## Staff R e p o rt

Submission of Waiver and Authorization

M easures into the California SIP

Relea s e Date: June 19, 2015
S c hedu l ed for C on s ideration: July 23, 2015

C alif o r n ia E n v ir on me n tal Pr o te c ti o n A g e n c y



# AIR RES O U R C ES B OA R DT his doc u m e nt has b e en re v ie w ed b y the st a ff o f t h e Cal i f ornia Air Resources

Board and a p pro v ed f o r p u bl i cati o n. App r o v al does n o t si g ni f y th a t t he c o nt e nts

neces s ar i ly re f lect t h e v i e w s a nd p ol i cies o f t he Air Res o urces B oa r d, n or d o es
t h e m e ntion o f tra d e n a m es o r c o m m erc i al p r oducts c o n s tit u t e e n d o rse m e nt or

reco m m e nd a tion f o r u s e.

Electronic c o pies f r om t h is do c u m ent a re a v ai l able f o r d o w nlo a d f r o m t he Air

Res o urces B oard’s I n t ernet si t e a t : http://www.arb.ca.gov/planning/sip/sip.htm

. In a dditio n

, w r i tten c o p i es may b e o bt a i n ed f r o m t he P ubl i c In f o r m ati o n O f f ic e , Air

Res o urces B oar d

, 1 0 0 1 I S tre e t, 1 st Fl o or, Vi s itors a n d En v i r on m en t al S e r v ices
Ce n t e r, Sac r a m e n t o

, C al i f o rnia 9 5 8 14, ( 9 16) 32 2

- 2 99 0

.

For indi v id u als w ith s e nsory d isa b i l ities, this doc u m e nt is a v ai l able i n Brai l le,

lar g e p r i nt, a u dioc a s s e tte o r c o m pu t er disk. Ple a se c on t act ARB's D i s abi l ity
Co o rdin a t or at ( 916) 3 2 3

- 4 9 16 by v oice or throu g h t h e Cal i f ornia Re l ay Ser v ices

at 7 11, to place y our r eq uest f or di s abi l ity s e rv i ces. I f y ou are a p er s on w ith

l i m ited En g l i sh a n d w ould l i ke t o re q uest i nt e r pret e r ser v ices, p l e ase c o n t act
ARB's B i l i n g ual Mana g er at (916) 3 2 3

- 7 0 53.

For general questions, contact :

Carol S u tk u s

, M a n a g er Sou t h Coa s t Air Q u al i t y Pla n ning Secti o n Air Resources

B oard
P.O. B ox 2 8 1 5
Sac r a m en t o, Cal i f o rnia 9 5 8 12

Pho n e: ( 916) 32 2

- 1 2 2 9

E m ai l : carol.sutkus@arb. c a. g ov

OR

Austin Hicks, Air Pol l ution Spec i al i st Sou t h Coa s t Air Q u al i t y Pla n ning Secti o n

Pho n e: ( 916) 32 2

- 8279

E m ai l : austin.hicks@ar b

. c a .g ovI. 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 certa in 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 e ngines and vehicles, provided U.S. EPA issues California a waiver or

authorization. Und er 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 sp ecified 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 r egulations 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/autho rization measures in SIPs without requiring that those measures be separately included in the California SIP.

II. STATE IMPLEMENTATION PLAN SUBMISSION

On May 20 th , 2015, in Committee For A Better Arvin, et al. v. U.S. EPA, et al. (No. 11

- 73924), the Ninth Ci rcuit 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, t o fa cilitate
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 me asures 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 S ection B below. ARB’s regulatory program, which involves the adoption, approval, amend ment, 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

1California Secretary for Natural Resources under Public Resources Code

section 21080.5 of the Califo rnia 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 s taff r eport prepared for a proposed action to comply with
CEQA (17 CCR 60000

- 60008). If the action is final ized, 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 propos ed 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 submissi on 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; there fore, 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 th ose 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

.

2

## Submission of Waiver and Authorization

Measures into the California SIP

Appendix A: Waiver/Authorization ListAppendix 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

20 17

- 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.

1Appendix 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"

A mendments to the C alifornia

E xhaust and E vaporative

E mission Standards and Test

P rocedures for P assenger C ars , L ight

- Duty T rucks and

M edium

- Duty Vehicles, and to the

E vaporative E mission

R equirements for H eavy

- Duty Vehicles;

and

LEV II “Follow

- Up” Amendments ( P roposal to Consider R equiring Certain Federal Light and Medium Vehicles to Certify in California)

Second and Third Sets of

Follow

- Up Amendments to the LEV II Regulations

A mendments to the

Low

- E mission V ehicle Regulations, I ncluding P articulate
Standards for G asoline V ehicles,

More S tringent E mission
Standards for Fuel

- Fired Heaters

and A dministrative 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.

2Appendix A

– Waiver/Authorization List

Board Action ARB Hearing

Date Approved by
U.S. EPA Docket Number 

### * U.S. EPA Action

2 and

A doption of Minor Amendments

to the L ow

- E mission V ehicle

R egulations

Technical Amendments to the Motor Vehicle Evaporative and

Exhaust Emission Test

Procedures 12/12/02

6/22/06 (TP Amends) 75 FR 449 48 ( 7/30/10 ) EPA

- HQ

- OAR

- 2010

- 0238 Waiver & subsequent within the scope

confirmations

3 R egulations to R educe

E missions 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 R egulations to R educe Emissions

from Diesel A uxiliary Engines on

O cean

- Going Vessels While at

Berth at a C alifornia Port 12/6/07

10/16/08 EO 76 FR 77515 (12/13/11) EPA

- HQ

- OAR

- 2011

- 0548 Authorization

6 R egulation 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 5 8090 (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.

3Appendix 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

- R oad Engine (SORE)

E xhaust and E vaporative 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 A mendments to Off

- R oad
C ompression

- I gnition E ngine

R egulations : 2000 and Later

E mission Standards, C ompliance 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.

4Appendix 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 Ame ndments 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.

5Appendix 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
S terndrive B oat R egulations 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

E xhaust S tandards for On

- R oad

M otorcycles 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.

6Appendix 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.

7Appendix 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 10/2 1 /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) Pendi ng 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.

8Appendix 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 Option al 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 P rocedures 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 Ado ption 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.

9