwise generated by equipment that meets the 

following emission standards: 

1. NOx emissions no greater than 0.03 gram per kilowatt-hour 

(g/kW-hr); 

2. PM emissions equivalent to the combustion of natural gas with a fuel 

sulfur content of no more than one grain per 100 standard cubic foot; 

3. Carbon dioxide (CO2) emissions shall be no greater than 

500 g/kW-hr; and 

4. Ammonia emissions no greater than five parts per million on a dry 

volume basis (ppmdv), if selective catalytic reduction (SCR) is used. 

(I) Notwithstanding the requirements specified in subsection (d)(1)(A), 

(d)(1)(B), and (d)(1)(C), any ocean-going vessel equipped to receive 

shore power that visits a terminal with a berth equipped to provide 

compatible shore power shall utilize the shore power during every visit to 

that berth, unless the berth is already occupied with a vessel receiving 

shore power. This requirement shall not apply under the following 

circumstances: 

1. The master of the vessel reasonably and actually determines that an 

emergency event, as defined in subsection (c)(14)(A), is in effect and 

the use of shore power during the emergency event would endanger 

the vessel’s safety. Shore power shall be used for the remainder of 

the visit once the master determines that the emergency event no 

longer exists; 
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2. An emergency event, as defined in subsection (c)(14)(B),(c)(14)(C), 

or (c)(14)(D) is in effect. Shore power shall be used for the 

remainder of the visit once the emergency event is no longer in 

effect; or 

3. The equipment on the vessel that allows the use of electricity from 

the terminal fails to function and the master of the vessel has made 

the necessary effort to repair the equipment as documented pursuant 

to subsection (g)(1)(B)1g. 

 

(2) Equivalent Emissions Reduction Option

The purpose of this provision is to allow any person the option of complying 

with the requirements of this subsection (d)(2) in lieu of meeting the 

requirements of subsection (d)(1). 

(A) Requirements 

 For fleets using one or more control techniques including electric power 

from the utility grid, electrical power from sources that are not part of an 

utility’s electrical grid (distributed generation), or alternative control 

technologies to reduce the emissions of the fleet, the owner or operator 

of the fleet shall comply with the following schedule and compliance 

period: 

1. For each calendar year beginning on January 1, 2010 through 

December 31, 2011, inclusive, the NOx and PM emissions from the 

fleet’s auxiliary engines when the vessels in the fleet are docked at 

the berth must be reduced by10 percent from the baseline fleet 

emissions. 

2. For each calendar year beginning on January 1, 2012, through 

December 31, 2013, inclusive, the NOx and PM emissions from the 

fleet’s auxiliary engines when the vessels in the fleet are docked at 

the berth must be reduced by 25 percent from the baseline fleet 

emissions. 

3. For the quarter beginning on January 1, 2014, and each subsequent 

quarter through December 31, 2016, inclusive, the NOx and PM 

emissions from the fleet’s auxiliary engines when the vessels in the 

fleet are docked at the berth must be reduced by 50 percent from the 

baseline fleet emissions. 

4. For the quarter beginning on January 1, 2017, and each subsequent 

quarter through December 31, 2019, inclusive, the NOx and PM 

emissions from the fleet’s auxiliary engines when the vessels in the 
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fleet are docked at the berth must be reduced by 70 percent from the 

baseline fleet emissions. 

5. For the quarter beginning on January 1, 2020, and each subsequent 

quarter thereafter, the NOx and PM emissions from the fleet’s 

auxiliary engines when the vessels in the fleet are docked at the 

berth must be reduced by 80 percent from the baseline fleet 

emissions. 

(B) Vessels Using Grid-Based Shore Power as a Control Technique 

 If a vessel is equipped to receive shore power provided by the utility grid 

but is unable to do so while at berth due to an emergency event, the 

onboard diesel auxiliary engine emissions from such visits shall be 

excluded from the fleet’s emissions reduction calculations pursuant to 

(e)(2)(C). 

(C) Applying Early or Excess Emissions Reduction to the 2010, 2012, or 

2017 Emission Requirements 

Early or excess emissions reduction that are approved by the Executive 

Officer pursuant to section (e)(2)(D) can be used towards compliance 

with requirements in (d)(2)(A)1, (d)(2)(A)2, or (d)(2)(A)4 as follows: 

1. Reductions achieved before January 1, 2010 can be used towards 

complying with requirements in (d)(2)(A)1, (d)(2)(A)2, or (d)(2)(A)4. 

2. Reductions achieved between January 1, 2010 and 

December 31, 2011, which exceed the amount required by 

(d)(2)(A)1, can be used towards complying with requirements in 

(d)(2)(A)2 and (d)(2)(A)4. 

3. Reductions achieved between January 1, 2012 and 

December 31, 2013, which exceed the amount required by 

(d)(2)(A)2, can be used towards complying with (d)(2)(A)4. 

4. Early or excess emission reductions cannot be used towards 

complying with the requirements in (d)(2)(A)3 or (d)(2)(A)5. 

(D) Compliance with the requirements of subsection (d)(2)(A)3, (d)(2)( A)4, 

and (d)(2)( A)5 shall be determined quarterly for the periods specified as 

follows: 

1. January 1 through March 31, inclusive; 

2. April 1 through June 30, inclusive; 
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3. July 1 through September 30, inclusive; and 

4. October 1 through December 31, inclusive. 

(E) No person shall sell, supply, offer to supply, or purchase electrical power 

for use on a vessel during a visit in lieu of using the on-board auxiliary 

diesel engines, unless such electrical power is either supplied by the 

local utility or is otherwise generated by equipment that meet the 

following emission standards: 

1. NOx Emissions; 

a. Up to and including December 31, 2013, the NOx emissions shall 

be no greater than 2 g/kW-hr at any time; and 

b. Beginning January 1, 2014, the NOx emissions shall be no 

greater than 0.2 g/kW-hr at any time. 

2. PM emissions shall be no greater than the PM emissions from 

combustion of natural gas with a fuel sulfur content of no more than 

one grain per 100 standard cubic foot; 

3. CO2 emissions shall be no greater than 500 g/kW-hr; and 

4. Ammonia emissions shall be no greater than five ppmdv if selective 

catalytic reduction is used. 

(F) Alternative control technologies using SCR to comply with subsection 

(d)(2)(A) shall have ammonia emissions no greater than five ppmdv. 

(3) Limitations on Changing Compliance Options 

 Prior to January 1, 2014, fleets cannot change compliance options from 

(d)(1), the reduced onboard power generation option, to (d)(2), the equivalent 

emission reduction option, unless all of the following have been satisfied: 

(A) Adequate emission reductions were achieved by the fleet prior to 

switching compliance options such that the requirements of (d)(2)(A)1 or 

(d)(2)(A)2, whichever is applicable, are satisfied;

(B) The Responsible Official of the fleet has submitted to the Executive 

Officer an application for the compliance option change that contains the 

following information: 
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1. A demonstration that the requirements of (d)(2)(A)1 or (d)(2)(A)2, 

whichever is applicable, are satisfied at the time of the application; 

and 

2. An updated vessel plan demonstrating compliance with (d)(2). 

(C) The Executive Officer determines that the information in the application 

satisfies (d)(3)(A) and that the fleet will comply with all applicable 

requirements of (d)(2). 

(e) Calculations for Reduced Onboard Power Generation Option in Subsection (d)(1) 

and Equivalent Emissions Reduction Option in Subsection (d)(2). 

(1) Reduced Onboard Power Generation 

For the purposes of subsection (d)(1), the percent reduction of onboard 

electrical generation from auxiliary diesel engines while vessels are docked at 

berth shall be calculated as follows: 

Percent Reduction = [Baseline fleet power generation (BFPG) – 

 Power provided by fleet’s auxiliary engines] / 

 (BFPG) 

 Where the baseline fleet power generation and the power provided by the 

fleet’s auxiliary engines are calculated as follows: 

(A) Baseline Fleet Power Generation (BFPG) 

The baseline power generation for the fleet shall be calculated using the 

following formula: 

Baseline Fleet Power Generation = ∑ (berthing time x power 

requirement) 

Where: 

“Berthing time” is the actual berthing time for each visit falling within the 

applicable period specified in subsection (d)(1)(G);

“Power requirements” means the electrical power requirement for the 

vessel making each visit as determined pursuant to subsection (e)(1)(C); 

and 

“∑” means the summation of all visits made by the fleet in the applicable 

period specified in subsection (d)(1)(G). 
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(B) Power provided by fleet’s auxiliary engines 

The power provided by the fleet’s auxiliary engines is calculated as 

follows: 

Power provided by the = ∑ (Auxiliary engine operating time x fleet’s 

auxiliary engines power requirement) 

Where: 

“Auxiliary engine operating time” is the actual time period these engines 

operated for each visit falling within the applicable period specified in 

subsection (d)(1)(G). Three hours for vessels using synchronous power 

transfer to grid-based shore power or five hours for vessels not using 

synchronous power transfer to grid-based shore power can be 

substituted for the actual operating times of the engines;

“Power requirements” means the electrical power requirement for the 

vessel making each visit as determined pursuant to subsection (e)(1)(C); 

and 

“∑” means the summation of all visits made by the fleet in the applicable 

period specified in subsection (d)(1)(G). 

(C) Power Requirements 

1. The following values in Table 1 may be used as default values for 

power requirements: 
17

Table 1. 

 

TEU = twenty-foot equivalent unit. 

 kW = kilowatt 

2. In lieu of the default values above, the fleet operator may, with 

adequate supporting documentation, use the actual power usage, on 

a monthly basis, rounded to the nearest whole kW-hrs. 

(D) The onboard auxiliary diesel engine power generation associated with 

each visit that meets the exemption criteria in (d)(1)(E) shall be excluded 

from the calculation for the fleet’s baseline power generation and the 

calculation for the power provided by the fleet’s auxiliary engines. 

(2) Equivalent Emissions Reduction Option 

For the purposes of subsection (d)(2)(A) the percent emission reduction shall 

be calculated as follows: 

Percent Reduction = (BFE – PBFE – FEC) / BFE 

Where, the baseline fleet emissions, post-baseline fleet emissions, and fleet 

emission credits are calculated as follows: 

(A) Baseline Fleet Emissions (BFE) 

The baseline fleet emissions of NOx and PM shall be calculated using 

the following formula: 

Vessel Category Size / Type Default Power 

Requirement (kW) 

Container Vessel <1000 TEU 1,000 

 1,000-1,999 TEU 1,300 

 2,000-2,999 TEU 1,600 

 3,000-3,999 TEU 1,900 

 4,000-4,999 TEU 2,200 

 5,000-5,999 TEU 2,300 

 6,000-6,999 TEU 2,500 

 7,000-7,999 TEU 2,900 

 8,000-9,999 TEU 3,300 

 10,000-12,000 TEU 3,700 

Passenger Vessel No Default Value 

Use Actual Load 

Refrigerated Cargo 

Vessel 

Break Bulk 1,300 

 Fully Containerized 3,300 
18

Baseline Fleet Emissions = ∑ (emission rate x average berthing time x 

power requirement x visits) 

Where: 

“Emission rate” for each auxiliary engine is determined pursuant to 

subsection (e)( 3); 

“Average berthing time” for each vessel is determined for the applicable 

period specified in (d)(2)(D); 

“Power requirements” means the electrical power requirement for each 

vessel as determined pursuant to subsection (e)(1)(C);

“Visits” means the total number of visits by the vessel during the 

applicable period specified in the appropriate subsection in (d)(2)(A) or 

subsection (d)(2)(D); and 

“∑” means the summation over the entire fleet subject to the emission 

reduction option. 

(B) Post-Baseline Fleet Emissions (PBFE) 

The post-baseline fleet emissions of NOx and PM shall be calculated 

using the following formula: 

Post-Baseline Fleet Emissions = ∑ (emission rate x average 

 berthing time x power 

 requirement x visits x control 

 factor) 

Where: 

“Emission rate” for each auxiliary engine is determined pursuant to 

subsection (e)(3); 

“Average berthing time” for each vessel is determined for the applicable 

period specified in the appropriate subsection in (d)(2)(A) or subsection 

(d)(2)(D);

“Power requirements” means the electrical power requirement for each 

vessel as determined pursuant to subsection (e)(1)(C);

“Visits” means the total number of visits by the vessel during the 

applicable period specified in the appropriate subsection in (d)(2)(A) or 

subsection (d)(2)(D); 
19

“Control factor” means the applicable control factor specified in 

subsection (e)(4); and 

“∑” means the summation over the entire fleet subject to the emission 

reduction option. 

(C) Adjustments to Baseline Fleet Emissions and Post-Baseline Fleet 

Emissions Calculations for Vessels Choosing to Use Grid-Based Shore 

Power 

Emissions from a vessel capable of using shore power during a visit that 

can be classified as an emergency event shall be excluded from 

paragraphs (A) and (B) above. 

(D) Fleet Emission Credits (FEC) 

 Fleets that achieve reductions of NOx and PM emissions earlier than 

January 1, 2010, or in excess of the requirements of (d)(2)(A)1 or 

(d)(2)(A)2 may apply for fleet emission credits (FEC) that can be used 

toward compliance with the requirements in (d)(2)(A)1, (d)(2)(A)2, or 

(d)(2)(A)4. FECs can only be used by a fleet achieving the early or 

excess emission reductions, can be used only at the port where the early 

or excess emission reductions occurred, cannot be used in any other 

program administered by the Air Resources Board or local air district, 

and expire on March 1, 2018. 

1. Eligible emission reductions are as follows: 

a. Emission reductions achieved prior to January 1, 2010. 

b. Emission reductions achieved between January 1, 2010, to 

December 31, 2011, beyond the amount required by (d)(2)(A)1. 

c. Emission reductions achieved between January 1, 2012, to 

December 31, 2013, beyond the amount required by (d)(2)(A)2. 

2. Ineligible emission reductions 

Emission reductions which are a result of a project that has received 

incentive funds through a contract or other binding agreement from 

the Air Resources Board or a local air district are not eligible 

emission reductions. 

3. Applying for fleet emission credits 
20

Applications for fleet emission credits must demonstrate that the 

emission reductions are quantifiable and occurred earlier than 

January 1, 2010, or were in excess of the requirements of (d)(2)(A)1 

or (d)(2)(A)2. The information shall be submitted on forms specified 

by the Executive Officer according to the following schedule: 

a. Application for fleet emission credits for reductions achieved prior 

to January 1, 2010, shall be submitted to the Executive Officer by 

March 1, 2010. 

b. Application for fleet emission credits for excess reductions beyond 

those required for (d)(2)(A)1 shall be submitted to the Executive 

Officer as part of the fleet’s March 1, 2012 annual statement of 

compliance required pursuant to subsection (g)(2)(A)3. 

c. Application for fleet emission credits for excess reductions beyond 

those required for (d)(2)(A)2 shall be submitted to the Executive 

Officer as part of the fleet’s March 1, 2014 annual statement of 

compliance required pursuant to subsection (g)(2)(A)3. 

4. Approval of fleet emission credits 

 

a. Within 30 calendar days of receipt of an application, the Executive 

Officer shall inform the Applicant in writing if the application is 

complete or deficient. If deemed deficient, the Executive Officer 

shall identify the specific information required to make the 

application complete. 

b. Within 60 calendar days of the application being deemed 

complete, the Executive Officer shall approve or deny the fleet 

emission credit. 

c. An applicant dissatisfied with the decision of the Executive Officer 

regarding the approval or denial of the fleet emission credit may 

appeal the decision within 30 calendar days in accordance with 

the Administrative Hearing Procedure for Petitions for Review of 

Executive Officer Decisions, Title 17 California Code of 

Regulations, commencing with section 60055.1. 

d. Upon approval of the fleet emission credit, the Executive Officer 

shall issue a Certificate to the applicant. The Certificate shall 

identify the recipient of the certificate, the quantity of the fleet 

emission credit of each pollutant in tons per year, the port at 

which the reduction was created, and any other data deemed 

appropriate by the Executive Officer. 
21

5. Using fleet emission credits 

a. Fleet emission credits may be applied to the percent emission 

reduction calculations used by the fleet to demonstrate 

compliance with the requirements in (d)(2)(A)1, (d)(2)(A)2, and 

(d)(2)(A)4. The fleet shall surrender the FEC Certificate(s) as part 

of the applicable annual compliance statement. If the entire FEC 

is used, the Executive Officer shall retain the Certificate. If only 

part of the FEC is used, the Executive Officer shall retain the old 

Certificate and issue a new Certificate identifying the remaining 

portion of the FEC. 

b. The Executive Officer shall monitor the accumulation and use of 

the fleet emission credits. 

c. Fleet emission credits cannot be used to comply with 

requirements in (d)(2)(A)3 or (d)(2)(A)5. 

d. Fleets that switch compliance options from (d)(1), the reduced 

onboard power generation option, to (d)(2), the equivalent 

emission reduction option, cannot accumulate or use fleet 

emission credits. 

(3) A person complying with the requirements of subsection (d)(2) may choose 

any of the following emissions rates for use in the calculations specified in 

subsection (e)(2)(A) and (e)(2)(B): 

(A) Results from emission measurements for similar auxiliary diesel engines 

that are used to satisfy a marine engine standard, including 

U.S. Environmental Protection Agency (EPA) emission standards for 

marine engines (40 CFR Part 94), and the International Convention for 

the Prevention of Pollution from Ships, 1973, as modified by the Protocol 

of 1978 (MARPOL 73/78), both of which are incorporated herein by 

reference; 

(B) Emission measurements approved by the Executive Officer and using 

the test methods specified in subsection (e)(4)(B)(3); or 

(C) In lieu of test data measured pursuant to paragraph (A) or (B) above, the 

following emission rates may be used as default values: 

1. 13.9 g/kW-hr for NOx. 

2. 0.38 g/kW-hr for PM if 0.11 to 0.5 percent sulfur marine gas oil or 

marine diesel oil is used as a fuel. 
22

3. 0.25 g/kW-hr for PM if 0.10 or less sulfur content marine gas oil or 

marine diesel oil is used as a fuel. 

(4) Control Factors 

(A) The emissions from vessels using grid power in lieu of the vessel’s 

auxiliary engines when the vessels are at berth are presumed to be 

reduced by 90 percent. 

(B) No control efficiencies for alternative control technologies shall be used 

to comply with the requirements of this provision unless the control 

efficiencies are calculated or measured as follows:

1. The control efficiencies shall be based on an emission test protocol 

that is approved by the Executive Officer prior to conducting the 

emission measurements; 

2. The results of the emission measurements conducted pursuant to 

paragraph 1 above are approved by the Executive Officer; and 

3. Emission measurements are conducted using the following test 

methods. Alternative tests methods may be used upon written 

approval from the Executive Officer: 

a. NOx and CO2 shall be measured using California Air Resources 

Board (CARB) Test Method 100, dated July 1997, which is 

incorporated herein by reference, or equivalent district-approved 

test method; 

b. Diesel PM shall be measured using ISO 8178 Test Procedures: 

ISO 8178-1: 1996(E) (“ISO 8178 Part 1”); ISO 8178-2:1996(E) 

(“ISO 8178 Part 2”); and ISO 8178-4: 1996(E) 

(“ISO 8178 Part 4”), all of which are incorporated herein by 

reference; 

 

c. Ammonia slip shall be measured using the Bay Area Air Quality 

Management District Source Test Procedure ST-1B, Ammonia 

Integrated Sampling, dated January 1982, which is incorporated 

herein by reference, or other equivalent district approved test 

method; and

d. The sulfur content of fuels shall be determined pursuant to 

International Standard ISO 8754 (as adopted in 2003), which is 

incorporated herein by reference.

(C) Results from emission measurements from a verified emission control 

strategy may be used in conjunction with engine emission information. 
23

(D) The Executive Officer may request periodic emission testing or other 

types of monitoring to verify the proper operation of alternative control 

technologies or distributed generation equipment, or to verify the 

emission rate of an auxiliary engine. 

1. At a minimum, emission control technologies shall be tested as 

follows and the results of such testing provided to the Executive 

Officer within 30 days of the testing: 

a. Shore-based systems shall be tested annually to demonstrate the 

overall percentage of emission reduction being achieved. 

b. Catalyst based air pollution control systems installed on vessels 

shall be tested after every 1,000 hours of operation to determine 

the overall percentage of emission reduction being achieved. 

c. If SCR is used as a control technology, the emissions of ammonia 

shall also be measured at the same time the NOx emissions are 

being measured. 

2. The Executive Officer may modify the testing frequency as he/she 

deems appropriate. 

(f) Terminal Plan Requirements. 

(1) The operator of a terminal that receives more than 50 vessel visits in 2008 

shall submit for the Executive Officer’s approval, a plan, and subsequent 

updates, that discusses how the terminal will accommodate the vessels that 

will visit the terminal and are subject to subsection (d)(1) and (d)(2). The 

initial plan shall address requirements in subsection (d)(1) and (d)(2) through 

2020. The plan updates shall address any contingencies that may be 

necessary for the vessels to meet the requirements of subsection (d)(1) and 

(d)(2) by the applicable dates. 

(A) Schedule for Plan Submittals 

 

 The terminal operator shall submit the initial plan and subsequent 

updates to the plan according to the schedule below (Table 2). 
24

Table 2. 

Vessel Compliance Option Initial Terminal 

Plan Due Date 

Subsequent Terminal 

Plan Updates 

Reduced Onboard Power 

Generation Option: (d)(1) July 1, 2009 

July 1, 2013 

July 1, 2016 

July 1, 2019 

Equivalent Emissions 

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

July 1, 2011 

July 1, 2013 

July 1, 2016 

July 1, 2019 

 (B) Approval of Plans 

 

a. Within 30 calendar days of receipt of a plan, the Executive Officer 

shall inform the terminal operator in writing if the plan is complete or 

deficient. If deemed deficient, the Executive Officer shall identify the 

specific information required to make the plan complete. 

b. Within 60 calendar days of the plan being deemed complete, the 

Executive Officer shall approve or disapprove the plan based on a 

determination of it meeting the requirements of (f)(2) or (f)(3), 

whichever is applicable. 

(2) Plan Requirements for Reduced Onboard Power Generation Option 

The plan shall include discussion of necessary infrastructure modifications 

needed for affected fleets to satisfy the requirements of subsection (d)(1) by 

the 2014, 2017, and 2020 compliance dates. The plan shall also include the 

schedule for implementing the modifications. The discussion shall include the 

following: 

 

(A) Discussion of ship activity and projected power demands at the terminal: 

1. Number of ships and visits to the terminal; 

 

2. The projected amount of electric power needed from the utility grid on 

an annual basis and the maximum power capacity; 

(B) Discussion of available power at the terminal; 

(C) Discussion of major infrastructure improvements to terminal that would 

be needed to provide projected power loads at the berth, including 

identification of existing berths to be modified or new berths to be 

constructed; 
25

(D) Discussion of improvements to port infrastructure that would be needed 

to provide projected power loads; 

(E) Discussion of utility infrastructure improvements, if any, outside the port 

boundary that would be needed to provide projected power loads; and 

(F) A schedule for each activity needed to implement (C), (D), and (E) 

above. 

(3) Plan Requirements for Equivalent Emissions Reduction Option 

(A) The plan shall include a description of the control techniques that will be 

used to reduce in-berth vessel emissions needed for affected fleets to 

satisfy requirements of subsection (d)(2) by the 2010, 2012, 2014, 2017, 

and 2020 compliance dates. These techniques would include electric 

power from the utility grid (grid-based shore power), electrical power 

from sources that are not part of a utility’s electrical grid (distributed 

generation), and alternative control technologies; 

(B) For berths where grid-based shore power will be implemented, the plan 

shall contain the information specified in subsection (f)(2); 

(C) For berths where distributed generation will be implemented, the plan 

shall contain the following information: 

 1. Identification and description of distributed generation equipment, 

 including estimated electrical output and fuel 

input; 

2. Berth(s) where the equipment will be used; 

3. Number of ships and corresponding visits to the berth(s); 

4. Projected amount of electric power that will be needed at the berth(s) 

from the distributed generation equipment, calculated on an annual 

and maximum capacity basis; 

5. Schedule for deploying distributed generation equipment; and 

6. The estimated reductions in NOx and PM emissions from vessels 

using the distributed generation equipment, including documentation 

supporting the anticipated reductions. 

(D) For berths where alternative controls will be implemented, the plan shall 

contain the following information; 

 
26

1. Identification and description of equipment, including whether it will 

be located on the ship or on the shore; 

2. Number of ships and corresponding visits using ship-side equipment; 

3. Number of ships and corresponding visits using shore-side 

equipment; 

4. Berth(s) where shore-side equipment will be used; 

5. Schedule for implementing equipment; and 

6. Estimated reductions in NOx and PM emissions from vessels using 

the ship-side and shore-side equipment, including documentation 

supporting the anticipated reductions. 

 

(4) A port may submit terminal plans required under subsection (f)(1) on behalf of 

the terminals located at that port. 

(g) Reporting and Recordkeeping Requirements. 

(1) Reporting and Recordkeeping Requirements for Persons that Comply with 

Subsection (d)(1) 

(A) The Responsible Official shall provide the following reports to the 

Executive Officer: 

1. A vessel fleet plan for each California port visited by a fleet, where 

the fleet is not exempt pursuant to section (b)(3)(E). 

a. The plan is due to the Executive Officer by July 1, 2013, and an 

updated plan is due by July 1, 2016, and July 1, 2019. 

b. The plan must address the vessels in the fleet that visit the port 

and would be affected by the requirements specified in subsection 

(d)(1). The following information shall be included in the vessel 

fleet plan and subsequent updates: 

i. Fleet information, including: vessel category for the fleet 

(container, passenger, or refrigerated cargo), name of the port 

visited by the fleet, name of terminals visited, number of ships 

visiting the port annually, and total number of ship visits to the 

port annually. 
27

ii. Information on the vessels in the fleet that will have their 

emissions reduced to satisfy the requirements of subsection 

(d)(1). 

 

I. Vessel plans that are due July 1, 2013, shall include the 

following vessel information: 

1. Name and Lloyd’s number of each vessel capable of 

using shore power by January 1, 2014, maximum 

power requirement of the vessel while at berth, and

total number of annual visits to the port; 

2. The number of vessels that will have the capabilities 

for using shore power by January 1, 2017, the 

maximum amount of power expected to be used by 

these vessels while at berth, and the total number of 

annual visits expected to be made by these ships to

the port; and 

3. The number of vessels that will have the capabilities 

for using shore power by January 1, 2020, the 

maximum amount of power expected to be used by 

these vessels while at berth, and the total number of 

annual visits expected to be made by these ships to

the port. 

II. Vessel plan updates that are due July 1, 2016, shall have 

the following vessel information: 

1. Name and Lloyd’s number of each vessel capable of 

using shore power by January 1, 2017, maximum 

power requirement of the vessel while at berth, and

total number of annual visits to the port; and 

2. The number of vessels that will have the capabilities 

for using shore power by January 1, 2020, the 

maximum amount of power expected to be used by 

these vessels while at berth, and the total number of 

annual visits expected to be made by these ships to

the port. 

III. Vessel plan updates that are due July 1, 2019, shall 

include the following vessel information: 

 Name and Lloyd’s number of each vessel capable of 

using shore power by January 1, 2020, maximum power
28

requirement of the vessel while at berth, and total

number of annual visits to the port. 

2. An annual statement of compliance pursuant to subsection (d)(1). 

a. The initial annual statement of compliance is due to the Executive 

Officer by March 1, 2015. This statement is for the 2014 calendar 

year. Thereafter, the annual statement is due to the Executive 

Officer by March 1 of each year, certifying compliance with the 

requirements for the previous calendar year. 

b. The following information shall be included with the statement of 

compliance: 

i. A statement signed by the Responsible Official that the 

requirements specified in subsection (d)(1) have been met for 

each California port visited by a fleet, where the fleet is not 

exempt pursuant to section (b)(3)(E). 

ii. Information on visits and power requirements while at berth for 

all vessels within the fleet that visited the California port 

including: 

I. Current name of the vessel; 

II. Lloyd’s number for the vessel; 

III. Vessel type (container, passenger, refrigerated cargo); 

IV. TEU capacity (container vessels only); 

V. Total visits, by terminal; 

VI. Number of visits where the vessel satisfied the

requirements of (d)(1)(D); 

VII. Number of visits where the visit for the vessel would fall 

within the exemptions identified in (d)(1)(E); 

VIII. Average berthing time at the port; and 

IX. Average power requirement for the vessel while at berth, 

in MW-hr. 

 

iii. The information submitted pursuant to paragraph ii. above 

shall be reported for the following periods: 

I. January 1 through March 31, inclusive; 

II. April 1 through June 30, inclusive; 

III. July 1 through September 30, inclusive; and

IV. October 1 through December 31, inclusive. 
29

(B) Recordkeeping 

1. The following records shall be kept at a central location by the vessel 

operator. A logbook that records, for each visit, the dates, times, and 

other information as specified below: 

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

b. Power requirement while at berth; 

c. When the vessel initially tied to the berth and when the vessel 

cast-off the tie lines; 

d. When the auxiliary engines were shut down and subsequently 

restarted; 

e. Whether departure from the berth was delayed by the 

U.S. Coast Guard or other federal agency. Identification of the 

agency that caused the delay, reason for the delay, and when 

the federal agency released the vessel; 

f. If an emergency event occurred, a description and duration of 

that emergency event; and 

g. For vessels subject to (d)(1)(I), a discussion of any onboard 

equipment failure that prevents the usage of shore power 

equipment. This discussion should include the date when 

equipment initially failed, identification of equipment that failed, 

and dates and description of each effort to repair the equipment. 

2. All records required pursuant to this provision shall be retained for a 

minimum of five years. This information shall be supplied to the 

Executive Officer within 30 days of a request from ARB staff. 

(2) Reporting and Recordkeeping Requirements for Persons Opting to Comply 

with the Equivalent Emissions Reduction Option in Subsection (d)(2) 

(A) The Responsible Official shall provide the following reports to the 

Executive Officer: 

1. A vessel fleet plan for each California port visited by a fleet, where 

the fleet is not exempt pursuant to section (b)(3)(E). 

a. The plan is due to the Executive Officer by July 1, 2009, and an 

updated plan is due by July 1, 2011, July 1, 2013, July 1, 2016, 

and July 1, 2019. 
30

b. The plan must address the vessels in the fleet that visit the port 

and would be affected by the requirements specified in subsection 

(d)(2). The following information shall be included in the vessel 

fleet plan and subsequent updates: 

 i. Fleet information, including: vessel category for the fleet 

(container, passenger, or refrigerated cargo), name of the port 

visited by the fleet, name of terminals visited, number of ships 

visiting the port annually, and total number of ship visits to the 

port annually. 

ii. Information on the vessels in the fleet that will have their 

emissions reduced to satisfy the requirements of subsection 

(d)(2). 

I. Vessel plans that are due July 1, 2009, shall include the 

following vessel information: 

1. Name and Lloyd’s number of each vessel that will have 

its emissions reduced to satisfy the requirements of 

(d)(2) as of January 1, 2010 , type of control technique 

used (electric power from the utility grid, electrical 

power from sources that are not part of an utility’s 

electrical grid (distributed generation), or alternative 

control technologies), maximum power requirement of

the vessel while at berth (if using power from the grid or 

distributed generation), and total number of annual

visits to the port, and 

2. The number of vessels that are expected to have their 

emissions reduced, by each type of control technique, 

to satisfy the requirements of (d)(2) by January 1, 2012, 

January 1, 2014, January 1, 2017 and January 1, 2020, 

and the total number of annual visits expected to be 

made by these ships to the port. 

II. Vessel plan updates that are due July 1, 2011, shall 

include the following vessel information: 

1. Name and Lloyd’s number of each vessel that will have 

its emissions reduced to satisfy the requirements of 

(d)(2) as of January 1, 2012, type of control technique 

used, maximum power requirement of the vessel while

at berth (if using power from the grid or distributed 
31

generation), and total number of annual visits to the 

port; and 

2. The number of vessels that are expected to have their 

emissions reduced, by each type of control technique, 

to satisfy the requirements of (d)(2) by January 1, 2014, 

January 1, 2017 and January 1, 2020, and the total 

number of annual visits expected to be made by these 

ships to the port. 

III. Vessel plan updates that are due July 1, 2013, shall 

include the following vessel information: 

1. Name and Lloyd’s number of each vessel that will have 

its emissions reduced to satisfy the requirements of 

(d)(2) as of January 1, 2014, type of control technique 

used, maximum power requirement of the vessel while

at berth (if using power from the grid or distributed 

generation), and total number of annual visits to the 

port; and 

2. The number of vessels that are expected to have their 

emissions reduced, by each type of control technique, 

to satisfy the requirements of (d)(2) by January 1, 2017, 

and January 1, 2020, and the total number of annual

visits expected to be made by these ships to the port. 

IV. Vessel plan updates that are due July 1, 2016, shall 

include the following vessel information: 

1. Name and Lloyd’s number of each vessel that will have 

its emissions reduced to satisfy the requirements of 

(d)(2) as of January 1, 2017, type of control technique 

used, maximum power requirement of the vessel while

at berth (if using power from the grid or distributed 

generation), and total number of annual visits to the 

port; and 

2. The number of vessels that are expected to have their 

emissions reduced to satisfy the requirements of (d)(2) 

by January 1, 2020, by each type of control technique, 

and the total number of annual visits expected to be 

made by these ships to the port. 

V. Vessel plan updates that are due July 1, 2019, shall 

include the following information: 
32

 Name and Lloyd’s number of each vessel that will have its 

emissions reduced to satisfy the requirements of (d)(2) by 

January 1, 2020, type of control technique used, maximum 

power requirement of the vessel while at berth (if using 

power from the grid or distributed generation), and total 

number of annual visits to the port. 

iii. Description of the control technique(s) that will be used to 

reduce the vessels’ auxiliary engine emissions to achieve the 

requirements specified in subsection (d)(2), including 

identifying the pollutant being reduced, the expected emission 

reduction (percent reduced), and the basis for determining the 

expected emission reduction, including submittal of emission 

testing results or other documentation. 

2. If the Responsible Official submits an update to the vessel fleet plan 

for a fleet switching from the reduced onboard power generation 

compliance option to the equivalent emissions reduction option 

pursuant to (d)(3), the updated plan shall contain the same 

information required in (g)(2)(A)1. 

3. An annual statement of compliance. 

a. The initial annual statement of compliance is due to the Executive 

Officer by March 1, 2011. This statement is for the 2010 calendar 

year. Thereafter, the annual compliance statement is due to the 

Executive Officer by March 1 of each year, certifying compliance 

with the requirements for the previous year. 

b. The following items should be included with the statement of 

compliance: 

i. A statement signed by the Responsible Official indicating that 

the NOx and PM emission reductions specified by (d)(2) have 

been achieved for each California port visited by a fleet, where 

the fleet is not exempt pursuant to section (b)(3)(E); 

ii. The calculated NOx and PM baseline and post-baseline 

emissions for each fleet. The emissions must be calculated 

on a calendar year basis if complying with subsection 

(d)(2)(A)1 or subsection (d)(2)(A)2 and on a quarterly basis if 

complying with subsection (d)(2)(A)3, (d)(2)(A)4 and (d)(2)(A)5 

as specified in (d)(2)(D). The following information shall be 

included for each vessel in the fleet: 
33

I. Current name; 

II. Lloyd’s number; 

III. Vessel type (container, passenger, refrigerated cargo); 

IV. Total visits by terminal; 

V. Average berthing time at the port; 

VI. Average power requirement for the vessel while at berth, 

in MW-hr; 

VII. TEU capacity (container vessels only); 

VIII. Type of control technique used (electrical power from the 

utility grid, distributed generation, or alternative control 

technologies); and 

IX. Emissions of NOx and PM, in pounds, for the reporting 

period. 

iii. The fleet emission credits that will be applied to the NOx and 

PM emission reduction calculations for the fleet and the 

Certificate(s) for these credits that were issued pursuant to 

section (e)(2)(D); and 

iv. Description of the control technique(s) used, achievable 

emission reductions, and supporting documentation (e.g., 

reference source test results pursuant to (e)(4)(D)1 or 

verification documentation). For subsequent statements of 

compliance, the supporting documents can be referenced, 

including the most recent source test submitted to the 

Executive Officer. 

(B) Recordkeeping 

The following records shall be kept at a central location by the fleet 

vessel operator. 

1. For each calendar year of vessel activity, an annual summary of 

emissions that demonstrates compliance with the applicable 

emission reduction for 2010 and 2012, and a quarterly summary of 

emissions that demonstrates compliance with the applicable 

emission reduction for 2014, 2017, or 2020, which includes the 

following: 

a. The fleet’s baseline and post-baseline levels for NOx and PM 

emissions for each California port; and 

b. Each vessel’s contribution to fleet’s baseline and post-baseline 

NOx and PM emissions, including the following information: 

i. Name of each vessel; 
34

ii. Lloyd’s number for each vessel; 

iii. Fuel type and average sulfur content of fuel for each vessel; 

iv. NOx and PM emissions for each vessel, in pounds; 

v. Average berthing time for each vessel; 

vi. Average power requirements for each vessel while at berth; 

vii. Total visits to each terminal at the California port made by the 

vessel; 

viii. Technology used to reduce emissions and associated control 

factor used; and 

ix. Any equipment failure aboard a vessel that prevented the 

vessel from using the emissions reduction technology. 

2. Additional recordkeeping requirements for fleets using grid-based 

shore power to satisfy (d)(2): 

If the vessel could not use shore power as a result of an emergency 

event, a description and duration of that emergency event. 

3. Records made pursuant to paragraph (2)(B) above shall be kept for a 

minimum of five years. This information shall be supplied to the 

Executive Officer within 30 days of a request from ARB staff. 

(3) Reporting Requirements for Ports and Terminals 

(A) Each California port shall provide wharfinger information to the Executive 

Officer annually, beginning with the wharfinger information for calendar 

year 2010. 

1. This information shall be provided to the Executive Officer no later 

than April 1 of the following year. 

2. At a minimum, the wharfinger information shall include for each 

vessel visiting the port: 

a. Name of the vessel; 

b. Vessel type; 

c. Company operating the vessel; 
35

d. Lloyd’s number for each vessel; 

e. Berth used by the vessel; and 

f. Date(s) and time the vessel was initially tied to the berth and 

subsequently released from the berth. 

 (B) The terminal operator shall keep the following records. These records 

shall be supplied to the Executive Officer within 30 days of a request 

from ARB staff: 

1. Electricity usage for shore power: 

a. Monthly utility billing statements that separately identify electricity 

supplied for shore power; 

b. Episodes of electrical service interruption by local utility company, 

as confirmed and documented by local utility company; and 

c. For distributed generation, monthly records that contain the 

following: 

i. Names of vessels serviced; 

ii. Location of vessels serviced, by berth; 

iii. Date and time of use; and 

iv. Power, in megawatts, supplied to the vessels. 

2. Date, time, and description of equipment failure located at the 

terminal that affected the ability of vessels to turn off their auxiliary 

engines or use alternative control technologies to reduce emissions 

pursuant to (d)(2); 

3. Record of each vessel that did not operate its auxiliary engines while 

the vessel was docked at the berth: 

a. Name of vessel; and 

b. Date and time each vessel was initially tied to the terminal. 

4. Records made pursuant to paragraph (3)(B) above shall be kept for 

five years. 

(4) Electronic submittals of records and other information required under this 

section may be approved by the Executive Officer upon request, provided 

such electronic submittals use digital signatures that meet the requirements 

specified in Government Code section 16.5. Notwithstanding the approved 
36

submittal of electronic records, the Executive Officer may request the 

submittal of a hard copy of any electronic submittal. 

 

(h) Violations. 

(1) Except as otherwise specified in this subsection, any person who is subject to 

this section and commits a violation of any provision, prohibition, limit, 

standard, criteria, or requirement in this section is subject to the penalties, 

injunctive relief, and other remedies specified in Health and Safety Code 

section 42400 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) Except as otherwise specified in this subsection, any failure to meet any 

provision, prohibition, limit, standard, criteria, or requirement in this section, 

including but not limited to the applicable emission limits for supplied shore 

power and hours of engine operation limits, shall constitute a single, separate 

violation of this section for each hour that a person operates the auxiliary 

diesel engine until such provision, prohibition, limit, standard, criteria, or 

requirement has been met. 

(A) The number of violations if the provisions of (d)(1) are not satisfied are 

determined as given below: 

1. If the fleet fails to achieve the baseline power reduction requirement 

as specified in (d)(1)(A), (d)(1)(B), or (d)(1)(C), the number of 

violations shall be determined with the formula in (h)(2)(C)1; 

2. If the fleet fails to achieve the applicable percentage of visits 

satisfying (d)(1)(D) as specified in (d)(1)(A), (d)(1)(B), or (d)(1)(C), 

the number of violations shall be determined with the formula in 

(h)(2)(C)2; 

3. If the fleet fails to achieve both the baseline power reduction and the 

applicable percentage of visits satisfying (d)(1)(D) as specified in 

(d)(1)(A), (d)(1)(B), or (d)(1)(C), the number of violations shall be 

determined with the formula in (h)(2)(C)3; and 

4. If a vessel subject to (d)(1)(I) does not use shore power for every visit 

to terminals that have available shore power, the number of violations 

shall be determined with the formula in (h)(2)(C)2. 

(B) If the emission reductions, pursuant to (d)(2), do not achieve the 

applicable percentage of reduction, the number of violations shall be 

determined with the formula in (h)(2)(C)4. 
37

(C) Formulas for Determining Number of Violations: 

1. Number of reduced onboard power violations = 

 MW-Hr shortfall / 1.8 

2. Number of visits violations = visits * MW-Hr per visit / 1.8 

 “Visits” refers to the shortfall in the number of visits in the 

applicable quarter that should have satisfied the requirements of 

(d)(1)(A), (d)(1)(B), or (d)(1)(C). 

 “MW-Hr per visit” shall be based on the average MW-Hr for a 

visit for the applicable quarter (∑total MW-Hr in quarter / total 

visits in quarter). 

3. Number of both reduced onboard power and visits violations = 

 MW-Hr shortfall for the applicable quarter / 1.2 

4. Number of emission reduction violations = 

 [NOx + PM shortfall (pounds)] / 57 

(3) A violation of the recordkeeping and reporting requirements in this section 

shall constitute a single, separate violation of this section for each day that 

the applicable recordkeeping or reporting requirement has not been met. 

(i) Severability. 

 If any subsection, paragraph, subparagraph, sentence, clause, phrase, or portion 

of this regulation is, for any reason, held invalid, unconstitutional, or unenforceable 

by any court of competent jurisdiction, such portion shall be deemed as a separate, 

distinct, and independent provision, and such holding shall not affect the validity of 

the remaining portions of the regulation. 

NOTE: Authority cited: Sections 39600, 39601, 39650, 39658, 39659, 39666 and 

41511, Health and Safety Code. Reference: Sections 39650, 39658, 39659, 39666, 

41510, and 41511, Health and Safety Code.