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, sub chapter 7.5, California Code of Regulations (CCR), to read as follows:

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

Section 93118.3. Airborne Toxic Control Measure fo r Auxiliary Diesel Engines Operated on Ocean-Going Vessels At-Berth in a Calif ornia 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 auxilia ry engines on container vessels, passenger vessels, and refrigerated cargo vessels w hile these vessels are docked at berth at a California port. This section reduces e missions 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 a s by applying other requirements. This section implements provisions of the Goods Movement Emission Reduction Plan, adopted by the Air Resources Board (ARB) in April 2 006, 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 Globa l Warming Solutions Act of 2006, established under California law by Assembly Bill 3 2 (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 ap plies to any person who owns or operates a port or terminal located at a port wh ere container, passenger, or refrigerated cargo vessels visit.

(2) Nothing in this section shall be construed to a mend, repeal, modify, or change in any way any applicable U.S. Coast Guard requirem ents. Any person subject to this section shall be responsible for en suring compliance with both U.S. Coast Guard regulations and the requirements o f this section, including but not limited to, obtaining any necessary approva ls, exemptions, or orders

from the U.S. Coast Guard.2

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

(A) Ocean-going vessel voyages that consist of con tinuous 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 suc h stopping and

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

2. Rendered necessary by force majeure or distre ss; 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 a n ocean-going vessel

that engages in any of the prejudicial activities s pecified in United Nations Convention on the Law of the Seas (UNCLOS) 1982, Article 19, subpart 2. Further, notwithstanding any Coast Guar d mandated stops or stops due to force majeure or the rendering of assi stance, this exemption does not apply to a vessel that was other wise 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 gover nment non-commercial service. However, such vessels a re 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 ope rating 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 refrig erated 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 t hat visits the same California port fewer than 5 times total in a calen dar year.3

(c) Definitions.

For purposes of this section, the definitions in He alth and Safety Code sections 39010 through 39060 shall apply, except as otherwise spec ified in this section:

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

measures that reduce the emissions of NOx and PM fr om 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 prop ulsion, except that all diesel-electric engines shall be considered “auxili ary diesel engines” for purposes of this section.

(3) “Baseline Fleet Emissions” means the total em issions 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 emis sions, 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 t he electrical power used by all

vessels in the fleet while the vessels are docked a t 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 be gins when the vessel is first tied

to the berth and ends when the vessel is untied fro m the berth.

(6) “California Ports” means:

(A) The Port of Hueneme, the Port of Los Angeles (P OLA) 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 agreemen t to hire a vessel or other means of conveyance to transport goods or passenger s to one or more designated locations.

(8) “Container Vessel” means a self-propelled oce an-going vessel constructed or adapted primarily to carry uniform-sized ocean frei ght 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 b y controlling fuel supply in lieu of a throttle is indicative of a compression i gnition engine.4

(10) “Diesel-Electric Engine” means a diesel engine connected to a generator that is used as a source of electricity for propulsion o r other uses.

(11) “Diesel Particulate Matter” means the particle s found in the exhaust of diesel engines, which may agglomerate and adsorb other spe cies to form structures of complex physical and chemical properties.

(12) “Distributed Generation” shall have the same m eaning 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 dur ing 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 reas onably unforeseeable event beyond the control of the master that threate ns the safety of the

vessel; or

(B) The utility serving the port cannot provide ele ctrical power to the port as a result of equipment failure, a transmission emerg ency, distribution

emergency, a California Independent System Operator (CAISO) or Los Angeles Department of Water and Power (LADWP) S tage 3 emergency, or the utility needs to reduce power to the port because of a sudden and reasonably unforeseeable natural disaste r, 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 electri cal power in response to a transmission or distribution emergency, a CAIS O or LADWP Stage 3 emergency, or to avoid a Stage 3 emergency if one is anticipated. The emergency event ends when CAISO o r LADWP cancels the Stage 3 emergency or the utility notifi es the terminal operator(s) that reduction in the use of grid-based electrical power is no longer necessary. The port may contact the termina l operator(s) on behalf of the utility if such an agreement exists b etween the utility and the port; or

(D) The electrical system at the terminal cannot pr ovide electrical power as a result of equipment failure.

(15) “Executive Officer” means the executive office r of the Air Resources Board (ARB), or his or her designee.5

(16) “Fleet” means all container, passenger, and re frigerated cargo vessels, visiting a specific California port, which are owned and ope rated by, or otherwise under the direct control, of the same person. Dire ct control includes, but is not limited to, vessels that carry cargo or passeng ers 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 mem ber of the vessel crew,

unless the crew member is also the owner of the ves sel. For the purposes of this section, a person shall be deemed to have sepa rate 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 dee med to have two fleets,

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

(17) “Marine Diesel Oil” means any fuel that meets all the specifications for DMB grades as defined in Table I of International Stand ard 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 S tandard ISO 8217, as revised in 2005, which is incorporated herein by re ference.

(19) “Master” means the person who operates an ocea n-going vessel or is otherwise in charge of the vessel’s operations.

(20) “Ocean-Going Vessel” means a commercial, gover nment, or military vessel meeting any one of the following criteria:

(A) A vessel greater than or equal to 400 feet in l ength overall (LOA) as defined in 50 Code of Federal Regulations (CFR) § 6 79.2, 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) a s defined in 46 CFR § 69.51-.61, as adopted September 12, 1989; or

(C) A vessel propelled by a marine compression igni tion engine with a per-cylinder displacement of greater than or equal to 30 liters.

For the purposes of this section, “ocean-going vess el” 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.6

(22) “Own” means having all the incidents of owners hip, including the legal title, of a vessel whether or not that person lends, rents, o r pledges the vessel; having or being entitled to the possession of a ves sel 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 (NO 2 ), and other oxides of nitrogen, which are typicall y 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 vess el constructed or adapted primarily to carry people.

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

(A) Any person, agent, firm, association, organizat ion, partnership, business trust, corporation, limited liability company, comp any, consortium, or any other commercial relationship;

(B) Any state or local governmental agency or publi c district, or any officer or employee thereof; and

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

law.

(27) “Post-Baseline Fleet Emissions” means the tota l emissions from all vessels in a fleet after the application of one or more contro l 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 t o carry refrigerated cargo. Refrigerated cargo vessels include vessels where th e cargo may be stored in large refrigerated rooms within the vessel or vesse ls that carry refrigerated cargo containers exclusively.7

(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 Calif ornia baseline, starting at the California-Oregon border and ending at the Californ ia-Mexico border at the Pacific Ocean, inclusive; (E) all waters within 12 nautical miles of the Cali fornia baseline, starting at the California-Oregon border and ending at the Cali fornia-Mexico border at the Pacific Ocean, inclusive; (F) all waters within 24 nautical miles of the Cali fornia 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 i slands, between the California baseline and a line starting at 34.43 de grees 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, incl usive.

(30) “Responsible Official” means the individual(s) with the authority to certify that all vessels in a fleet comply with applicable requi rements 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 w hich the primary propulsion and electrical power are provided by steam boilers.

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

transfer.

(34) “Terminal” means a facility consisting of whar ves, 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 passeng ers, cargo or material from vessels or for the temporary storage of this c argo or material on-site.

(36) “Utility” shall have the same meaning and be u sed interchangeably with the term “Electric Utility” as defined in Public Resour ces Code section 25108.8

(37) “Verified Emission Control Strategy” means an emission control strategy that has been verified pursuant to the “Verification Pro cedure 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 en ds when it casts off the lines (the end of the visit) at a berth in a California p ort. For the purposes of determining the number of visits by a fleet, separa te 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 int erval between leaving one berth and tying to another berth in the same port i s 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), be ginning January 1, 2014, the following shall apply to a fleet visiting a Califor nia port:

1. At least 50 percent of the fleet’s visits to t he port shall meet the onboard auxiliary diesel engine operational time li mits in subsection (d)(1)(D); and

2. The fleet’s onboard auxiliary-diesel-engine powe r 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 Califor nia port:

1. At least 70 percent of the fleet’s visits to t he port shall meet the onboard auxiliary diesel engine operational time li mits in subsection (d)(1)(D); and

2. The fleet’s onboard auxiliary-diesel-engine powe r generation while docked at the berth shall be reduced by at least 70 percent from the fleet’s baseline power generation.9 (C) 2020 Requirements

Except as provided in subsection (d)(2), beginning January 1, 2020, the following shall apply to a fleet visiting a Califor nia 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 po wer 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), auxi liary diesel engines onboard vessels subject to subsection (d)(1)(A), (d )(1)(B), and (d)(1)(C) shall meet the following operational limi ts while at berth for the specified percentage of visits by the fleet:

a. Three hours total per visit to a berth, provide d 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, provide d the visiting vessel does not use a synchronous power transfer process t o 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 quarte r, 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-h our limit applies to the combined operating time for all auxiliary diese l 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 actu ally determines that an emergency event, as defined in subsection ( c)(14), occurs during the vessel’s visit to a California port, the master of the10 vessel may operate the vessel’s auxiliary engines d uring the

emergency event:

b. The master shall not operate the vessel’s auxil iary engines for more than one hour beyond the time when the master receives notification that the emergency event is over or de termines that the emergency event is over; and

c. The provisions of paragraph (b) above notwithst anding, the master may continue to operate the auxiliary engine s for no more

than five hours if the master receives notification that the emergency event is over or determines that the emer gency 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/fiv e-hour operational requirement in subsection (d)(1)(D) if the following criteria

are met:

a. The initial inspection and clearance of the ves sel by the Department of Homeland Security exceeds one hour. The time extension granted shall be commensurate with the ex cess time necessary for inspection and clearance; or

b. After the auxiliary engines have been put back i nto service pending departure from the berth, the scheduled dep arture of the vessel has been delayed by U.S. Coast Guard or the Department of Homeland Security.

(F) Adjustments for Visits Meeting Exemption Crit eria

The following adjustments can be made to visits me eting 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 to wards compliance with the minimum-visit requirements of (d)(1)(A), ( d)(1)(B), and (d)(1)(C).

2. The onboard auxiliary diesel engine pow er generation associated with each visit meeting the exemption criteria in ( d)(1)(E) above shall be excluded from the fleet’s power reduction calcul ations pursuant to section (e)(1)(D).11 (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 pe riods 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 eit her supplied by the local utility or is otherwise generated by equipmen t that meets the following emission standards:

1. NOx emissions no greater than 0.03 gram per kilo watt-hour (g/kW-hr);

2. PM emissions equivalent to the combustion of nat ural gas with a fuel sulfur content of no more than one grain per 100 st andard cubic foot;

3. Carbon dioxide (CO 2 ) 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 reduct ion (SCR) is used.

(I) Notwithstanding the requirements specified in s ubsection (d)(1)(A), (d)(1)(B), and (d)(1)(C), any ocean-going vessel eq uipped to receive shore power that visits a terminal with a berth equ ipped to provide compatible shore power shall utilize the shore powe r during every visit to that berth, unless the berth is already occupied wi th a vessel receiving shore power. This requirement shall not apply unde r 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 w ould endanger the vessel’s safety. Shore power shall be used for the remainder of the visit once the master determines that the emerg ency event no longer exists;12 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 u sed 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 us e of electricity from

the terminal fails to function and the master of th e vessel has made the necessary effort to repair the equipment as doc umented pursuant to subsection (g)(1)(B)1g.

(2) Equivalent Emissions Reduction Option

The purpose of this provision is to allow any perso n 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 in cluding electric power from the utility grid, electrical power from source s 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 schedu le and compliance period:

1. For each calendar year beginning on January 1, 2 010 through December 31, 2011, inclusive, the NOx and PM emissi ons from the fleet’s auxiliary engines when the vessels in the f leet are docked at the berth must be reduced by10 percent from the bas eline fleet

emissions.

2. For each calendar year beginning on January 1, 2 012, through December 31, 2013, inclusive, the NOx and PM emissi ons from the fleet’s auxiliary engines when the vessels in the f leet are docked at the berth must be reduced by 25 percent from the ba seline fleet

emissions.

3. For the quarter beginning on January 1, 2014, an d each subsequent quarter through December 31, 2016, inclusive, the N Ox and PM emissions from the fleet’s auxiliary engines when t he 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, an d each subsequent quarter through December 31, 2019, inclusive, the N Ox and PM emissions from the fleet’s auxiliary engines when t he vessels in the13 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, an d each subsequent quarter thereafter, the NOx and PM emissions from t he fleet’s auxiliary engines when the vessels in the fleet are docked at the berth must be reduced by 80 percent from the baseli ne fleet

emissions.

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

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

but is unable to do so while at berth due to an eme rgency event, the onboard diesel auxiliary engine emissions from such visits shall be

excluded from the fleet’s emissions reduction calcu lations 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 approv ed by the Executive Officer pursuant to section (e)(2)(D) can be used t owards 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 b e 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 requ irements in (d)(2)(A)2 and (d)(2)(A)4.

3. Reductions achieved between January 1, 2012 an d 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 t he periods specified as

follows:

1. January 1 through March 31, inclusive;

2. April 1 through June 30, inclusive;14 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 eit her supplied by the local utility or is otherwise generated by equipmen t that meet the following emission standards:

1. NOx Emissions;

a. Up to and including December 31, 2013, the NOx e missions shall be no greater than 2 g/kW-hr at any time; and

b. Beginning January 1, 2014, the NOx emissions sha ll be no greater than 0.2 g/kW-hr at any time.

2. PM emissions shall be no greater than the PM emi ssions from combustion of natural gas with a fuel sulfur conten t of no more than one grain per 100 standard cubic foot;

3. CO 2 emissions shall be no greater than 500 g/kW-hr; an d

4. Ammonia emissions shall be no greater than five ppmdv if selective catalytic reduction is used.

(F) Alternative control technologies using SCR to c omply with subsection (d)(2)(A) shall have ammonia emissions no greater t han five ppmdv.

(3) Limitations on Changing Compliance Options

Prior to January 1, 2014, fleets cannot change com pliance options from (d)(1), the reduced onboard power generation option , to (d)(2), the equivalent emission reduction option, unless all of the follow ing have been satisfied:

(A) Adequate emission reductions were achieved by t he fleet prior to switching compliance options such that the requirem ents of (d)(2)(A)1 or (d)(2)(A)2, whichever is applicable, are satisfied;

(B) The Responsible Official of the fleet has submi tted to the Executive Officer an application for the compliance option ch ange that contains the following information:15 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 infor mation 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 O ption in Subsection (d)(1) and Equivalent Emissions Reduction Option in Subsec tion (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 genera tion (BFPG) – Power provided by fleet’s auxiliary engines] /

(BFPG)

Where the baseline fleet power gene ration 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 b e calculated using the following formula:

Baseline Fleet Power Generation = 

### ∑ (berthing time x power requirement)

Where:

“Berthing time” is the actual berthing time for eac h visit falling within the applicable period specified in subsection (d)(1)(G) ;

“Power requirements” means the electrical power req uirement for the vessel making each visit as determined pursuant to subsection (e)(1)(C);

and

“ ∑ ” means the summation of all visits made by the fle et in the applicable period specified in subsection (d)(1)(G).16 (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 re quirement)

Where:

“Auxiliary engine operating time” is the actual tim e period these engines operated for each visit falling within the applicab le period specified in subsection (d)(1)(G). Three hours for vessels usin g synchronous power transfer to grid-based shore power or five hours fo r vessels not using synchronous power transfer to grid-based shore powe r can be substituted for the actual operating times of the e ngines;

“Power requirements” means the electrical power req uirement for the vessel making each visit as determined pursuant to subsection (e)(1)(C);

and

“ ∑ ” means the summation of all visits made by the fle et 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 o perator may, with adequate supporting documentation, use the actual p ower usage, on a monthly basis, rounded to the nearest whole kW-hr s.

(D) The onboard auxiliary diesel engine power gene ration 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 a uxiliary engines.

(2) Equivalent Emissions Reduction Option

For the purposes of subsection (d)(2)(A) the percen t 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 3,30018 Baseline Fleet Emissions = 

### ∑ (emission rate x average berthing time x power requirement x visits)

Where:

“Emission rate” for each auxiliary engine is determ ined pursuant to subsection (e)( 3);

“Average berthing time” for each vessel is determin ed for the applicable period specified in (d)(2)(D);

“Power requirements” means the electrical power req uirement for each vessel as determined pursuant to subsection (e)(1)( C);

“Visits” means the total number of visits by the ve ssel during the applicable period specified in the appropriate subs ection 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 sha ll 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 determ ined pursuant to subsection (e)(3);

“Average berthing time” for each vessel is determin ed for the applicable period specified in the appropriate subsection in ( d)(2)(A) or subsection (d)(2)(D);

“Power requirements” means the electrical power req uirement for each vessel as determined pursuant to subsection (e)(1)( C);

“Visits” means the total number of visits by the ve ssel during the applicable period specified in the appropriate subs ection in (d)(2)(A) or subsection (d)(2)(D);19 “Control factor” means the applicable control facto r 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 Pos t-Baseline Fleet Emissions Calculations for Vessels Choosing to Use Grid-Based Shore

Power

Emissions from a vessel capable of using shore powe r during a visit that can be classified as an emergency event shall be ex cluded from paragraphs (A) and (B) above.

(D) Fleet Emission Credits (FEC)

Fleets that achieve reductions of NOx and PM emiss ions earlier than January 1, 2010, or in excess of the requirements o f (d)(2)(A)1 or (d)(2)(A)2 may apply for fleet emission credits (FE C) 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 earl y or excess emission reductions, can be used only at the port where the early or excess emission reductions occurred, cannot be u sed 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 credits20 Applications for fleet emission credits must demons trate that the emission reductions are quantifiable and occurred e arlier than January 1, 2010, or were in excess of the requireme nts 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 redu ctions achieved prior to January 1, 2010, shall be submitted to the Execu tive Officer by

March 1, 2010.

b. Application for fleet emission credits for exces s 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 exce ss 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 appli cation, the Executive Officer shall inform the Applicant in writing if th e application is complete or deficient. If deemed deficient, the Ex ecutive 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 de ny the fleet

emission credit.

c. An applicant dissatisfied with the decision of the Executive Officer regarding the approval or denial of the fleet emiss ion credit may appeal the decision within 30 calendar days in acco rdance with the Administrative Hearing Procedure for Petitions for Review of Executive Officer Decisions, Title 17 California Co de 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 Ce rtificate shall identify the recipient of the certificate, the quan tity 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 per cent emission reduction calculations used by the fleet to demonst rate compliance with the requirements in (d)(2)(A)1, (d) (2)(A)2, and (d)(2)(A)4. The fleet shall surrender the FEC Cert ificate(s) as part of the applicable annual compliance statement. If the entire FEC is used, the Executive Officer shall retain the Cer tificate. If only part of the FEC is used, the Executive Officer shal l retain the old Certificate and issue a new Certificate identifying the remaining portion of the FEC.

b. The Executive Officer shall monitor the accumula tion 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 equ ivalent emission reduction option, cannot accumulate or use fleet

emission credits.

(3) A person complying with the requirements of sub section (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 Internatio nal Convention for the Prevention of Pollution from Ships, 1973, as mo dified by the Protocol of 1978 (MARPOL 73/78), both of which are incorpora ted 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 parag raph (A) or (B) above, the following emission rates may be used as default val ues:

1. 13.9 g/kW-hr for NOx.

2. 0.38 g/kW-hr for PM if 0.11 to 0.5 percent sulfu r 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 conte nt 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 u nless the control

efficiencies are calculated or measured as follows:

1. The control efficiencies shall be based on an em ission test protocol that is approved by the Executive Officer prior to conducting the emission measurements;

2. The results of the emission measurements conduct ed pursuant to paragraph 1 above are approved by the Executive Off icer; and

3. Emission measurements are conducted using the fo llowing test methods. Alternative tests methods may be used upo n written approval from the Executive Officer:

a. NOx and CO 2 shall be measured using California Air Resources Board (CARB) Test Method 100, dated July 1997, whic h is incorporated herein by reference, or equivalent dis trict-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 Are a Air Quality Management District Source Test Procedure ST-1B, Am monia Integrated Sampling, dated January 1982, which is i ncorporated herein by reference, or other equivalent district a pproved 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 verif ied emission control strategy may be used in conjunction with engine emi ssion information.23 (D) The Executive Officer may request periodic emis sion testing or other types of monitoring to verify the proper operation of alternative control technologies or distributed generation equipment, o r to verify the emission rate of an auxiliary engine.

1. At a minimum, emission control technologies shal l 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 achi eved.

b. Catalyst based air pollution control systems ins talled on vessels shall be tested after every 1,000 hours of operatio n to determine the overall percentage of emission reduction being achieved.

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

shall also be measured at the same time the NOx emi ssions are being measured.

2. The Executive Officer may modify the testing fre quency as he/she deems appropriate.

(f) Terminal Plan Requirements.

(1) The operator of a terminal that receives more t han 50 vessel visits in 2008 shall submit for the Executive Officer’s approval, a plan, and subsequent updates, that discusses how the terminal will accom modate the vessels that will visit the terminal and are subject to subsecti on (d)(1) and (d)(2). The initial plan shall address requirements in subsecti on (d)(1) and (d)(2) through 2020. The plan updates shall address any contingen cies 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 pla n 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, t he Executive Officer shall inform the terminal operator in writing if th e plan is complete or deficient. If deemed deficient, the Executive Offi cer shall identify the specific information required to make the plan comp lete.

b. Within 60 calendar days of the plan being deemed complete, the Executive Officer shall approve or disapprove the p lan 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 Gen eration Option

The plan shall include discussion of necessary infr astructure modifications needed for affected fleets to satisfy the requireme nts of subsection (d)(1) by the 2014, 2017, and 2020 compliance dates. The pla n shall also include the schedule for implementing the modifications. The d iscussion shall include the following:

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

1. Number of ships and visits to the terminal;

2. The projected amount of electric power needed fr om 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 improvemen ts to terminal that would be needed to provide projected power loads at the b erth, including identification of existing berths to be modified or new berths to be constructed;25 (D) Discussion of improvements to port infrastruc ture that would be needed to provide projected power loads;

(E) Discussion of utility infrastructure improvem ents, if any, outside the port boundary that would be needed to provide projected power loads; and

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

above.

(3) Plan Requirements for Equivalent Emissions R eduction Option

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

used to reduce in-berth vessel emissions needed for affected fleets to satisfy requirements of subsection (d)(2) by the 20 10, 2012, 2014, 2017, and 2020 compliance dates. These techniques would i nclude electric power from the utility grid (grid-based shore power ), electrical power from sources that are not part of a utility’s elect rical 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 subsecti on (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, calculat ed on an annual and maximum capacity basis;

5. Schedule for deploying distributed generation e quipment; and

6. The estimated reductions in NOx and PM emissions from vessels using the distributed generation equipment, includi ng 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, inc luding whether it will be located on the ship or on the shore;

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

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

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

5. Schedule for implementing equipment; and

6. Estimated reductions in NOx and PM emissions f rom vessels using the ship-side and shore-side equipment, including d ocumentation 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 Pe rsons that Comply with Subsection (d)(1)

(A) The Responsible Official shall provide the foll owing reports to the

Executive Officer:

1. A vessel fleet plan for each California port vis ited 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 Jul y 1, 2013, and an updated plan is due by July 1, 2016, and July 1, 20 19.

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, nu mber of ships visiting the port annually, and total number of shi p 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 su bsection (d)(1).

I. Vessel plans that are due July 1, 2013, shall in clude the following vessel information:

1. Name and Lloyd’s number of each vessel capable o f 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 capab ilities 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 capab ilities 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 o f 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 capab ilities 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 power28 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 du e to the Executive Officer by March 1, 2015. This statement is for th e 2014 calendar year. Thereafter, the annual statement is due to t he Executive Officer by March 1 of each year, certifying complia nce 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 t hat the requirements specified in subsection (d)(1) have be en 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 wh ile at berth for

all vessels within the fleet that visited the Calif ornia port including:

I. Current name of the vessel; II. Lloyd’s number for the vessel; III. Vessel type (container, passenger, refriger ated 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 ves sel 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 paragrap h 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 visite d;

b. Power requirement while at berth;

c. When the vessel initially tied to the berth a nd when the vessel cast-off the tie lines;

d. When the auxiliary engines were shut down and su bsequently restarted;

e. Whether departure from the berth was delayed by the U.S. Coast Guard or other federal agency. Identific ation 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 an d duration of that emergency event; and

g. For vessels subject to (d)(1)(I), a discussion o f any onboard equipment failure that prevents the usage of shore power equipment. This discussion should include the date when equipment initially failed, identification of equip ment 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 s upplied to the Executive Officer within 30 days of a request from ARB staff.

(2) Reporting and Recordkeeping Requirements for Pe rsons Opting to Comply with the Equivalent Emissions Reduction Option in S ubsection (d)(2)

(A) The Responsible Official shall provide the foll owing reports to the

Executive Officer:

1. A vessel fleet plan for each California port vis ited 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 Jul y 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 include d in the vessel fleet plan and subsequent updates:

i. Fleet information, including: vessel ca tegory for the fleet (container, passenger, or refrigerated cargo), name of the port visited by the fleet, name of terminals visited, nu mber of ships visiting the port annually, and total number of shi p visits to the port annually.

ii. Information on the vessels in the fleet that will have their emissions reduced to satisfy the requirements of su bsection (d)(2).

I. Vessel plans that are due July 1, 2009, shall in clude the following vessel information:

1. Name and Lloyd’s number of each vessel that will have its emissions reduced to satisfy the requirements o f (d)(2) as of January 1, 2010 , type of control tech nique used (electric power from the utility grid, electri cal power from sources that are not part of an utility’ s electrical grid (distributed generation), or altern ative 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 techniqu e, to satisfy the requirements of (d)(2) by January 1, 2012, January 1, 2014, January 1, 2017 and January 1, 202 0, and the total number of annual visits expected to b e 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 o f (d)(2) as of January 1, 2012, type of control techn ique used, maximum power requirement of the vessel while at berth (if using power from the grid or distribut ed31 generation), and total number of annual visits to t he port; and

2. The number of vessels that are expected to have their emissions reduced, by each type of control techniqu e, 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 thes e 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 o f (d)(2) as of January 1, 2014, type of control techn ique used, maximum power requirement of the vessel while at berth (if using power from the grid or distribut ed generation), and total number of annual visits to t he port; and

2. The number of vessels that are expected to have their emissions reduced, by each type of control techniqu e, 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 po rt.

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 o f (d)(2) as of January 1, 2017, type of control techn ique used, maximum power requirement of the vessel while at berth (if using power from the grid or distribut ed generation), and total number of annual visits to t he 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 techniq ue, and the total number of annual visits expected to b e made by these ships to the port.

V. Vessel plan updates that are due July 1, 2019, s hall include the following information:32 Name and Lloyd’s number of each vessel that will h ave its emissions reduced to satisfy the requirements of (d )(2) by January 1, 2020, type of control technique used, ma ximum 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 a chieve the requirements specified in subsection (d)(2), includ ing identifying the pollutant being reduced, the expect ed emission reduction (percent reduced), and the basis for dete rmining the expected emission reduction, including submittal of emission testing results or other documentation.

2. If the Responsible Official submits an update t o the vessel fleet plan for a fleet switching from the reduced onboard powe r generation compliance option to the equivalent emissions reduc tion 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 d ue to the Executive Officer by March 1, 2011. This statement is for th e 2010 calendar year. Thereafter, the annual compliance statement is due to the Executive Officer by March 1 of each year, certifyi ng 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-bas eline

emissions for each fleet. The emissions must be ca lculated on a calendar year basis if complying with subsecti on (d)(2)(A)1 or subsection (d)(2)(A)2 and on a quarte rly basis if complying with subsection (d)(2)(A)3, (d)(2)(A)4 an d (d)(2)(A)5 as specified in (d)(2)(D). The following informati on shall be

included for each vessel in the fleet:33 I. Current name; II. Lloyd’s number; III. Vessel type (container, passenger, refrigerat ed cargo); IV. Total visits by terminal; V. Average berthing time at the port; VI. Average power requirement for the vessel whi le at berth, in MW-hr; VII. TEU capacity (container vessels only); VIII. Type of control technique used (electrical p ower from the utility grid, distributed generation, or alternativ e control technologies); and IX. Emissions of NOx and PM, in pounds, for the rep orting period.

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

PM emission reduction calculations for the fleet an d the Certificate(s) for these credits that were issued p ursuant 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 statem ents of compliance, the supporting documents can be referen ced, including the most recent source test submitted to the

Executive Officer.

(B) Recordkeeping

The following records shall be kept at a central lo cation by the fleet vessel operator.

1. For each calendar year of vessel activity, an an nual summary of emissions that demonstrates compliance with the app licable emission reduction for 2010 and 2012, and a quarter ly summary of emissions that demonstrates compliance with the app licable emission reduction for 2014, 2017, or 2020, which i ncludes the following:

a. The fleet’s baseline and post-baseline levels fo r NOx and PM emissions for each California port; and

b. Each vessel’s contribution to fleet’s baseline a nd post-baseline NOx and PM emissions, including the following infor mation:

i. Name of each vessel;34 ii. Lloyd’s number for each vessel;

iii. Fuel type and average sulfur content of fuel f or 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 whil e at berth;

vii. Total visits to each terminal at the Californi a port made by the vessel;

viii. Technology used to reduce emissions and assoc iated control factor used; and

ix. Any equipment failure aboard a vessel that prev ented the vessel from using the emissions reduction technolog y.

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 s upplied 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 i nformation to the Executive Officer annually, beginning with the wharfinger inf ormation for calendar year 2010.

1. This information shall be provided to the Execut ive Officer no later than April 1 of the following year.

2. At a minimum, the wharfinger information shall i nclude 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 t o 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 3 0 days of a request

from ARB staff:

1. Electricity usage for shore power:

a. Monthly utility billing statements that separate ly identify electricity supplied for shore power;

b. Episodes of electrical service interruption by l ocal utility company, as confirmed and documented by local utility compan y; 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 tu rn 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 a uxiliary 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 info rmation required under this section may be approved by the Executive Officer up on request, provided such electronic submittals use digital signatures t hat meet the requirements specified in Government Code section 16.5. Notwith standing the approved36 submittal of electronic records, the Executive Offi cer may request the submittal of a hard copy of any electronic submitta l.

(h ) Violations.

(1) Except as otherwise specified in this subsectio n, any person who is subject to this section and commits a violation of any provisi on, 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 u nder California law for each violation. Nothing in this section shall be c onstrued to limit or otherwise affect any applicable penalties or other remedies a vailable under federal law.

(2) Except as otherwise specified in this subsectio n, any failure to meet any provision, prohibition, limit, standard, criteria, or requirement in this section, including but not limited to the applicable emissio n limits for supplied shore power and hours of engine operation limits, shall c onstitute a single, separate violation of this section for each hour that a pers on operates the auxiliary diesel engine until such provision, prohibition, li mit, 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 per centage 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 t he 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 v iolations shall be determined with the formula in (h)(2)(C)3; and

4. If a vessel subject to (d)(1)(I) does not use sh ore power for every visit to terminals that have available shore power, the n umber 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 v iolations 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 p er visit / 1.8

“Visits” refers to the shortfall in the number of visits in the applicable quarter that should have satisfied the r equirements 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 th is section for each day that the applicable recordkeeping or reporting requireme nt has not been met.

(i) Severability

.

If any subsection, paragraph, subparagraph, senten ce, clause, phrase, or portion of this regulation is, for any reason, held invalid , unconstitutional, or unenforceable by any court of competent jurisdiction, such portio n shall be deemed as a separate, distinct, and independent provision, and such holdi ng shall not affect the validity of the remaining portions of the regulation.

NOTE: Authority cited: Sections 39600, 39601, 39650, 3965 8, 39659, 39666 and 41511, Health and Safety Code. Reference: Sections 39650, 39658, 39659, 39666, 41510, and 41511, Health and Safety Code.