California Air Resources Board

The following FAQs, developed for the 2007 At Berth Regulation, remain relevant until December 31, 2022. To see the updated FAQs developed for the 2020 At Berth Regulation, click here. New compliance requirements for the At Berth Regulation go into effect beginning on January 1, 2023.

Applicability

1. What is the purpose of the regulation?

The purpose of the regulation is to reduce hoteling (or at-berth) emissions and associated health impacts from diesel auxiliary engines onboard vessels docked at California ports.

2. Who must comply with the regulation?

The following table identifies the regulated parties.

3. What is a fleet?

A fleet is defined in the regulation as owned or chartered vessels of one vessel type that visit the same port and are under the direct control of the same company.

For example, the fictitious company CARB Shipping charters 10 vessels. Seven of the vessels go to the Port of Oakland for 40 visits. Five of the vessels go to the Port of Los Angeles for 30 visits. Four of the vessels go to the port of Long Beach for 20 visits. The seven vessels that go to Oakland make up CARB Shipping's Oakland fleet. Since the port of Long Beach and the port of Los Angeles are considered one port under the regulation, the five vessels that go to Los Angeles and the four vessels that go to Long beach make up CARB Shipping's Los Angeles/Long Beach fleet.

4. Are fleets in ocean-going vessel categories other than container vessels, refrigerated-cargo vessels, and passenger vessels affected by the regulation?

No. Fleets in other ocean-going vessel categories (i.e., tankers, vehicle carriers, and bulk and general cargo vessels) are not affected by the regulation. Similarly, terminals and ports that only receive these types of vessels are not affected by the regulation.

5. Is a fleet port-specific?

Yes. A company will have a separate fleet for each port its vessels visit. If a company has vessels that visit POLA and vessels that visit POLB, all of those vessels collectively are considered one fleet (POLA/POLB fleet), as these two ports are considered one port for purposes of complying with this regulation. For example, if a company has vessels visiting the Port of Long Beach and vessels visiting the Port of Oakland, the company is considered to have two separate fleets, one a POLA/POLB-based fleet and the other a Port of Oakland-based fleet.

6. Is there a minimum annual vessel visit threshold for determining a fleet's applicability?

Yes. The regulation applies to an operator of a container vessel or refrigerated cargo vessel fleet whose vessels cumulatively make 25 or more visits annually to any single specified port. It also applies to an operator of a passenger-vessel fleet whose vessels cumulatively make five or more visits annually to any single port. Fleets whose vessels cumulatively make less than the specified minimum annual visits to a port are not affected by the regulation.

7. What happens if a container or refrigerated cargo fleet exceeds 25 visits in a year or a passenger fleet exceeds five visits in a year?

If the fleet exceeds the minimum visit limit anytime in a year, the fleet is responsible for complying with the quarterly regulatory requirements for that entire year. This can be a problem for small fleets that may initially plan on fewer than 25 visits, but later decides to increase business above 25 visits. Since any fleet that exceeds the threshold is responsible for compliance, even a small fleet may need to prepare or plan for compliance.

8. What is required of affected fleet operators?

The regulation requires an affected fleet operator to reduce at-berth emissions from their vessels auxiliary engines while docked at the California ports specified in the regulation. The regulation ultimately requires a fleet operator to reduce at-berth oxides of nitrogen (NO_x) and particulate matter (PM) emissions from its vessels auxiliary engines at the port by at least 80 percent by 2020.

Fleet operators had the choice between the two compliance methods: Reduced Onboard Power Generation and Equivalent Emissions Reduction Option. Emission reduction targets started in 2010 for the Equivalent Emissions Reduction option or 2014 for the Reduced Onboard Power Generation. Refer to the sections on Reduced Onboard Power Generation and Equivalent Emissions Reduction Option for more information about each compliance option.

9. What is required of affected terminal operators?

Terminal operators that receive at least 50 visits in 2008 from vessels in the affected categories must have submitted an initial Terminal Plan to CARB by July 1, 2009. An update to the Terminal Plan is due by July 1, 2013. Refer to the section on terminal reporting requirements for more information.

10. What is required of affected port operators?

The ports must have submitted annual vessel visit information (wharfinger data) to CARB starting in 2011 (with 2010 data). The port may submit Terminal Plan updates to the CARB on behalf of the terminal operators. Refer to the section on port reporting requirements for more information.

Reduced Onboard Power Generation

11. What is the Reduced Onboard Power Generation option?

The Reduced onboard Power Generation option is one of two compliance options for the At-Berth Regulation for fleets that trigger the visit threshold at a California port. Under this option, in addition to recordkeeping and reporting requirements, an operator of an affected fleet must adhere to the following in-use requirements:

1. Auxiliary engine operating limits must be satisfied for a percentage of visits.
2. Power produced by auxiliary engines in the fleet must be reduced by a percentage.
3. If a vessel is equipped to use shore power and compatible shore power is available, the vessel must use shore power.

The following is a chart that list the compliance schedule for affected fleets complying under the Reduced Onboard Power Generation Option

*   A shore power visit is a visit where a vessel connects to shore power within the time constraints of the regulation.
** Although compliance is calculated quarterly, report are submitted annually to ARB. The first Annual Statement of Compliance, which is submitted by March 1st of 2015, discusses the fleets compliance for each of the four compliance periods in 2014.

12. What is the 3-hr time limit for shore power visits?

Vessels using shore power are allowed to run their auxiliary engines for up to three hours while at berth to connect/disconnect from shore power. For example, a vessel that arrives and takes one hour to connect to shore power will have two hours to disconnect from shore power and depart. The number of engines a vessel operates is not affected by this limit. For example, a vessel operating three auxiliary engines still has three hours to connect/disconnect.

The regulation allows for a few specific ways for engines to operate beyond the 3-hr time limit during a visit and still be considered a shore power visit that complies with the above operating limit. Auxiliary engines can be operated beyond three hours if the vessel experiences an emergency event involving the availability of shore-side power or if the vessel is delayed by the Coast Guard or Homeland Security. Lastly, a vessel is allowed an additional two hours for a nonsynchronous power transfer.

13. Are there any cases where a shore power visit can exceed the 3-hr time limit?

Visits where an auxiliary engine operates more than three hours may still be considered shower power visits in two specific cases.

1. 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.
2. After the auxiliary engines have been put back into service pending departure from the berth, the scheduled departure of the vessel is delayed by the United States Coast Guard or the Department of Homeland Security.

* Homeland Security clearance that takes less than an hour is not considered a delay.

14. How do I record a delay?

No immediate report is required; however, fleet operators are expected to keep records of the delay. Delays are initially identified in the fleets Annual Statements of Compliance. When evaluating Annual Statements of Compliance, CARB may request more detailed information about a delay. To help CARB verify the delay, an operator is asked to record when the delay started and ended, a description of the events that caused the delay, contact information for the government officer involved in the delay, and any other factual information necessary to verify the delay. To assist with recordkeeping, an optional delay information form is available on the advisory and forms page.

15. What are emergency events?

The following are emergency events as specified in the regulation:

1. Any situation arising from a sudden and reasonably unforeseeable event beyond the control of the master that threatens the safety of the vessel.
2. The utility serving the port cannot provide electrical power to the port as a result of equipment failure, a transmission emergency, distribution emergency, a Stage 3 emergency, or the utility needs to reduce power to the port because of a sudden and reasonably unforeseeable natural disaster.
3. 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, or to avoid a Stage 3 emergency if one is anticipated.
4. The electrical system at the terminal cannot provide electrical power as a result of equipment failure

16. How do I report an emergency?

No immediate report is required (operators may contact CARB staff); however, records of the emergency need to be kept by the terminal operation and the fleet operator. Emergencies are initially identified in the fleets Annual Statements of Compliance. When evaluating the Annual Statement of Compliance, CARB staff may request more detailed information about a claimed emergency event. This detailed information includes: 1) when the emergency started and ended; 2) a description of what happened that caused the emergency; 3) how it was resolved, including a discussion of timeline to resolve the emergency; 4) in the case of equipment breakdowns, a discussion of maintenance practices for the affected equipment; 5) alternatives considered in mitigating the impact of the emergency; 6) any other factual information necessary to verify the emergency and 7) any other information that an operator deems relevant. To assist with recordkeeping, an optional emergency information form that satisfy the above is available on the advisory and forms page.

17. How do emergency events affect shore power visits and power reduction calculations?

Emergency events affect shore power calculations in two ways. First, when a shore power capable vessel is unable to use shore power due to an emergency event, the visit counts as a shore power visit. Second, all operating hours are excluded from the emissions reduction calculation. For example, a vessel visits the Port of Long Beach for 40 hours. The vessel is unable to connect to shore power due to a stage 3 emergency. In this case, the visit will count as a valid shore power visit. The 40 hours of auxiliary engine operation (and any shore power hours) is excluded from the emission reduction calculation. To see sample calculations for how compliance is determined, go to the advisory and forms page.

18. What are the upcoming fleet requirements?

The following table lists the upcoming fleet requirements.

19. What is a Vessel Plan?

An affected fleet operator must submit a plan to CARB identifying the compliance option it will use to reduce at-berth emissions at a port and outlining how vessels in the fleet will comply with the requirements of the regulation. More information on vessel plans is available on the advisory and forms page.

20. What tools are available for developing a Vessel Plan?

Vessel Plan forms and instructions, developed by CARB staff, are available on the advisory and forms page.

21. What is an Annual Statement of Compliance?

A fleet operator must submit an Annual Statement of Compliance to CARB certifying compliance with the regulatory requirements for the applicable compliance period. Since a fleet is port specific, a separate Annual Statement of Compliance is required for each port. The Annual Statements of Compliance for Reduced Onboard Power Generation Option must include the following:

1. A statement signed by a Responsible Official that the shore power requirements have been met.
2. Information on visits and power requirements while at berths for each vessel in a fleet that visited a California port including:
   • Current name of the vessel.
   • Lloyd's number for the vessel.
   • Vessel type.
   • TEU capacity.
   • Total visits by terminal.
   • Number of shore power visits.
   • Number of emergency and delayed visits.
   • Average berthing time at the port.
   • Average power requirement for the vessel while at berth.

The statements are due by March 1 of each year, demonstrating the fleet's compliance with the requirements for the previous year. Initial statements are due by March 1, 2015, for fleet's choosing the reduced onboard power generation option.

22. What tools are available for submitting an Annual Statement of Compliance?

At a later date, forms for Annual Statements of Compliance will be available on the advisory and forms page.  Also, in the future, the Optional Compliance Tool will be available to issue an Annual Statement of Compliance with necessary documentation.

23. What are recordkeeping requirements for fleets?

Vessel operators are required to log following information for each visit:

1. Name of the vessel and the port and terminal visited.
2. Power requirement while at berth.
3. The date and time the vessel initially tied to the berth and cast-off the tie lines.
4. The date and time the auxiliary engines were shut down and subsequently restarted.
5. Whether departure from the berth was delayed by the U.S. Coast Guard or another federal agency. Identification of the agency that caused the delay, reason for the delay, and when the vessel was released.
6. If an emergency event occurred, a description and the duration of that emergency event.
7. For shore power capable vessels, a discussion of any onboard equipment failure that prevented the usage of shore power equipment. This discussion should include the date when equipment initially failed, identification of equipment that failed, and dates and descriptions of efforts to repair the equipment.

This is the information used by the Optional Compliance Tool. You can use the Visit Information spreadsheet to assist with recordkeeping.

Equivalent Emissions Reduction Option

24. What is the Equivalent Emissions Reduction option?

Fleet operators may choose to achieve equivalent at-berth emission reductions using various control measures. Under this option, a fleet may reduce emissions using vessel-side and shore-side control technologies, including grid-based shore power. Compliance with this option began January 1, 2010. The following table lists the compliance dates.

*  The pollutants of concern are NO_x and diesel PM
** Beginning in 2014, compliance is calculated quarterly, but the report is submitted annually to ARB. Hence, for the Annual Statement of Compliance that is submitted by March 1, 2015, the fleets compliance for each of the four quarters in 2014 is separately reported.

 25. What types of emission controls can be used under this option?

Fleets can use any method of control, but must provide a detail description of the technology and emission testing information for the control of NO_x and PM. Periodic emission testing may be required depending upon the technology used. Some examples of possible control methods to reduce at-berth emissions include:

1. Grid-based shore power.
2. Non-grid-based shore power (for example, distributed generation equipment such as natural gas-fueled engines).
3. Emission controls installed on the vessels (for example particulate control traps, selective catalytic reduction units, alternative fuels, etc.).
4. Emission controls installed at the wharf (for example a bonnet emission capture and treatment system).

26. What are fleet emission credits?

Fleet emission credits are at-berth NO_x and PM emission reductions achieved by a fleet at a particular port prior to 2010 or in excess of the 2010 and 2012 emission reduction requirements that may be credited to the fleet for later use. The intent is to generate early reductions from over-complying with the requirements of the At-Berth regulation prior to the January 1, 2014. Other types of reductions that are not subject to the regulation may also be eligible for fleet emission credit. For example, electrifying port trucks to reduce PM emissions may be eligible for fleet emission credit. Credits earned at a port may be used by the fleet to meet its emission reduction target at the port.

27. Who can accrue credits and how can they be used?

Only fleet operators choosing the equivalent emissions reduction option can accrue and use fleet emission credits.

A fleet can use its emission credits toward compliance with its 2010, 2012, and 2017 emission reduction requirements. No credits are allowed for meeting the 2014 and 2020 requirements. Credits are non-transferable. They can only be used by the fleet that achieved the early or excess emission reductions and only at the port where those reductions occurred.

Credits cannot be used in any other program administered by CARB or the local air district.

28. Can grid-based shore power be used to accrue credits?

Yes, but only under the equivalent emissions reduction option.

29. When does a fleet apply for credits?

Fleet emission credit applications for emission reductions achieved prior to January 1, 2010, were due to CARB by March 1, 2010. Applications for emission reductions achieved in 2010 and 2011 were due by March 1, 2012. Applications for emission reductions achieved in 2012 and 2013 are due by March 1, 2014.

30. What are the upcoming fleet requirements?

The following table identifies the upcoming fleet requirements.

31. What is a vessel plan?

An affected fleet operator must submit a plan to CARB identifying the compliance option it will use to reduce at-berth emissions at a port and outlining how vessels in the fleet will comply with the requirements of the regulation. More information on vessel plans is available on the advisory and forms page.

Vessel Plan forms and instructions, developed by CARB staff, are available on the advisory and forms page.

What is an Annual Statement of Compliance?

A fleet operator must submit Annual Statements of Compliance to CARB certifying compliance with the regulatory requirements for the applicable compliance period. The Annual Statement of Compliance for Equivalent Emissions Reduction Option includes the following:

1. A statement signed by a Responsible Official that the NO_x and PM emission reductions been met.
2. Information on calculated NO_x and PM baseline and post-baseline emissions for each fleet that visited a California port including:
   • Current name of the vessel.
   • Lloyd's number for the vessel.
   • TEU capacity (Container Vessels).
   • Total visits by terminal.
   • Average berthing time at the port.
   • Average power requirement for the vessel while at berth, in MW-hr.
   • Type of control technique used.
   • Emissions of NO_x and PM, in pounds, for the reporting period.
3. Any Fleet emission credits that will be applied to NO_x and PM emission reduction calculations
4. Description of the control technique(s) used, achievable emission reductions, and supporting documentation. Statements can reference previously submitted supporting documents, including the most recent source test.

The statements are due by March 1 of each year, demonstrating the fleet's compliance with the requirements for the previous year. Initial statements were due by March 1, 2011, for fleets choosing the equivalent emissions reduction option.

33. What tools are available for submitting the compliance statements?

Compliance tools for are available on the advisory and forms page.

34. What are recordkeeping requirements for fleets?

Vessel operators are required to keep records of the following:

1. For each calendar year of operation, the fleet's baseline and post-baseline NO_x and PM emissions, on an quarterly basis, for each California port.
2. Each vessel's contribution to fleet's baseline and post-baseline NO_x and PM emissions, including the following:
   • Current name of each vessel.
   • Lloyd's number for each vessel.
   • Fuel type and average sulfur content of fuel for each vessel.
   • NO_x and PM emissions for each vessel, in pounds.
   • Average berthing time at the port.
   • Average power requirement for the vessel while at berth, in MW-hr.
   • Total visits by terminal.
   • Technology used to reduce emissions and control factor used.
   • Any equipment failure aboard a vessel that prevented the vessel from using the emission reduction technology.
3. Fleets complying with grid-based shore power are also required to satisfy the recordkeeping requirements of the Reduced Onboard Power Generation option.

Terminal Requirements

35. What are the upcoming terminal requirements?

Terminal operators are required submit Terminal Plan updates by July 1st in 2013, 2016, and 2019.

36. What is a Terminal Plan?

Operators of terminals receiving more than 50 visits in 2008 by vessels in the affected vessel categories (container vessels, passenger vessels and refrigerated-cargo vessels) must submit a plan to CARB outlining how the terminal will provide the necessary infrastructure for affected fleets to comply with the regulation.

37. Who must submit updates to the Terminal Plan?

The terminal operator is responsible for terminal plans. A port operator may also submit terminal plans on behalf of the terminals located at that port

38. What kind of information will the terminal operator need to develop the Terminal Plan?

To complete the terminal plan, a terminal operator will have to collect specific fleet information from each affected fleet that visits its facility, including the compliance option the fleet will use to comply with the regulation. The terminal operator will identify infrastructure improvements needed for fleets to satisfy their obligations for the At-berth Regulation.

39. What tools are available for developing the Terminal Plan?

Forms for the Terminal Plan Update are available in the form section.

40. What are the recordkeeping requirements for terminal operators?

Each terminal operator must keep the following records:

1. Monthly utility bill for shore power use.
2. Document electrical service interruption by the utility.
3. Date, time, and description of equipment failure that affected fleet compliance with the At-Berth Regulation.
4. Record of each vessel that did not operate its auxiliary engines while docked at the berth. The information includes the following for each visit:
   • Name of vessel.
   • Date and time each vessel was initially tied to the terminal.

Port Requirements

41. What are the recordkeeping requirements for ports?

Each California port must provide wharfinger information by April 1 of each year for the previous year. (For example, on April 1, 2014, ports will forward to CARB wharfinger information for 2013.) At a minimum, the wharfinger information shall include for each vessel visiting the port:

1. Name of the vessel.
2. Vessel Type.
3. Company operating the vessel.
4. Lloyd's number for each vessel.
5. Berth used by the vessel.
6. Dates and time the vessel was initially tied to the berth and subsequently released from the berth.

Incentives and Funding

42. Are there incentives available for this program?

There are incentives that may be available to projects that reduced at-berth emissions. Carl Moyer funding accelerates the turnover of old highly polluting engines.

44. What is Carl Moyer?

The Carl Moyer Memorial Air Quality Standards Attainment Program (Carl Moyer Program) provides grant funding the incremental cost of replacing for engines and equipment with cleaner technology. Carl Moyer funding has been awarded for onboard vessel retrofit costs and shore-side transformer costs at passenger-vessel terminals. More information can be found at ARB's Carl Moyer Program website.