Staff Report

Submission of Waiver and Authorization 

Measures into the California SIP

Release Date: June 19, 2015

Scheduled for Consideration: July 23, 2015

California Environmental Protection Agency

AIR RESOURCES BOARD
This document has been reviewed by the staff of the California Air Resources 

Board and approved for publication. Approval does not signify that the contents 

necessarily reflect the views and policies of the Air Resources Board, nor does 

the mention of trade names or commercial products constitute endorsement or 

recommendation for use.

Electronic copies from this document are available for download from the Air 

Resources Board’s Internet site at:

http://www.arb.ca.gov/planning/sip/sip.htm.

In addition, written copies may be obtained from the Public Information Office, Air 

Resources Board, 1001 I Street, 1st Floor, Visitors and Environmental Services 

Center, Sacramento, California 95814, (916) 322-2990.

For individuals with sensory disabilities, this document is available in Braille, 

large print, audiocassette or computer disk. Please contact ARB's Disability 

Coordinator at (916) 323-4916 by voice or through the California Relay Services 

at 711, to place your request for disability services. If you are a person with 

limited English and would like to request interpreter services, please contact 

ARB's Bilingual Manager at (916) 323-7053.

For general questions, contact:

Carol Sutkus, Manager

South Coast Air Quality Planning Section Air Resources 

Board

P.O. Box 2815

Sacramento, California 95812

Phone: (916) 322-1229

Email: carol.sutkus@arb.ca.gov

OR

Austin Hicks, Air Pollution Specialist South Coast Air Quality

Planning Section

Phone: (916) 322-8279

Email: austin.hicks@arb.ca.gov
I. BACKGROUND

The federal Clean Air Act (Act) establishes the U.S. Environmental Protection Agency 

(U.S. EPA) as the governmental body with primary authority to enact emission 

standards and other emission-related requirements for new motor vehicles and engines 

and certain new nonroad engines and vehicles. The Act also provides that California 

may adopt and enforce emission standards and other emission-related requirements 

from new motor vehicles and engines, certain new nonroad engines and vehicles, and 

in-use nonroad engines and vehicles, provided U.S. EPA issues California a waiver or 

authorization. Under section 209 of the Act, the U.S. EPA Administrator must grant 

California a waiver or authorization if California determines that its standards, in the 

aggregate, are at least as protective of public health and welfare as applicable federal 

standards, unless the Administrator makes specified findings. California has utilized the 

section 209 waiver and authorization mechanism for decades to establish emission 

standards and emission-related requirements for new motor vehicles and engines, and 

new and in-use nonroad engines and vehicles that address California’s particular 

needs.

California has relied on regulations covered by U.S. EPA waivers or authorizations 

(waiver/authorization measures) in State Implementation Plans (SIPs) for meeting 

federal ambient air quality standards. Historically, U.S. EPA policy allowed California to 

utilize pollution reductions resulting from waiver/authorization measures in SIPs without 

requiring that those measures be separately included in the California SIP.

II. STATE IMPLEMENTATION PLAN SUBMISSION

On May 20th, 2015, in Committee For A Better Arvin, et al. v. U.S. EPA, et al.

(No. 11-73924), the Ninth Circuit U.S. Court of Appeals ruled that U.S. EPA had erred in

approving California SIPs that relied on reductions from waiver/authorization measures 

without specifically including those measures in the SIP. Consequently, to facilitate 

U.S. EPA approval of California’s pending and future SIP submittals, California must

now submit those waiver/authorization measures upon which it relies into the SIP. 

Accordingly, ARB staff has compiled the Waiver/Authorization List (Appendix A) which 

includes measures that have already been granted waivers or authorizations or 

ARB-approved measures that are anticipated to be granted waivers or authorizations in 

the future. 

III. ENVIRONMENTAL ANALYSIS

A. Introduction

This analysis provides the basis for ARB’s determination that the proposed action is 

exempt from the requirements of CEQA. A brief explanation of this determination is 

provided in Section B below. ARB’s regulatory program, which involves the adoption, 

approval, amendment, or repeal of standards, rules, regulations, or plans for the 

protection and enhancement of the State’s ambient air quality, has been certified by the 

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California Secretary for Natural Resources under Public Resources Code 

section 21080.5 of the California Environmental Quality Act (CEQA) 

(14 CCR 15251(d)). Public agencies with certified regulatory programs are exempt from 

certain CEQA requirements, including but not limited to, preparing environmental impact 

reports, negative declarations, and initial studies. ARB, as a lead agency, prepares a 

substitute environmental document (referred to as an “Environmental Analysis” or “EA”) 

as part of the staff report prepared for a proposed action to comply with 

CEQA (17 CCR 60000-60008). If the action is finalized, a Notice of Exemption will be 

filed with the State Clearinghouse for public inspection.

B. Analysis

ARB has determined that the proposed action is exempt from CEQA under the “general 

rule” or “common sense” exemption (14 CCR 15061(b)(3)). The common sense 

exemption states a project is exempt from CEQA if “the activity is covered by the general 

rule that CEQA applies only to projects which have the potential for causing a significant 

effect on the environment. Where it can be seen with certainty that there is no possibility 

that the activity in question may have a significant effect on the environment, the activity 

is not subject to CEQA.” The proposed action is exempt because it is administrative in 

nature, consisting only of the submission of previously-adopted ARB regulations which 

have been granted waivers or authorizations, to U.S. EPA for inclusion in the State 

Implementation Plan. The submission of these previously adopted regulations does not 

create any new requirements. Based on ARB’s review it can be seen with certainty that 

there is no possibility that the proposed action may result in a significant adverse impact 

on the environment; therefore, this activity is exempt from CEQA.

IV. SUMMARY OF PROPOSED ACTION

Staff recommends that the Board approve the Waiver/Authorization List, and direct staff 

to submit those sections of the waived or authorized measures from the

Waiver/Authorization List that are appropriate for the SIP to U.S. EPA for inclusion in 

the California SIP, with those sections to be effective, for purposes of federal law, upon 

approval by U.S. EPA. For those measures that have not yet been granted a waiver or 

authorization, we recommend the Board direct staff to submit those measures to 

U.S. EPA for inclusion in the California SIP once the process has been completed and 

approved.

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Submission of Waiver and Authorization 

Measures into the California SIP

Appendix A: Waiver/Authorization List
Appendix A – Waiver/Authorization List

Rulemakings with Waivers and Authorizations Granted

Board Action

ARB 

Hearing

Date

Approved by 

U.S. EPA Docket Number * U.S. EPA Action

1 “LEV III” Amendments to the 

California Greenhouse Gas and 

Criteria Pollutant Exhaust and 

Evaporative Emission Standards 

and Test Procedures and to the 

On-Board Diagnostic System 

Requirements for Passenger 

Cars, Light-Duty Trucks and 

Medium-duty Vehicles, and to the 

Evaporative Emission 

Requirements for Heavy-Duty 

Vehicles (Advanced Clean Cars)

and

Amendments to the New 

Passenger Motor Vehicle 

Greenhouse Gas Emission 

Standards for Model Years 

2017-2025 to Permit Compliance 

Based on Federal Greenhouse 

Gas Emission Standards and 

Additional Minor Revisions to the 

LEV III and ZEV Regulations

1/26/12

11/15/12

78 FR 2112

(1/9/13) EPA-HQ-OAR-2012-0562 Waiver

*U.S. EPA maintains a docket at www.regulations.gov as a source of current and historical information on agency 

rulemaking activities. Each rulemaking is assigned a specific docket number. 

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Appendix A – Waiver/Authorization List

Board Action

ARB 

Hearing

Date

Approved by 

U.S. EPA Docket Number * U.S. EPA Action

2 "LEV II" and "CAP 2000" 

Amendments to the California 

Exhaust and Evaporative 

Emission Standards and Test 

Procedures for Passenger Cars, 

Light-Duty Trucks and

Medium-Duty Vehicles, and to the 

Evaporative Emission 

Requirements for Heavy-Duty 

Vehicles; 

and 

LEV II “Follow-Up” Amendments

(Proposal to Consider Requiring 

Certain Federal Light and Medium 

Vehicles to Certify in California) 

Second and Third Sets of

Follow-Up Amendments to the 

LEV II Regulations

Amendments to the 

Low-Emission Vehicle 

Regulations, Including Particulate 

Standards for Gasoline Vehicles, 

More Stringent Emission 

Standards for Fuel-Fired Heaters 

and Administrative Revisions

11/5/98

12/7/00

11/15/01

68 FR 19811 

(4/22/03)

70 FR 22034

(4/28/05)

A-2002-11

EPA-HQ-OAR-2004-0057

New Waiver

Waiver & 

subsequent within 

the scope 

confirmations

*U.S. EPA maintains a docket at www.regulations.gov as a source of current and historical information on agency 

rulemaking activities. Each rulemaking is assigned a specific docket number. 

2
Appendix A – Waiver/Authorization List

Board Action

ARB 

Hearing

Date

Approved by 

U.S. EPA Docket Number * U.S. EPA Action

2 and 

Adoption of Minor Amendments 

to the Low-Emission Vehicle 

Regulations

Technical Amendments to the 

Motor Vehicle Evaporative and 

Exhaust Emission Test 

Procedures 

12/12/02

6/22/06

(TP Amends)

75 FR 44948

(7/30/10) EPA-HQ-OAR-2010-0238

Waiver & 

subsequent within 

the scope 

confirmations

3 Regulations to Reduce 

Emissions from Diesel Engines 

on Commercial Harbor Craft 

Operated within California Waters 

and 24 Nautical Miles of the 

California Baseline

11/15/07

9/2/08 EO

76 FR 77521

(12/13/11) EPA-HQ-OAR-2011-0549 Authorization

4 New Emission Standards, Fleet 

Requirements, and Test 

Procedures for Forklifts and Other 

Industrial Equipment

5/25/06

3/2/07 EO

77 FR 20388

(4/4/12) EPA-HQ-OAR-2011-0830 Authorization

5 Regulations to Reduce Emissions 

from Diesel Auxiliary Engines on 

Ocean-Going Vessels While at 

Berth at a California Port 

12/6/07

10/16/08 EO

76 FR 77515

(12/13/11) EPA-HQ-OAR-2011-0548 Authorization

6 Regulation for In-Use Off-Road 

Diesel Vehicles and Subsequent 

Amendments (California In-Use 

Off-Road Diesel Fueled Fleets)

5/25/07

7/26/07

12/11/08

1/22/09

7/23/09

12/17/10

78 FR 58090

(9/20/13) EPA-HQ-OAR-2008-0691

Authorization

(initial adoption + 

2008, 2009, and 

2010 amendments)

*U.S. EPA maintains a docket at www.regulations.gov as a source of current and historical information on agency 

rulemaking activities. Each rulemaking is assigned a specific docket number. 

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Appendix A – Waiver/Authorization List

Board Action

ARB 

Hearing

Date

Approved by 

U.S. EPA Docket Number * U.S. EPA Action

7 Mobile Cargo Handling Equipment 

at Ports and Intermodal Rail Yards 

and

2012 Amendments to Mobile 

Cargo Handling Equipment at 

Ports and Intermodal Rail Yards

12/8/05

9/22/11

77 FR 9916

(2/21/12)

80 FR 26249

(5/7/15)

EPA-HQ-OAR-2010-0862

EPA-HQ-OAR-2014-0060

Authorization and 

Waiver

Within the scope of 

prior authorization 

and new 

authorization

8 Small Off-Road Engine (SORE) 

Exhaust and Evaporative 

Emissions Control Regulations 

and

2008 Amendments to SORE 

Regulations

9/25/03

11/21/08

71 FR 75536

12/15/06

80 FR 26041

5/6/15

EPA-HQ-OAR-2005-0133

EPA-HQ-OAR-2014-0036

Authorization 

Within the scope of 

prior authorization

9 Amendments to Off-Road 

Compression-Ignition Engine 

Regulations: 2000 and Later 

Emission Standards, Compliance 

Requirements and Test 

Procedures 

and 

2004-2005 Amendments to the 

California Off-Road Emissions 

Regulation for 

Compression-Ignition Engines 

and Equipment

1/27/00

12/9/04

75 FR 8056

(2/23/10) EPA-HQ-OAR-2008-0670 Authorization

*U.S. EPA maintains a docket at www.regulations.gov as a source of current and historical information on agency 

rulemaking activities. Each rulemaking is assigned a specific docket number. 

4
Appendix A – Waiver/Authorization List

Board Action

ARB 

Hearing

Date

Approved by 

U.S. EPA Docket Number * U.S. EPA Action

10 Airborne Toxic Control Measure 

(ATCM) for Portable Diesel-Fueled 

Engines

2/26/04 77 FR 72846

(12/6/12) EPA-HQ-OAR-2011-0101 Authorization

11 Statewide Portable Equipment 

Registration Program (PERP) and 

Subsequent Amendments (1998, 

2005, 2006, and 2007) 

3/27/97

7/31/07 EO

 12/10/98, 

2/26/04, 

6/22/06 

3/22/07

77 FR 72851 

(12/6/12) EPA-HQ-OAR-2011-0102 Authorization

12 Rulemaking for Incorporation of 

Federal Exhaust Emission 

Standards for 2008 and Later 

Model-Year Heavy Duty Gasoline 

Engines and the Adoption of 

Minor Amendments to the 

Low-Emission Vehicle 

Regulations 

12/12/02

9/05/03 EO

75 FR 70237

(11/17/10) EPA-HQ-OAR-2006-0018 Waiver

13 Amendments to More Stringent 

Emission Standards for 2007 and 

Subsequent Model Year New 

Heavy-Duty Diesel Engines 

10/25/01 70 FR 50322

8/26/05 EPA-HQ-OAR-2004-0132 Waiver

14 Requirements to Reduce Idling 

Emissions From New and In-Use 

Trucks, Beginning in 2008

10/20/05 77 FR 9239

2/16/12 EPA-HQ-OAR-2010-0317 Waiver and Authorization 

*U.S. EPA maintains a docket at www.regulations.gov as a source of current and historical information on agency 

rulemaking activities. Each rulemaking is assigned a specific docket number. 

5
Appendix A – Waiver/Authorization List

Board Action

ARB 

Hearing

Date

Approved by 

U.S. EPA Docket Number * U.S. EPA Action

15 Emission Standards and Test 

Procedures for New 2003 and 

Later Spark-Ignition Inboard and 

Sterndrive Marine Engines

and

2005 Amendments to Inboard and 

Sterndrive Boat Regulations 

7/26/01

6/6/02 EO

11/17/05

72 FR 14546

(3/28/07)

76 FR 24872

(5/3/11)

EPA-HQ-OAR-2004-0403

EPA-HQ-OAR-2004-0403

Authorization

Authorization

16 Amendments to the California 

Exhaust Standards for On-Road 

Motorcycles 

12/10/98 71 FR 44027

8/3/06 EPA-HQ-OAR-2004-0486 Waiver

17 Amendments to the Current 

Spark-Ignition Marine Engine and 

Boat Regulations

7/24/08

6/5/09 EO

80 FR 26032

5/6/15 EPA-HQ-OAR-2013-0024

Within the scope of 

prior authorization 

and new 

Authorization

18 Airborne Toxic Control Measure 

for In-Use Diesel-Fueled 

Transport Refrigeration Units 

(TRUs), TRU Generator Sets, and 

Facilities Where TRUs Operate 

and 2010 Amendments to the TRU 

ATCM

2/26/04

11/18/10

74 FR 3030

(1/16/09)

78 FR 38970

(6/28/13)

EPA-HQ-OAR-2005-0123

EPA-HQ-OAR-2012-0741

Authorization 

Within the scope of 

prior authorization

19 2006 Amendments to the 

California Regulations for New 

1997 and Later Off-Highway 

Recreational Vehicles and 

Engines

7/20/06 79 FR 6584

2/4/14 EPA-HQ-OAR-2012-0742

Within the scope of 

prior authorization 

and new 

Authorization

*U.S. EPA maintains a docket at www.regulations.gov as a source of current and historical information on agency 

rulemaking activities. Each rulemaking is assigned a specific docket number. 

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Appendix A – Waiver/Authorization List

Board Action

ARB 

Hearing

Date

Approved by 

U.S. EPA Docket Number * U.S. EPA Action

20 On-Board Diagnostic System 

Requirements for 2010 and 

Subsequent Model Year 

Heavy-Duty Engines (HD OBD) 

and

2010 Amendments to HD OBD 

Requirements

7/21/05

5/28/09

73 FR 52042 

(9/8/08)

77 FR 73459

(12/10/12)

EPA–HQ–OAR–2006-0844

EPA–HQ–OAR–2011-0816

Waiver

Within the scope 

and new waiver

*U.S. EPA maintains a docket at www.regulations.gov as a source of current and historical information on agency 

rulemaking activities. Each rulemaking is assigned a specific docket number. 

7
Appendix A – Waiver/Authorization List

Rulemakings with Waivers/Authorizations Pending U.S. EPA Action

Board Action ARB Hearing 

Date Docket Number * U.S. EPA Action

1 2011 Amendments to the Regulations to Reduce 

Emissions from Diesel Engines on Commercial 

Harbor Craft Operated within California Waters 

and 24 Nautical Miles of the California Baseline

6/24/10 EPA-HQ-OAR-2014-0534

11/24/14

Pending 

Authorization

2 2008 Amendments to the Current Regulations 

for Large Spark-Ignition Engines with an Engine 

Displacement Less Than or Equal to One Liter

and

2010 Amendments to the Off-Road Large 

Spark-Ignition Engine Fleet Requirements

11/21/08

12/17/10

EPA-HQ-OAR-2014-0533 Pending 

Authorization

3 2007, 2009, and 2010 Amendments to the ATCM 

for Diesel-Fueled Portable Engines 

3/22/07

12/12/08

1/28/10

EPA-HQ-OAR-2014-0798

Pending 

Authorization

4 2011 Amendments to SORE, Tier 4 Off-Road CI, 

and Certification Fuel for Off-Road SI Engines, 

Equipment and Vehicles (Align with U.S. EPA)

12/16/11 EPA-HQ-OAR-2014-0535

Pending 

Authorization

5 2011 Amendments to the Airborne Toxic Control 

Measure for In-Use Diesel-Fueled Transport 

Refrigeration Units (TRU) and TRU Generator 

Sets, and Facilities Where TRUs Operate

10/21/11 N/A Pending 

Authorization

6 1997, 2003, 2007, 2010, 2012 and 2013 

Amendments to On-Board Diagnostics System 

Requirements For Passenger Cars, Light-Duty 

Trucks, Medium-Duty Vehicles and Engines

12/12/96

4/25/02

9/28/06

5/28/09

1/06/12

8/23/12

A-99-45

(1997 and 2003

Amendments)

EPA-HQ-OAR-2013-0573

(2007, 2010, 2012 and 

2013 Amendments)

Pending Waiver

Pending Waiver

7 2013 Amendments to HD OBD Requirements 08/23/12 EPA-HQ-OAR-2013-0699 Pending Waiver

*U.S. EPA maintains a docket at www.regulations.gov as a source of current and historical information on agency 

rulemaking activities. Each rulemaking is assigned a specific docket number. 

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Appendix A – Waiver/Authorization List

Completed Rulemakings For Which Waivers/Authorizations Have Not Been Submitted

Board Action ARB Hearing 

Date ARB Rulemaking Documentation

1 Heavy-Duty Diesel In-Use Compliance 

Regulation 

and 2007 

and 

2011 Amendments

9/28/06

12/6/07

6/23/11

http://www.arb.ca.gov/regact/inuse06/inuse06.htm

http://www.arb.ca.gov/regact/2007/hdiuc07/hdiuc07.htm

http://www.arb.ca.gov/regact/2011/hdiuc11/hdiuc11.htm

2 Optional Reduced Emission Standard 

for Heavy-Duty Engines 12/12/13 http://www.arb.ca.gov/regact/2013/hdghg2013/hdghg2013.htm

3 Amendments to the Heavy-Duty 

Hybrid-Electric Vehicles Certification 

Procedures 

12/12/13 http://www.arb.ca.gov/regact/2013/hdghg2013/hdghg2013.htm

4 Amendments to the Low Emission 

Vehicle III Criteria Pollutant 

Requirements for Light- and 

Medium-Duty Vehicles, the Hybrid 

Electric Vehicle Test Procedures, and 

the Heavy-Duty Otto-Cycle and 

Heavy-Duty Diesel Test Procedures

and 

2010 Amendments to Plug-in Hybrid

Electric Vehicle Test Procedures 

10/23/14

1/22/09 & 

5/28/09

http://www.arb.ca.gov/regact/2014/leviii2014/leviii2014.htm

http://www.arb.ca.gov/regact/2008/phev09/phev09.htm

5 Amendments to the Zero Emission 

Vehicle Regulation

10/23/14 & 

5/21/15 http://www.arb.ca.gov/regact/2014/zev2014/zev2014.htm

6 Adoption of Evaporative Emissions 

Control Requirements for 

Spark-Ignition Marine Watercraft

2/19/15 http://www.arb.ca.gov/regact/2015/simw2015/simw2015.htm

7 Adoption of Evaporative Emission 

Control Requirements for Off-Highway 

Recreational Vehicles

7/25/13 http://www.arb.ca.gov/regact/2013/ohrv2013/ohrv2013.htm

*U.S. EPA maintains a docket at www.regulations.gov as a source of current and historical information on agency 

rulemaking activities. Each rulemaking is assigned a specific docket number. 

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