Federal Register / Vol. 80, No. 218 / Thursday, November 12, 2015 / Proposed Rules 69915 

PART 17—MEDICAL 

■ 1. The authority citation for part 17 

continues to read as follows: 

Authority: 38 U.S.C. 501, and as noted in 

specific sections. 

■ 2. Amend § 17.63 by revising 

paragraph (e)(1) and paragraph (i) and 

adding paragraphs (j)(3) through (6) to 

read as follows: 

§ 17.63 Approval of community residential 

care facilities. 

* * * * * 

(e) * * * 

(1) Contain no more than four beds: 

(i) Facilities approved before [DATE 

30 DAYS AFTER DATE OF 

PUBLICATION OF FINAL RULE] may 

not establish any new resident 

bedrooms with more than two beds per 

room; 

(ii) Facilities approved on or after 

[DATE 30 DAYS AFTER DATE OF 

PUBLICATION OF FINAL RULE] may 

not provide resident bedrooms 

containing more than two beds per 

room. 

* * * * * 

(i) Records. (1) The facility must 

maintain records on each resident in a 

secure place. Resident records must 

include a copy of all signed agreements 

with the resident. Resident records may 

be disclosed only with the permission of 

the resident, or when required by law. 

(2) The facility must maintain and 

make available, upon request of the 

approving VA official, records 

establishing compliance with 

paragraphs (j)(1) through (3) of this 

section; written policies and procedures 

required under paragraph (j)(3) of this 

section; and, emergency notification 

procedures. (Approved by the Office of 

Management and Budget under control 

number 2900–XXXX.) 

(j) * * * 

(3) The community residential care 

provider must develop and implement 

written policies and procedures that 

prohibit mistreatment, neglect, and 

abuse of residents and misappropriation 

of resident property. 

(i) The community residential care 

provider must do all of the following: 

(A) Not employ individuals who— 

(1) Have been convicted by a court of 

law of abuse, neglect, or mistreatment of 

individuals; or 

(2) Have had a finding entered into an 

applicable State registry or with the 

applicable licensing authority 

concerning abuse, neglect, mistreatment 

of individuals or misappropriation of 

property. 

(B) Ensure that all alleged violations 

involving mistreatment, neglect, or 

abuse, including injuries of unknown 

source, and misappropriation of 

resident property are reported to the 

approving official immediately, which 

means no more than 24 hours after the 

provider becomes aware of the alleged 

violation. The report, at a minimum, 

must include— 

(1) The facility name, address, 

telephone number, and owner; 

(2) The date and time of the alleged 

violation; 

(3) A summary of the alleged 

violation; 

(4) The name of any public or private 

officials or VHA program offices that 

have been notified of the alleged 

violations, if any; 

(5) Whether additional investigation 

is necessary to provide VHA with more 

information about the alleged violation; 

and 

(6) Contact information for a person 

who can provide additional details at 

the community residential care 

provider, including a name, position, 

location, and phone number. 

(C) Have evidence that all alleged 

violations of this paragraph (j) are 

documented and thoroughly 

investigated, and must prevent further 

abuse while the investigation is in 

progress. The results of all 

investigations must be reported to the 

approving official within 5 working 

days of the incident and to other 

officials in accordance with State law, 

and appropriate corrective action must 

be taken if the alleged violation is 

verified. 

(D) Remove all duties requiring direct 

resident contact with veteran residents 

from any employee alleged to have 

violated this paragraph (j) during the 

investigation of such employee. 

(4) For purposes of paragraph (j)(3) of 

this section, the term ‘‘employee’’ 

includes a: 

(i) Non-VA health care provider at the 

community residential care facility; 

(ii) Staff member of the community 

residential care facility who is not a 

health care provider, including a 

contractor; and 

(iii) Person with direct resident 

access. The term ‘‘person with direct 

resident access’’ means an individual 

living in the facility who is not 

receiving services from the facility, who 

may have access to a resident or a 

resident’s property, or may have one-onone contact with a resident. 

(5) For purposes of paragraph (j)(3) of 

this section, an employee is considered 

‘‘convicted’’ of a criminal offense— 

(i) When a judgment of conviction has 

been entered against the individual by 

a Federal, State, or local court, 

regardless of whether there is an appeal 

pending or whether the judgment of 

conviction or other record relating to 

criminal conduct has been expunged; 

(ii) When there has been a finding of 

guilt against the individual by a Federal, 

State, or local court; 

(iii) When a plea of guilty or nolo 

contendere by the individual has been 

accepted by a Federal, State, or local 

court; or 

(iv) When the individual has entered 

into participation in a first offender, 

deferred adjudication, or other 

arrangement or program where 

judgment of conviction has been 

withheld. 

(6) For purposes of paragraph (j)(3) of 

this section, the terms ‘‘abuse’’ and 

‘‘neglect’’ have the same meaning set 

forth in 38 CFR 51.90(b). 

* * * * * 

(The Office of Management and Budget has 

approved the information collection 

provisions in this section under control 

number 2900–XXXX.) 

[FR Doc. 2015–28749 Filed 11–10–15; 8:45 am] 

BILLING CODE 8320–01–P 

ENVIRONMENTAL PROTECTION 

AGENCY 

40 CFR Part 52 

[EPA–R09–OAR–2015–0622; FRL–9936–84– 

Region 9] 

Approval and Promulgation of 

Implementation Plans; California; 

California Mobile Source Regulations 

AGENCY: Environmental Protection 

Agency (EPA). 

ACTION: Proposed rule. 

SUMMARY: The Environmental Protection 

Agency (EPA) is proposing to approve a 

revision to the California State 

Implementation Plan (SIP) consisting of 

state regulations establishing standards 

and other requirements relating to the 

control of emissions from new on-road 

and new and in-use off-road vehicles 

and engines. The EPA is proposing to 

approve these regulations because they 

meet the applicable requirements of the 

Clean Air Act and are relied upon by 

various California plans intended to 

provide for the attainment or 

maintenance of the national ambient air 

quality standards. 

DATES: Any comments must arrive by 

December 14, 2015. 

ADDRESSES: Submit comments, 

identified by docket number [EPA–R09– 

OAR–2015–0622], by one of the 

following methods: 

1. Federal eRulemaking Portal: 

www.regulations.gov. Follow the on-line 

instructions. 

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69916 Federal Register / Vol. 80, No. 218 / Thursday, November 12, 2015 / Proposed Rules 

1EPA regulations refer to ‘‘nonroad’’ vehicles and 

engines whereas California regulations refer to ‘‘offroad’’ vehicles and engines. These terms refer to the 

same types of vehicles and engines, and for the 

purposes of this action, we will be using the state’s 

chosen term, ‘‘off-road,’’ to refer to such vehicles 

and engines. 

2. Email: lo.doris@epa.gov. 

3. Mail or deliver: Doris Lo (AIR–2), 

U.S. Environmental Protection Agency 

Region IX, 75 Hawthorne Street, San 

Francisco, CA 94105–3901. 

Instructions: All comments will be 

included in the public docket without 

change and may be made available 

online at www.regulations.gov, 

including any personal information 

provided, unless the comment includes 

Confidential Business Information (CBI) 

or other information whose disclosure is 

restricted by statute. Information that 

you consider CBI or otherwise protected 

should be clearly identified as such and 

should not be submitted through 

www.regulations.gov or email. 

www.regulations.gov is an ‘‘anonymous 

access’’ system, and the EPA will not 

know your identity or contact 

information unless you provide it in the 

body of your comment. If you send 

email directly to the EPA, your email 

address will be automatically captured 

and included as part of the public 

comment. If the EPA cannot read your 

comment due to technical difficulties 

and cannot contact you for clarification, 

the EPA may not be able to consider 

your comment. Electronic files should 

avoid the use of special characters, any 

form of encryption, and be free of any 

defects or viruses. 

Docket: Generally, documents in the 

docket for this action are available 

electronically at www.regulations.gov 

and in hard copy at EPA Region IX, 75 

Hawthorne Street, San Francisco, 

California. While all documents in the 

docket are listed at 

www.regulations.gov, some information 

may be publicly available only at the 

hard copy location (e.g., copyrighted 

material, large maps), and some may not 

be publicly available in either location 

(e.g., CBI). To inspect the hard copy 

materials, please schedule an 

appointment during normal business 

hours with the contact listed in the FOR

FURTHER INFORMATION CONTACT section. 

FOR FURTHER INFORMATION CONTACT: 

Doris Lo, EPA Region IX, (415) 972– 

3959, lo.doris@epa.gov. 

SUPPLEMENTARY INFORMATION: 

Throughout this document, ‘‘we,’’ ‘‘us’’ 

and ‘‘our’’ refer to the EPA. 

Table of Contents 

I. Background 

II. The State’s Submittal 

A. What regulations did the state submit? 

B. Are there other versions of these 

regulations? 

C. What is the purpose of the submitted 

regulations? 

D. What requirements do the regulations 

establish? 

III. EPA’s Evaluation and Proposed Action 

A. How is the EPA evaluating the 

regulations? 

B. Do the state regulations meet CAA SIP 

evaluation criteria? 

1. Did the state provide adequate public 

notification and comment periods? 

2. Does the state have adequate legal 

authority to implement the regulations? 

3. Are the regulations enforceable as 

required under CAA section 110(a)(2)? 

4. Do the regulations interfere with 

reasonable further progress and 

attainment or any other applicable 

requirement of the Act? 

5. Will the state have adequate personnel 

and funding for the regulations? 

6. EPA’s Evaluation Conclusion 

C. Proposed Action and Request for Public 

Comment 

IV. Incorporation by Reference 

V. Statutory and Executive Order Reviews 

I. Background 

Under the Clean Air Act (‘‘Act’’ or 

CAA), the EPA establishes national 

ambient air quality standards (NAAQS) 

to protect public health and welfare, 

and has established such ambient 

standards for a number of pervasive air 

pollutants including ozone, carbon 

monoxide, nitrogen dioxide, sulfur 

dioxide, lead and particulate matter. 

Under section 110(a)(1) of the CAA, 

states must submit plans that provide 

for the implementation, maintenance, 

and enforcement of the NAAQS within 

each state. Such plans are referred to as 

state implementation plans (SIPs) and 

revisions to those plans are referred to 

as SIP revisions. Section 110(a)(2) of the 

CAA sets forth the content requirements 

for SIPs. Among the various 

requirements, SIPs must include 

enforceable emission limitations and 

other control measures, means, or 

techniques as may be necessary or 

appropriate to meet the applicable 

requirements of the CAA. CAA section 

110(a)(2)(a). 

As a general matter, the CAA assigns 

mobile source regulation to the EPA 

through title II of the Act and assigns 

stationary source regulation and SIP 

development responsibilities to the 

states through title I of the Act. In so 

doing, the CAA preempts various types 

of state regulation of mobile sources as 

set forth in section 209(a) (preemption 

of state emissions standards for new 

motor vehicles and engines), section 

209(e) (preemption of state emissions 

standards for new and in-use off-road 

vehicles and engines),1 and section 

211(c)(4)(A) [preemption of state fuel 

requirements for motor vehicle emission 

control, i.e., other than California’s 

motor vehicle fuel requirements for 

motor vehicle emission control—see 

section 211(c)(4)(B)]. For certain types 

of mobile source emission standards, 

the State of California may request a 

waiver (for motor vehicles) or 

authorization (for off-road engines and 

equipment) for standards relating to the 

control of emissions and accompanying 

enforcement procedures. See CAA 

sections 209(b) (new motor vehicles) 

and 209(e)(2) (most categories of new 

and in-use off-road vehicles). 

Over the years, the California Air 

Resources Board (CARB) has submitted 

many requests for waiver or 

authorization of its standards and other 

requirements relating to the control of 

emissions from new on-road and new 

and in-use off-road vehicles and 

engines, and the EPA has granted many 

such requests. For example, the EPA has 

granted waivers for CARB’s Low 

Emission Vehicle (LEV III) criteria 

pollutant standards for light- and 

medium duty vehicles, and has 

authorized emissions standards for such 

off-road vehicle categories as 

commercial harbor craft, and forklifts 

and other industrial equipment. See 78 

FR 2112 (January 9, 2013) (advanced 

clean cars), 76 FR 77521 (December 13, 

2011) (commercial harbor craft), and 77 

FR 20388 (April 4, 2012) (forklifts and 

other industrial equipment). 

Also over the years, CARB has 

submitted, and the EPA has approved, 

many local or regional California air 

district rules regulating stationary 

source emissions as part of the 

California SIP. See, generally, 40 CFR 

52.220(c). With respect to mobile 

sources in general, California has 

submitted, and the EPA has approved, 

certain specific state regulatory 

programs, such the in-use, heavy-duty, 

diesel-fueled truck rule, various fuels 

regulations, and the vehicle inspection 

and maintenance program (I/M, also 

known as ‘‘smog check’’). See, e.g., 77 

FR 20308 (April 4, 2012) (in-use truck 

and bus regulation), 75 FR 26653 (May 

12, 2010) (revisions to California onroad reformulated gasoline and diesel 

fuel regulations), and 75 FR 38023 (July 

1, 2010) (revisions to California motor 

vehicle I/M program). 

California relies on these local, 

regional, and state stationary and mobile 

source regulations to meet various CAA 

requirements and includes the 

corresponding emissions reductions in 

the various regional air quality plans 

developed to attain and maintain the 

NAAQS. The EPA generally allows 

California to take credit for the 

corresponding emissions reductions 

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Federal Register / Vol. 80, No. 218 / Thursday, November 12, 2015 / Proposed Rules 69917 

2CARB’s August 14, 2015 SIP submittal included 

a table that lists the specific sections of the CCR 

included in the submittal. By email dated October 

23, 2015, CARB identified a few typographic errors 

in the table: (1) 13 CCR sections 2456(d)(3), 

2456(d)(5), and 2456(d)(6) (i.e., not sections 

2455(d)(3), 2455(d)(5), and 2455(d)(6)) are excluded 

from the submittal of regulations establishing 

standards and other requirements for the portable 

equipment registration program (PERP); (2) 13 CCR 

section 2485(1)(B) (not just section 2385(1)(A)) is 

excluded from the submittal of regulations related 

to truck idling; (3) and 13 CCR section 2474 is to 

be included in the submittal of regulations related 

to spark-ignition marine engines. See email from 

Alex Wong, CARB, to Jefferson Wehling, EPA 

Region IX, dated October 23, 2015. 

relied upon in the various regional air 

quality plans because, among other 

reasons, the regulations are approved as 

part of the SIP and are thereby federally 

enforceable as required under CAA 

section 110(a)(2)(A). 

However, California also relies on 

emissions reductions from the 

regulations for which the EPA has 

previously granted waivers or 

authorizations, and historically, the EPA 

has approved regional air quality plans 

that take credit for emissions reductions 

from such regulations, notwithstanding 

the fact that California has not 

submitted these particular regulations as 

part of the California SIP. 

The EPA’s longstanding practice of 

approving California plans that rely on 

emissions reductions from such ‘‘waiver 

measures,’’ notwithstanding the lack of 

approval as part of the SIP, was 

challenged in several petitions filed in 

the Ninth Circuit Court of Appeals. In 

a recent decision, the Ninth Circuit held 

in favor of the petitioners on this issue 

and concluded that CAA section 

110(a)(2)(A) requires that all state and 

local control measures on which SIPs 

rely to attain the NAAQS be included in 

the SIP and thereby subject to 

enforcement by the EPA and members 

of the general public. See Committee for 

a Better Arvin v. EPA, 786 F.3d 1169 

(9th Cir. 2015). 

In response to the decision in 

Committee for a Better Arvin v. EPA, 

CARB submitted a SIP revision on 

August 14, 2015 consisting of state 

mobile source regulations that establish 

standards and other requirements for 

the control of emissions from various 

new on-road and new and in-use offroad vehicles and engines for which the 

EPA has issued waivers or 

authorizations and that are relied upon 

by California regional plans to attain 

and maintain the NAAQS. The EPA is 

proposing action today under CAA 

section 110(k) on CARB’s August 14, 

2015 SIP revision submittal. 

II. The State’s Submittal 

A. What regulations did the state 

submit? 

On August 14, 2015, CARB submitted 

a SIP revision that included a set of state 

mobile source regulations for which 

waivers or authorizations have been 

granted by the EPA under section 209 of 

the CAA. The SIP revision consists of 

the regulations themselves and 

documentation of the public process 

conducted by CARB in approving the 

regulations as part of the California SIP. 

Table 1 below presents the contents of 

the SIP revision by mobile source 

category and provides, for each such 

category, a listing of the relevant 

sections of the California Code of 

Regulations (CCR) that establish 

standards and other requirements for 

control of emissions from new or in-use 

vehicles or engines; the corresponding 

date of CARB’s hearing date or 

Executive Officer (EO) action through 

which the regulations or amendments 

were adopted; and the notice of decision 

in which the EPA granted a waiver or 

authorization for the given set of 

regulations.2

TABLE 1—CARB SIP REVISION SUBMITTAL SUMMARY

Source category Relevant sections of California Code of Regulations 

Date of relevant 

CARB hearing date(s) 

or Executive Officer 

action 

EPA Notice of decision 

On-Road Passenger Cars, 

Light-Duty Trucks, and 

Medium-Duty Vehicles 

(LEV II).

Amendments to 13 CCR §§ 1961, 1965, and 1978 and 

the documents incorporated by reference (see table 2 

below), effective for state law purposes on 12/04/03; 

and amendments to 13 CCR §§ 1961, 1976, 1978, and 

documents incorporated by reference (see table 2 

below), effective for state law purposes on 2/17/07.

12/12/02, 6/22/06 70 FR 22034 (4/28/05); 75 

FR 44948 (7/30/10) 

On-Road Passenger Cars, 

Light-Duty Trucks, and 

Medium-Duty Vehicles 

(LEV III) and Zero Emission Vehicles (ZEV).

Adoption of 13 CCR §§ 1961.2 and 1962.2 (excluding 

subsection 1962.2(g)(6)) and amendments to 13 CCR 

§§ 1900, 1956.8, 1960.1, 1961, 1962.1, 1962.2 (renumbered to 1961.3), 1965, 1976, 1978, 2037, 2038, 

2062, 2112, 2139, 2140, 2145, 2147, and 2235 and 

the documents incorporated by reference (see table 2 

below), effective for state law purposes on 08/07/12; 

amendments to 13 CCR §§ 1900, 1956.8, 1960.1, 

1961, 1961.2, 1962.1, 1962.2 (excluding subsection 

1962.2(g)(6)(C)), and 1976 and the documents incorporated by reference (see table 2 below), effective for 

state law purposes on 12/31/12.

01/26/12, 11/15/12 78 FR 2112 (1/9/13) 

On-Road Heavy-Duty Gasoline Engines.13 CCR § 1956.8 and the document incorporated by reference (see table 2 below), effective for state law purposes on 12/4/03.12/12/02, 9/5/03 (EO) 75 FR 70237 (11/17/10) 

On-Road Heavy-Duty Diesel 

Engines.

Amendments to 13 CCR § 1956.8, and the document incorporated by reference (see table 2 below), effective 

for state law purposes on 11/17/02.

10/25/01 70 FR 50322 (8/26/05) 

On-Road Motorcycles .......... Amendments to 13 CCR §§ 1900, 1958 (excluding 

1958(a)(1)), and 1965, and the document incorporated 

by reference (see table 2 below), effective for state law 

purposes on 11/22/99.

12/10/98 71 FR 44027 (8/3/06) 

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69918 Federal Register / Vol. 80, No. 218 / Thursday, November 12, 2015 / Proposed Rules 

TABLE 1—CARB SIP REVISION SUBMITTAL SUMMARY—Continued 

Source category Relevant sections of California Code of Regulations 

Date of relevant 

CARB hearing date(s) 

or Executive Officer 

action 

EPA Notice of decision 

On-Road Heavy-Duty Engines—On-Board Diagnostic System (HD OBD).13 CCR §§ 1971.1 and 1971.5, effective for state law 

purposes on 6/17/10.

5/28/09 77 FR 73459 (12/10/12) 

On-Road Heavy Duty Vehicles—engine or vehicle 

idle controls.

13 CCR §§ 1956.8, 2404, 2424, 2425, and 2485 (excluding subsections 2485(c)(1)(A), 2485(c)(1)(B), and 

2485(c)(3)(B)), and the document incorporated by reference (see table 2 below), effective for state law purposes on 11/15/2006.

10/20/05 77 FR 9239 (2/16/12) 

In-Use Diesel-Fueled Transport Refrigeration Units.13 CCR § 2477, as amended, effective for state law purposes on 3/7/11.11/18/10 78 FR 38970 (6/28/13) 

Commercial Harbor Craft ..... 17 CCR § 93118.5 (excluding subsection 93118.5(e)(1)), 

effective for state law purposes on 11/19/08..

11/15/07, 9/2/08 (EO) 76 FR 77521 (12/13/11) 

Off-Road Large Spark-Ignition (LSI) Engines.New LSI engine emissions standards: 13 CCR §§ 2430, 

2431, 2433, 2434, and 2438; LSI fleet requirements: 

13 CCR §§ 2775, 2775.1 and 2775.2, and the documents incorporated by reference (see table 2 below), 

effective for state law purposes on 5/12/07.

5/25/06, 3/2/07 (EO) 77 FR 20388 (4/4/12) 

Auxiliary Diesel Engines on 

Ocean-Going Vessels.

13 CCR § 2299.3 and 17 CCR § 93118.3, effective for 

state law purposes on 01/02/09.

12/6/07, 10/16/08 

(EO) 

76 FR 77515 (12/13/11) 

In-Use Off-Road Diesel 

Fueled Fleets.

13 CCR §§ 2449 (excluding subsection 2449(d)(2)) 

2449.1, and 2449.2, effective for state law purposes on 

12/14/11.

5/25/07, 7/26/07, 12/

11/08, 1/22/09, 7/23/

09, 12/17/10 

78 FR 58090 (9/20/13) 

Mobile Cargo Handling 

Equipment (CHE).

13 CCR § 2479 (excluding subsections (e)(2) and (e)(4)), 

as amended, effective for state law purposes on 10/14/

12.

9/22/11 80 FR 26249 (5/7/15) 

Small Off-Road Engines 

(SORE).

13 CCR §§ 2401, 2403, 2404, 2405, 2406, 2408, 2408.1, 

and 2409, and the document incorporated by reference 

(see table 2 below), effective for state law purposes on 

5/5/10.

11/21/08 80 FR 26041 (5/6/15) 

Off-Road Compression—Ignition (CI) Engines.13 CCR §§ 2420, 2421, 2423, 2424, 2425, 2425.1, 2426, 

and 2427, and the documents incorporated by reference (see table 2 below), effective for state law purposes on 1/6/06.

1/27/00, 12/9/04 75 FR 8056 (2/23/10) 

In-Use Portable DieselFueled Engines (PDE).17 CCR §§ 93116 through 93116.5 (excluding subsection 

93116.3(a)), effective for state law purposes on 3/11/05.

2/26/04 77 FR 72846 (12/6/12) 

Portable Equipment Registration Program (PERP).13 CCR §§ 2451, 2452, 2453, 2455 (excluding subsections 2455(a) and 2455(b)), 2456 (excluding subsections 2456(a), 2456(d)(3), 2456(d)(5), and 

2456(d)(6)), 2458, 2459, 2460, 2461, and 2462, as 

amended, effective for state law purposes on 9/12/07.

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) 

Spark-Ignition Marine Engines and Boats (Marine 

SI).

13 CCR §§ 2111, 2112, Appendix A therein, 2139, 2147, 

2440, 2442, 2443.1, 2443.2, 2444.1, 2444.2, 2445.1, 

2445.2, 2446, 2447 and 2474, and the documents incorporated by reference (see table 2 below), effective 

for state law purposes on 08/16/09.

7/24/08, 6/5/09 (EO) 80 FR 26032 (5/16/15) 

Off-Highway Recreational 

Vehicles and Engines 

(OHRV).

13 CCR §§ 2111, 2112, 2411, 2412, and 2413, and the 

document incorporated by reference (see table 2 

below), effective for state law purposes on 8/15/07.

7/20/06 79 FR 6584 (2/4/14) 

The regulations submitted by CARB 

and listed in table 1 incorporate by 

reference certain documents that 

establish test procedures and labeling 

specifications, among other things, and 

CARB submitted the documents as part 

of the overall SIP revision. Table 2 lists 

the incorporated documents included in 

the SIP submittal. 

TABLE 2—DOCUMENTS INCORPORATED BY REFERENCE IN CARB REGULATIONS LISTED IN TABLE 1, ABOVE, AND

SUBMITTED AS PART OF SIP REVISION

On-Road Passenger Cars, Light-Duty Trucks, and Medium-Duty and Heavy-Duty Vehicles (LEV II): 

California Exhaust Emission Standards and Test Procedures for 2001 and Subsequent Model Passenger Cars, Light-Duty Trucks and Medium-Duty Vehicles, as last amended September 5, 2003. 

California Motor Vehicle Emission Control and Smog Index Label Specifications for 1978 through 2003 Model Year Motorcycles, Light-, 

Medium- and Heavy-Duty Engines and Vehicles,’’ as last amended September 5, 2003. 

California Smog Index Label Specifications for 2004 and Subsequent Model Passenger Cars and Light-Duty Trucks,’’ adopted September 

5, 2003. 

California Refueling Emission Standards and Test Procedures for 2001 and Subsequent Model Motor Vehicles, as last amended September 5, 2003. 

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TABLE 2—DOCUMENTS INCORPORATED BY REFERENCE IN CARB REGULATIONS LISTED IN TABLE 1, ABOVE, AND

SUBMITTED AS PART OF SIP REVISION—Continued 

California Evaporative Emission Standards and Test Procedures for 2001 and Subsequent Model Motor Vehicles, as amended June 22,

2006. 

California Refueling Emission Standards and Test Procedures for 2001 and Subsequent Model Motor Vehicles, as last amended June 22, 

2006. 

California Exhaust Emission Standards Test Procedures for 2001 and Subsequent Model Passenger Cars, Light-Duty Trucks, and MediumDuty Vehicles, as last amended June 22, 2006. 

On-Road Passenger Cars, Light-Duty Trucks, and Medium-Duty and Heavy-Duty Vehicles (LEV III) and Zero Emission Vehicles (ZEV): 

California Exhaust Emission Standards and Test Procedures for 2004 and Subsequent Model Heavy-Duty Diesel Engines and Vehicles, as 

last amended March 22, 2012. 

California Exhaust Emission Standards and Test Procedures for 2004 and Subsequent Model Heavy-Duty Otto-Cycle Engines, as last 

amended March 22, 2012. 

California Non-Methane Organic Gas Test Procedures, as last amended March 22, 2012. 

California 2001 through 2014 Model Criteria Pollutant Exhaust Emission Standards and Test Procedures and 2009 through 2016 Model 

Greenhouse Gas Exhaust Emission Standards and Test Procedures for Passenger Cars, Light-Duty Trucks, and Medium-Duty Vehicles, 

as last amended March 22, 2012, excluding GHG-related provisions. 

California Environmental Performance Label Specifications for 2009 and Subsequent Model Year Passenger Cars, Light-Duty Trucks, and 

Medium-Duty Passenger Vehicles, as last amended March 22, 2012. 

California Evaporative Emission Standards and Test Procedures for 2001 and Subsequent Model Motor Vehicles, as last amended March 

22, 2012. 

California Refueling Emission Standards and Test Procedures for 2001 and Subsequent Model Motor Vehicles, as last amended March 22, 

2012. 

Specifications for Fill Pipes and Openings of 1977 through 2014 Model Motor Vehicle Fuel Tanks, as last amended March 22, 2012.

Specifications for Fill Pipes and Openings of 2015 and Subsequent Model Motor Vehicle Fuel Tanks, adopted March 22, 2012. 

California 2015 and Subsequent Model Criteria Pollutant Exhaust Emission Standards and Test Procedures and 2017 and Subsequent 

Model Greenhouse Gas Exhaust Emission Standards and Test Procedures for Passenger Cars, Light-Duty Trucks, and Medium-Duty Vehicles, adopted March 22, 2012, excluding GHG-related provisions. 

California Exhaust Emission Standards and Test Procedures for 2009 through 2017 Model Zero-Emission Vehicles and Hybrid Electric Vehicles, in the Passenger Car, Light-Duty Truck, and Medium-Duty Vehicle Classes, as last amended March 22, 2012, excluding GHG-related provisions. 

California Exhaust Emission Standards and Test Procedures for 2018 and Subsequent Model Zero-Emission Vehicles and Hybrid Electric 

Vehicles, in the Passenger Car, Light-Duty Truck, and Medium-Duty Vehicle Classes, adopted March 22, 2012, excluding GHG-related 

provisions. 

California 2015 and Subsequent Model Criteria Pollutant Exhaust Emission Standards and Test Procedures and 2017 and Subsequent 

Model Greenhouse Gas Exhaust Emission Standards and Test Procedures for Passenger Cars, Light-Duty Trucks, and Medium-Duty Vehicles, as last amended December 6, 2012, excluding GHG-related provisions. 

California 2001 through 2014 Model Criteria Pollutant Exhaust Emission Standards and Test Procedures and 2009 through 2016 Model 

Greenhouse Gas Exhaust Emission standards and Test Procedures for Passenger Cars, Light-Duty Trucks, and Medium-Duty Vehicles, 

as last amended December 6, 2012, excluding GHG-related provisions. 

California Non-Methane Organic Gas Test Procedures, as last amended December 6, 2012. 

California Evaporative Emission Standards and Test Procedures for 2001 and Subsequent Model Motor Vehicles, as last amended December 6, 2012. 

California Exhaust Emission Standards and Test Procedures for 2004 and Subsequent Model Heavy-Duty Otto-Cycle Engines, as last 

amended December 6, 2012. 

California Exhaust Emission Standards and Test Procedures for 2004 and Subsequent Model Heavy-Duty Diesel Engines and Vehicles, as 

last amended December 6, 2012. 

California Exhaust Emission Standards and Test Procedures for 2009 through 2017 Model Zero-Emission Vehicles and Hybrid Electric Vehicles, in the Passenger Car, Light-Duty Truck, and Medium-Duty Vehicle Classes, as last amended December 6, 2012. 

California Exhaust Emission Standards and Test Procedures for 2018 and Subsequent Model Zero-Emission Vehicles and Hybrid Vehicles, 

in the Passenger Car, Light-Duty Truck, and Medium-Duty Vehicle Classes, adopted December 6, 2012, excluding GHG-related provision. 

On-Road Heavy-Duty Gasoline Engines: 

California Exhaust Emission Standards and Test Procedures for 2004 and Subsequent Model Heavy-Duty Otto-cycle Engines, as last 

amended December 12, 2002. 

On-Road Heavy-Duty Diesel Engines: 

California Exhaust Emission Standards and Test Procedures for 1985 and Subsequent Model Heavy-Duty Diesel Engines and Vehicles, as 

last amended October 25, 2001. 

On-Road Motorcycles: 

California Motor Vehicle Emission Control and Smog Index Label Specifications, as last amended October 22, 1999. 

On-Road Heavy Duty Vehicles—Reduced Idling: 

California Exhaust Emission Standards and Test Procedures for 2004 and Subsequent Model Heavy-Duty Diesel Engines, as last amended 

September 1, 2006. 

Off-Road Large Spark-Ignition (LSI) Engines: 

California Exhaust Emission Standards and Test Procedures for New 2001 through 2006 Off-Road Large Spark-Ignition Engines, Parts I 

and II, adopted September 1, 1999 and as last amended March 2, 2007. 

California Exhaust and Evaporative Emission Standards and Test Procedures for 2007 through 2009 Off-Road Large Spark-Ignition Engines, (2007–2009 Test Procedure 1048), adopted March 2, 2007. 

California Exhaust and Evaporative Emission Standards and Test Procedures for New 2010 and Later Off-Road Large Spark-Ignition Engines, (2010 and Later Test Procedure 1048), adopted March 2, 2007. 

California Exhaust and Evaporative Emission Standards and Test Procedures for New 2007 and Later Off-Road Large Spark-Ignition Engines (Test Procedures 1065 and 1068), adopted March 2, 2007. 

Small Off-Road Engines (SORE): 

California Exhaust Emission Standards and Test Procedures for 2005 and Later Small Off-Road Engines, as last amended February 24, 

2010. 

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69920 Federal Register / Vol. 80, No. 218 / Thursday, November 12, 2015 / Proposed Rules 

3 VOC and NOX are precursors responsible for the 

formation of ozone, and NOX and SO2 are 

precursors for fine particulate matter (PM2.5). SO2

belongs to a family of compounds referred to as 

sulfur oxides (SOX). PM2.5 precursors also include 

VOC and ammonia. See 40 CFR 51.1000. 

TABLE 2—DOCUMENTS INCORPORATED BY REFERENCE IN CARB REGULATIONS LISTED IN TABLE 1, ABOVE, AND

SUBMITTED AS PART OF SIP REVISION—Continued 

Off-Road Compression–Ignition (CI) Engines: 

California Exhaust Emission Standards and Test Procedures for New 2000 and Later Tier 1, Tier 2, and Tier 3 Off-Road Compression-Ignition Engines, Part I–B, adopted January 28, 2000 and as last amended October 20, 2005. 

California Exhaust Emission Standards and Test Procedures for New 1996 and Later Tier 1, Tier 2, and Tier 3 Off-Road Compression-Ignition Engines, Part II, adopted May 12, 1993 and as last amended October 20, 2005. 

California Exhaust Emission Standards and Test Procedures for New 2008 and Later Tier 4 Off-Road Compression-Ignition Engines, Part 

I–C, adopted October 20, 2005. 

Spark-Ignition Marine Engines and Boats (Marine SI): 

California Exhaust Emission Standards and Test Procedures for 2001 Model Year and Later Spark-Ignition Marine Engines, as last amended June 5, 2009. 

Procedures for Exemption of Add-On and Modified Parts for Off-Road Categories, as last amended June 5, 2009. 

Off-Highway Recreational Vehicles and Engines (OHRV): 

California Exhaust Emissions Standards and Test Procedures for 1997 and Later Off-Highway Recreational Vehicles, and Engines, as last 

amended August 15, 2007. 

It is important to note that CARB has 

expressly excluded from the August 14, 

2015 SIP submittal certain sections or 

subsections of California code that have 

been authorized or waived by the EPA 

under CAA section 209. The excluded 

provisions pertain to: 

• Greenhouse Gas (GHG) exhaust 

emission standards for 2009 through 

2016 Model Passenger Cars, Light-Duty 

Trucks, and Medium-Duty Vehicles, and 

2017 and subsequent Model Passenger 

Cars, Light-Duty Trucks, and MediumDuty Vehicles; and 

• GHG related provisions 

incorporated in the test procedures. 

Also, CARB has expressly excluded 

certain sections or subsections of 

California code that are not subject to 

preemption under CAA section 209 and 

thus not included in the related waiver 

or authorization by the EPA. These 

provisions pertain to: 

• Fuel requirements; 

• Idling restrictions on drivers; 

• Opacity standards; 

• Daily mass emission limits (from 

the PERP regulations); and 

• Certain labeling and consumer 

notification requirements. 

Section III.B.4 below provides further 

discussion of these excluded provisions. 

B. Are there other versions of these 

regulations? 

As noted previously, the CAA 

generally assigns to the EPA the 

responsibility of establishing standards 

for the control of emissions from mobile 

sources. However, the State of California 

was a pioneer in establishing standards 

for the control of emissions from new 

motor vehicles, and, in part due to the 

state’s pioneering efforts, Congress 

established in 1967 a process under 

which California, alone among the 

states, would be granted a waiver from 

preemption (if certain criteria are met) 

and thereby enforce its own standards 

and other requirements for the control 

of emissions from new motor vehicles. 

In the 1990 CAA Amendments, 

Congress extended a similar process that 

had been established under section 209 

for new motor vehicles to new and inuse off-road vehicles and engines. See 

CAA section 209(e)(2). Under the 1990 

CAA Amendments, the EPA must 

authorize California standards for the 

control of emissions of off-road vehicles 

and engines if certain criteria are met. 

The first waiver granted was for 

California’s On-Road Emissions 

Standards for Model Year 1968. (See 33 

FR 10160, July 16, 1968.) Since then, 

there have been dozens of waivers and 

authorizations granted by the EPA for 

new and amended CARB mobile source 

regulations. The EPA’s Office of 

Transportation and Air Quality 

maintains a Web site that provides a 

general description of the waiver and 

authorization process and lists all of the 

various waivers and authorizations 

granted by the Agency to CARB over the 

years. See http://www.epa.gov/otaq/

cafr.htm. 

Historically, as noted above, CARB 

regulations subject to the section 209 

waiver or authorization process were 

not submitted to the EPA as a revision 

to the California SIP. Thus, for the 

purposes of the California SIP, there are 

no previous versions of the rules 

addressed in today’s proposed action. 

C. What is the purpose of the submitted 

regulations? 

Historically, California has 

experienced some of the most severe 

and most persistent air pollution 

problems in the country. Under the 

CAA, based on ambient data collected at 

numerous sites throughout the state, the 

EPA has designated areas within 

California as nonattainment areas for the 

ozone NAAQS and the particulate 

matter (both PM10 and PM2.5) NAAQS. 

See, generally, 40 CFR 81.305. 

California also includes a number of 

areas that had been designated as 

nonattainment areas for the carbon 

monoxide NAAQS that the EPA has 

redesignated as attainment areas 

because they have attained the standard 

and are subject to an approved 

maintenance plan demonstrating how 

they will maintain the carbon monoxide 

standard into the future. 

Mobile source emissions constitute a 

significant portion of overall emissions 

of carbon monoxide, volatile organic 

compounds (VOC), oxides of nitrogen 

(NOX), sulfur dioxide (SO2) and 

particulate matter (PM) in the various 

air quality planning areas within 

California, and thus, the purpose of 

CARB’s mobile source regulations is to 

reduce these emissions and thereby 

reduce ambient concentrations to attain 

and maintain the NAAQS throughout 

California.3 At elevated levels, ozone 

and PM harm human health and the 

environment by contributing to 

premature mortality, aggravation of 

respiratory and cardiovascular disease, 

decreased lung function, visibility 

impairment, and damage to vegetation 

and ecosystems. 

D. What requirements do the regulations 

establish? 

Table 3 below describes the 

applicability of the regulations listed in 

table 1 above and summarizes some of 

the key emissions control requirements 

contained in the rules. 

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Federal Register / Vol. 80, No. 218 / Thursday, November 12, 2015 / Proposed Rules 69921 

TABLE 3—GENERAL DESCRIPTION OF REQUIREMENTS ESTABLISHED IN THE MOBILE SOURCE REGULATIONS INCLUDED IN

THE AUGUST 14, 2015 SIP REVISION

Source category Description of requirements in submitted regulation 

On-Road Passenger Cars, 

Light-Duty Trucks, and Medium-Duty Vehicles (LEV II).

CARB’s ‘‘LEV II’’ regulations establish exhaust and evaporative emissions standards (and test procedures) for 

model year (MY) 2004 through 2014 passenger cars, light-duty trucks, and medium-duty passenger vehicles. 

The LEV II regulations also include the adoption of Compliance Assurance Program ‘‘CAP 2000’’ amendments that establish new motor vehicle certification and in-use test requirements—developed jointly with the 

U.S. Environmental Protection Agency—applicable to 2001 and subsequent model motor vehicles. For more 

information about CARB’s LEV II regulations, see 68 FR 19811 (April 22, 2003), 70 FR 22034 (April 28, 

2005), and 75 FR 44948 (July 30, 2010). 

On-Road Passenger Cars, 

Light-Duty Trucks, and Medium-Duty Vehicles (LEV III) 

and Zero Emission Vehicles 

(ZEV).

CARB’s LEV III and ZEV amendments combine the control of criteria air pollutants and GHG emissions into a 

single coordinated package of requirements for MY 2015 through 2025 passenger cars, light-duty trucks, and 

medium-duty passenger vehicles. The requirements amend the exhaust and evaporative emissions standards, the test procedures, and the on-board diagnostic system specifications. (The standards related to GHG 

emissions are not included in the SIP revision submittal.) For more information about CARB’s LEV III and 

ZEV amendments, see 78 FR 2112 (January 9, 2013). 

On-Road Heavy-Duty Gasoline 

Engines.

CARB’s on-road heavy-duty gasoline engine regulations establish exhaust emission standards for heavy-duty 

Otto-cycle engines and vehicles above 8,500 pounds gross vehicle weight rating (GVWR) for the 2004, 2005 

through 2007, and the 2008 and subsequent MYs. These regulations align each of California’s exhaust emission standards and test procedures with its federal counterpart in an effort to streamline and harmonize the 

California and federal programs. For more information about CARB’s on-road heavy-duty gasoline engine 

regulations, see 75 FR 70237 (November 17, 2010). 

On-Road Heavy-Duty Diesel 

Engines.

CARB’s On-Road Heavy-Duty Diesel Engine regulations establish heavy-duty diesel regulations for 2007 and 

subsequent model year vehicles and engines (2007 California Heavy Duty Diesel Engine Standards) and related test procedures including the not-to-exceed (NTE) and supplemental steady state tests (supplemental 

test procedures) to determine compliance with applicable standards. CARB’s 2007 California Heavy Duty 

Diesel Engine Standards primarily align California’s standards and test procedures with the federal standards 

and test procedures for 2007 and subsequent model year on-road heavy-duty vehicles and engines. For 

more information about CARB’s On-Road Heavy-Duty Diesel Engine regulations, see 70 FR 50322 (August 

26, 2005) 

On-Road Motorcycles .............. CARB’s regulations establish exhaust emissions standards and test procedures for new on-road motorcycles 

and motorcycle engines. For additional information about CARB’s motorcycle regulations, see 71 FR 44027 

(August 3, 2006). 

On-Road Heavy-Duty Engines—On-Board Diagnostic 

System (HD OBD).

CARB’s HD OBD regulations establish requirements for onboard diagnostic systems (OBD systems) that are 

installed on 2010 and subsequent model-year engines certified for sale in heavy-duty applications in California. The OBD systems, through the use of an onboard computer(s), monitor emission systems in-use for 

the actual life of the engine and are capable of detecting malfunctions of the monitored emission systems, illuminating a malfunction indicator light (MIL) to notify the vehicle operator of detected malfunctions, and storing fault codes identifying the detected malfunctions. For more information about CARB’s HD OBD regulations, see 77 FR 73459 (December 10, 2012). 

On-Road Heavy Duty Vehicles—engine or vehicle idle 

controls.

As submitted, CARB’s truck idling requirements consist of ‘‘New engine requirements’’ that require new California-certified 2008 and subsequent model year on-road diesel engines in vehicles with a gross vehicle 

weight rating (GVWR) greater than 14,000 pounds (i.e., heavy-duty diesel vehicles or ‘‘HDDV’’s) be equipped 

with a system that automatically shuts down the engine after five minutes of continuous idling. For more information about CARB’s truck idling requirements, see 77 FR 9239 (February 16, 2012). 

In-Use Diesel-Fueled Transport 

Refrigeration Units (TRUs).

Establishes in-use performance standards for diesel–fueled TRUs and TRU generator sets operating in California, and facilities where TRUs operate. In-use TRU engines are required, through one of the compliance 

options set forth in the regulations (e.g., retrofit or replacement), to meet specific performance standards that 

vary by horsepower range, and that have two levels of stringency that are phased in over time—the Low 

Emission TRU Standards, beginning in 2008, and the Ultra-Low Emission TRU Standards beginning in 2010. 

More stringent performance standards are required at 7-year intervals until the Ultra-Low TRU standards are 

met. For more information about CARB’s in-use TRU regulations, see 74 FR 3030 (January 16, 2009) and 

78 FR 38970 (June 28, 2013). 

Commercial Harbor Craft ......... CARB’s commercial harbor craft regulations establish emissions standards, requirements related to control of 

emissions, and enforcement provisions applicable to diesel propulsion and auxiliary engines on new and inuse commercial harbor craft. For new harbor craft, each propulsion and auxiliary diesel engine on the vessel 

is required to be certified to the most stringent federal new marine engine emission standards for that engine’s power rating and displacement in effect at the time of sale, lease, rent, or acquisition. The regulation 

imposes additional requirements for larger new ferries (with the capacity to transport seventy-five or more 

passengers), either by using best available control technology (‘‘BACT’’), or by using a federal Tier 4 certified 

propulsion engine. For in-use harbor craft, new or in-use diesel engines may not be sold, offered for sale, 

leased, rented, or acquired unless the diesel propulsion or auxiliary engines are certified to at least the federal Tier 2 or Tier 3 marine emission standards for new engines of the same power rating and displacement. 

In-use emission requirements are imposed on Tier 0 and Tier 1 marine engines in ferries, excursion vessels, 

tugboats, towboats, push boats, and multipurpose harbor craft. Those harbor craft are required to meet emission limits equal to or cleaner than the federal new marine engine certification standards in effect for the year 

that in-use engine compliance is required. For more information about CARB’s commercial harbor craft regulations, see 76 FR 77521 (December 13, 2011). 

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69922 Federal Register / Vol. 80, No. 218 / Thursday, November 12, 2015 / Proposed Rules 

TABLE 3—GENERAL DESCRIPTION OF REQUIREMENTS ESTABLISHED IN THE MOBILE SOURCE REGULATIONS INCLUDED IN

THE AUGUST 14, 2015 SIP REVISION—Continued 

Source category Description of requirements in submitted regulation 

Off-Road Large Spark-Ignition 

(LSI) Engines.

CARB’s LSI regulations establish more stringent emissions standards for new off-road LSI engines (25 hp or 

greater, gasoline- or LPG-powered, excluding construction and farm equipment) beginning in 2007 (increasing in stringency in 2010), and in-use fleet requirements for forklifts and other industrial equipment with LSI 

engines. The fleet average in-use emission standards apply to operators of large- and medium-sized fleets of 

forklifts, sweepers/scrubbers, airport ground supported equipment (GSE), and industrial two tractors with engine displacements of greater than one liter. For more information about CARB’s LSI regulations, see 77 FR 

20388 (April 4, 2012). 

Auxiliary Diesel Engines on 

Ocean-Going Vessels.

CARB’s ‘‘At-Berth’’ regulation contains requirements that apply, with limited exceptions, to any person who 

owns or operates any container vessel, passenger vessel, or refrigerated cargo vessel that visits any of six 

specified California ports. It also contains requirements that affect any person who owns or operates those 

ports or terminals located at them. CARB’s At-Berth regulation requires fleets of container vessels, passenger vessels and refrigerated cargo vessels to either: (1) Limit the amount of time they operate their auxiliary diesel engines by connecting to shore power for most of a vessel’s stay at port (‘‘Shore Power Option’’); 

or (2) achieve equivalent emission reductions by employing other emission control techniques (‘‘Equivalent 

Emission Reduction Option’’). Fleet operators who elect the Shore Power Option are required to obtain the 

power that would otherwise be provided by a vessel’s auxiliary engines by connecting to shore power for a 

percentage of the fleet’s annual port visits. The required percentage of shore power connected port visits increases over the life of the regulation. Specifically, fifty percent of a fleet’s total visits must be connected to 

shore power by 2014, followed by seventy percent by 2017, and eighty percent by 2020. For more information about CARB’s At-Berth regulation, see 76 FR 77515 (December 13, 2011). 

In-Use Off-Road Diesel Fueled 

Fleets.

CARB’s In-Use Off-Road Diesel-Fueled Fleets Regulation applies to fleets with off-road compression-ignition 

vehicles or equipment greater than 25 horsepower. The regulation takes effect beginning as early as 2014, 

depending on fleet size. It requires fleet operators to meet a progressively more stringent combined PM and 

NOX standard, or to reduce emissions through technology upgrades such as retrofit or replacement. For 

more information about CARB’s In-Use Off-Road Diesel-Fueled Fleets Regulation, see 78 FR 58090 (September 20, 2013). 

Mobile Cargo Handling Equipment (CHE).CARB’s mobile CHE regulation sets performance standards for engines equipped in newly purchased, leased, 

or rented (collectively known as ‘‘newly acquired’’), as well as in-use, mobile cargo handling equipment used 

at ports or intermodal rail yards in California. The standards vary depending on the type of vehicle, whether 

the engine is used in off-road equipment or a vehicle registered as an on-road motor vehicle, and whether 

they are newly acquired or already in-use. For more information about CARB’s mobile CHE regulation, see 

77 FR 9916 (February 21, 2012) and 80 FR 26249 (May 7, 2015). 

Small Off-Road Engines 

(SORE).

CARB’s SORE regulations establish emissions standards for new spark ignition utility and lawn and garden 

equipment engines 25 horsepower and under. For more information about CARB’s SORE regulations, see 

80 FR 26041 (May 6, 2015). 

Off-Road Compression –Ignition (CI) Engines.CARB’s Off-Road CI Engine Regulations establish emissions standards for new off-road diesel-powered engines and equipment. For more information about CARB’s Off-Road CI Engine Regulations, see 75 FR 8056 

(February 23, 2010). 

In-Use Portable Diesel-Fueled 

Engines (PDE).

CARB’s PDE regulation establishes requirements for in-use portable diesel-fueled engines 50 brake-horsepower (hp) and greater. Specifically, starting on January 1, 2010, all portable engines in California must be 

certified to meet a federal or California standard for newly manufactured off-road engines. More stringent requirements apply beginning on January 1, 2020. Fleets of portable engines must comply with increasingly 

more stringent weighted PM emission fleet averages that apply on three different deadlines (January 1, 

2013, January 1, 2017, and January 1, 2020). For more information about CARB’s PDE regulation, see 77 

FR 72846 (December 6, 2012). 

Portable Equipment Registration Program (PERP).PERP is a voluntary statewide program that enables registration of off-road engines and equipment that operate at multiple locations across California, so that the engine and equipment owners can operate throughout 

California without obtaining permits from local air pollution control districts. The PERP sets out four general 

requirements applicable to all registered equipment: (1) Registered equipment may not operate in a manner 

that causes a nuisance; (2) registered equipment may not interfere with attainment of national or state ambient air quality standard; (3) registered equipment many not cause an exceedance of an ambient air quality 

standard; and (4) owners of registered equipment must provide notice and comply with requirements for prevention of significant deterioration if it would constitute a major modification of that source. The PERP also 

has specific requirements for both registered engines and certain types of equipment units. For more information about CARB’s PERP regulations, see 77 FR 72851 (December 6, 2012). 

Spark-Ignition Inboard and 

Sterndrive Marine Engines.

CARB’s Inboard and Sterndrive Marine Engine regulations establish tier II hydrocarbon (HC) and NOX exhaust 

emissions standards for new inboard and sterndrive engines. For more information about CARB’s Marine SI 

Engine regulations, see 72 FR 14546 (March 28, 2007) and 76 FR 24872 (May 3, 2011). 

Spark-Ignition Marine Engines 

and Boats (Marine SI).

CARB’s Marine SI Engine regulations establish HC and NOX exhaust emissions standards for outboard, inboard, and sterndrive engines and personal watercraft. For more information about CARB’s Marine SI Engine 

regulations, see 72 FR 14546 (March 28, 2007), 76 FR 24872 (May 3, 2011), and 80 FR 26032 (May 6, 

2015). 

Off-Highway Recreational Vehicles and Engines (OHRV).CARB’s OHRV regulations establish exhaust and evaporative emission standards and test procedures for 

OHRVs. The regulations also establish a ‘‘red tag’’ program under which OHRVs not meeting the applicable 

emissions standards could be certified subject to use restrictions (i.e., use in specified areas during specified 

times of the year). For more information about CARB’s OHRV regulations, see 79 FR 6584 (February 4, 

2014). 

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Federal Register / Vol. 80, No. 218 / Thursday, November 12, 2015 / Proposed Rules 69923 

4CAA section 193, which prohibits any pre-1990 

SIP control requirement relating to nonattainment 

pollutants in nonattainment areas from being 

modified unless the SIP is revised to insure 

equivalent or greater emission reductions of such 

air pollutants, does not apply to these regulations 

because they would be new to the California SIP, 

and thus, do not constitute an amendment to a pre1990 SIP control requirement. 

5We recognize that our authorization (78 FR 

58090, September 20, 2013) for CARB’s in-use offroad diesel-fueled fleet regulations has been 

challenged in both the D.C. Circuit and Ninth 

Circuit Court of Appeals. See Dalton Trucking, Inc. 

v. EPA (D.C. Cir., No 13–1283) and Dalton 

Trucking, Inc. v. EPA (9th Cir., No. 13–74019). The 

D.C. Circuit will hear oral arguments in the case on 

November 9, 2015. (The Ninth Circuit is holding the 

cased in abeyance pending a decision by the D.C. 

Circuit concerning jurisdiction.) An adverse 

decision from the D.C. Circuit or Ninth Circuit that 

remands or vacates our authorization of CARB’s inuse off-road diesel-fueled fleet regulations will 

prompt reconsideration of our approval of the 

regulations as part of the SIP because, absent 

authorization, CARB will be prohibited from 

enforcing the regulations and thus will no longer be 

able to provide the necessary assurances called for 

in CAA section 110(a)(2)(E) for the subject 

regulations. 

III. EPA’s Evaluation and Proposed 

Action 

A. How is the EPA evaluating the 

regulations? 

The EPA has evaluated the submitted 

regulations discussed above against the 

applicable procedural and substantive 

requirements of the CAA for SIPs and 

SIP revisions and has concluded that 

they meet all of the applicable 

requirements. Generally, SIPs must 

include enforceable emission 

limitations and other control measures, 

means, or techniques, as well as 

schedules and timetables for 

compliance, as may be necessary to 

meet the requirements of the Act [see 

CAA section 110(a)(2)(A)]; must provide 

necessary assurances that the state will 

have adequate personnel, funding, and 

authority under state law to carry out 

such SIP (and is not prohibited by any 

provision of federal or state law from 

carrying out such SIP) [see CAA section 

110(a)(2)(E)]; must be adopted by a state 

after reasonable notice and public 

hearing [see CAA section 110(l)], and 

must not interfere with any applicable 

requirement concerning attainment and 

reasonable further progress, or any other 

applicable requirement of the Act [see 

CAA section 110(l)].4

B. Do the state regulations meet CAA 

SIP evaluation criteria? 

1. Did the state provide adequate public 

notification and comment periods? 

Under CAA section 110(l), SIP 

revisions must be adopted by the state, 

and the state must provide for 

reasonable public notice and hearing 

prior to adoption. In 40 CFR 51.102(d), 

we specify that reasonable public notice 

in this context refers to at least 30 days. 

All of the submitted regulations have 

gone through extensive public comment 

processes including CARB’s workshop 

and hearing processes prior to state 

adoption of each rule. Also, the EPA’s 

waiver and authorization processes 

provide an opportunity for the public to 

request public hearings to present 

information relevant to the EPA’s 

consideration of CARB’s request for 

waiver or authorization under section 

209 of the CAA and to submit written 

comment. 

In addition, on June 19, 2015, CARB 

published a notice of public meeting to 

be held on July 23, 2015 to consider 

adoption and submittal of the adopted 

regulations for which the EPA has 

granted waivers or authorization as a 

revision to the California SIP. CARB 

held the public hearing on July 23, 

2015. No written comments were 

submitted to CARB in connection with 

the proposed SIP revision, and no 

public comments were made at the 

public hearing. CARB adopted the SIP 

revision at the July 23, 2015 Board 

Hearing (Board Resolution 15–40), and 

submitted the relevant mobile source 

regulations to the EPA on August 14, 

2015 along with evidence of the public 

process conducted by CARB in adopting 

the SIP revision. We conclude that 

CARB’s August 14, 2015 SIP revision 

submittal meets the applicable 

procedural requirements for SIP 

revisions under the CAA section 110(l) 

and 40 CFR 51.102. 

2. Does the state have adequate legal 

authority to implement the regulations? 

CARB has been granted both general 

and specific authority under the 

California Health & Safety Code (H&SC) 

to adopt and implement these 

regulations. California H&SC sections 

39600 (‘‘Acts required’’) and 39601 

(‘‘Adoption of regulation; Conformance 

to federal law’’) confer on CARB the 

general authority and obligation to 

adopt regulations and measures 

necessary to execute CARB’s powers 

and duties imposed by state law. 

California H&SC sections 43013(a) and 

43018 provide broad authority to 

achieve the maximum feasible and costeffective emission reductions from all 

mobile source categories. Regarding inuse motor vehicles, California H&SC 

sections 43600 and 43701(b), 

respectively, grant CARB authority to 

adopt emission standards and emission 

control equipment requirements. 

Further, California H&SC section 39666 

gives CARB authority to adopt airborne 

toxic control measures to reduce 

emissions of toxic air contaminants 

from new and in-use non-vehicular 

sources. 

As a general matter, as noted above, 

the CAA assigns mobile source 

regulation to the EPA through title II of 

the Act and assigns stationary source 

regulation and SIP development 

responsibilities to the states through 

title I of the Act. In so doing, the CAA 

preempts various types of state 

regulation of mobile sources as set forth 

in section 209(a) (preemption of state 

emissions standards for new motor 

vehicles and engines), section 209(e) 

(preemption of state emissions 

standards for new and in-use nonroad 

vehicles and engines) and section 

211(c)(4)(A) [preemption of state fuel 

requirements for motor vehicles, i.e., 

other than California’s motor vehicle 

fuel requirements for motor vehicle 

emission control—section 211(c)(4)(B)]. 

For certain types of mobile source 

standards, the State of California may 

request a waiver (for motor vehicles) or 

authorization (for off-road vehicles or 

engines) for standards relating to the 

control of emissions and accompanying 

enforcement procedures. See CAA 

sections 209(b) (new motor vehicles) 

and 209(e)(2) (most categories of new 

and in-use off-road vehicles). 

The mobile source regulations that are 

the subject of today’s proposed rule are 

those for which California has sought a 

waiver or authorization and for which 

the EPA has granted such waiver or 

authorization and thus the regulations 

proposed for approval today are not 

preempted under the CAA.5 For 

additional information regarding 

California’s motor vehicle emission 

standards, please see the EPA’s 

‘‘California Waivers and 

Authorizations’’ Web page at URL 

address: http://www.epa.gov/otaq/

cafr.htm. This Web site also lists 

relevant Federal Register notices that 

have been issued by the EPA is response 

to California waiver and authorization 

requests. 

In addition, the EPA is unaware of 

any non-CAA legal obstacle to CARB’s 

enforcement of the regulations and thus 

we conclude that the state has provided 

the necessary assurances that the state 

has adequate authority under state law 

to carry out the SIP revision (and is not 

prohibited by any provision of federal or 

state law from carrying out such SIP) 

and thereby meets the requirements of 

CAA section 110(a)(2)(E) with respect to 

legal authority. 

3. Are the regulations enforceable as 

required under CAA section 110(a)(2)? 

We have evaluated the enforceability 

of the submitted mobile source 

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69924 Federal Register / Vol. 80, No. 218 / Thursday, November 12, 2015 / Proposed Rules 

6These concepts are discussed in detail in an 

EPA memorandum from J. Craig Potter, EPA 

Assistant Administrator for Air and Radiation, et 

al., titled ‘‘Review of State Implementation Plans 

and Revisions for Enforceability and Legal 

Sufficiency,’’ dated September 23, 1987. 

7The only such provisions in any of the 

submitted regulations are a sunset provision for 

alternative requirements in the ZEV regulations at 

13 CCR section 1962.1(b)(2)(B)(3.), and a sunset 

review of the on-road motorcycle standards at 13 

CCR section 1958(h). The latter provision requires 

CARB to review the on-road motorcycle standards 

in section 1958 to determine whether they should 

be retained, revised, or repealed. Any such revision 

or rescission would not be become effective 

automatically, but would require rulemaking by 

CARB, and may also require a waiver from the EPA 

depending on the nature or the revision. 

8Letter from Richard W. Corey, Executive Officer, 

CARB, to Jared Blumenfeld, Regional 

Administrator, EPA Region IX, August 14, 2015. 

regulations with respect to applicability 

and exemptions; standard of conduct 

and compliance dates; sunset 

provisions; discretionary provisions; 

and test methods, recordkeeping and 

reporting,6 and have concluded for the 

reasons given below that the proposed 

regulations would be enforceable for the 

purposes of CAA section 110(a)(2). 

First, with respect to applicability, we 

find that the submitted regulations 

would be sufficiently clear as to which 

persons and which vehicles or engines 

are affected by the regulations. See, e.g., 

13 CCR section 2430 (applicability 

provision for off-road LSI engine 

emission standard regulation); 13 CCR 

section 2449(b) (applicability provision 

for in-use off-road diesel-fueled fleets 

regulation). 

Second, we find that the submitted 

regulations would be sufficiently 

specific so that the persons affected by 

the regulations would be fairly on notice 

as to what the requirements and related 

compliance dates area. For instance, see 

the performance requirements for in-use 

off-road diesel-fueled fleets in 13 CCR 

section 2449(d). Third, none of the 

submitted regulations contain sunset 

provisions that automatically repeal the 

emissions limits by a given date or upon 

the occurrence of a particular event, 

such as the change in the designation of 

an area from nonattainment to 

attainment.7

Fourth, a number of the submitted 

regulations contain provisions that 

allow for discretion on the part of 

CARB’s Executive Officer. Such 

‘‘director’s discretion’’ provisions can 

undermine enforceability of a SIP 

regulation, and thus prevent full 

approval by the EPA. However, in the 

instances of ‘‘director’s discretion’’ in 

the submitted regulations, the discretion 

that can be exercised by the CARB 

Executive Officer is reasonably limited 

under the terms of the regulations. For 

instance, the regulation establishing 

standards and other requirements 

related to the control of emissions from 

commercial harbor craft includes 

alternative control of emissions (ACE) 

provisions that allow a person to be 

deemed in compliance by implementing 

an alternative emission control strategy 

(AECS) subject to the approval of the 

Executive Officer. See 13 CCR section 

93118.5(f). The regulation specifies the 

application process for such an AECS, 

requires a number of demonstrations to 

be included (such as equivalent 

emissions reduction), and provides for 

public review. With such constraints on 

discretion, the ‘‘director’s discretion’’ 

contained in the submitted regulations 

would not significantly undermine 

enforceability of the rules by citizens or 

the EPA. 

Lastly, each of the submitted 

regulations identifies appropriate test 

methods and includes adequate 

recordkeeping and reporting 

requirements sufficient to ensure 

compliance with the applicable 

requirements. The technical support 

document provides more detail 

concerning the contents of the 

submitted regulations. 

4. Do the regulations interfere with 

reasonable further progress and 

attainment or any other applicable 

requirement of the Act? 

All of the state’s reasonable further 

progress (RFP), attainment, and 

maintenance plans rely to some extent 

on the emission reductions from CARB’s 

mobile source program, including the 

emissions standards and other 

requirements for which the EPA has 

issued waivers or authorizations. For 

some plans, the reliance is substantial 

and for others the reliance is less. 

CARB’s mobile source program is 

reflected in the emissions estimates for 

mobile sources that are included in the 

emissions inventories that form the 

quantitative basis for the RFP, 

attainment, and maintenance 

demonstrations. As such, CARB’s 

mobile source regulations submitted for 

approval as a revision to the California 

SIP support the various RFP, 

attainment, and maintenance plans, and 

would not interfere with such 

requirements for the purposes of CAA 

section 110(l). 

As noted above, CARB expressly 

excluded certain sections or subsections 

of California code from consideration as 

part of the SIP revision. These 

provisions relate to GHG motor vehicle 

emissions standards and test 

procedures, fuel requirements, idling 

limits, opacity standards, daily mass 

emission limits, and certain labeling 

and consumer notification 

requirements. We understand that the 

GHG provisions have been excluded 

because they provide minimal 

emissions reductions over the time 

period covered by the current 

generation of California RFP, 

attainment, and maintenance plans. 

With respect to the non-preempted 

provisions, we understand that they 

were not included in the August 14, 

2015 SIP submittal because they are not 

‘‘waiver measures’’ and thus are not 

relevant for the purposes of responding 

to the Ninth Circuit’s decision in 

Committee for a Better Arvin v. EPA. 

However, we note the general principle 

that state emissions limitations and 

other control measures that are relied 

upon to meet CAA SIP requirements, 

such as RFP, attainment or maintenance 

demonstrations, must be approved into 

the SIP to comply with the requirement 

for such limitations and other control 

measures to be enforceable for the 

purposes of CAA section 110(a)(2)(A). 

Thus, we encourage CARB to review the 

RFP, attainment, and maintenance plans 

for the various air quality planning areas 

in California to ensure that the plans do 

not rely on the associated emissions 

reductions from the provisions excluded 

from the August 14, 2015 SIP submittal. 

5. Will the state have adequate 

personnel and funding for the 

regulations? 

In its SIP revision submittal, CARB 

refers to the annual approval by the 

California Legislature of funding and 

staff resources for carrying out CAArelated responsibilities and notes that a 

large portion of CARB’s budget has gone 

toward meeting CAA mandates.8 CARB 

indicates that a majority of CARB’s 

funding comes from dedicated fees 

collected from regulated emission 

sources and other sources such as 

vehicle registration fees and vehicles 

license plate fees and that these funds 

can only be used for air pollution 

control activities. Id. For the 2014–2015 

budget cycle, CARB had over 700 

positions and almost $500 million 

dedicated for the mobile source program 

developing and enforcing regulations. 

Id. Given the longstanding nature of 

CARB’s mobile source program, and its 

documented effectiveness at achieving 

significant reductions from mobile 

sources, we find that CARB has 

provided necessary assurances that the 

state has adequate personnel and 

funding to carry out the mobile source 

regulations submitted for approval as 

part of the California SIP. 

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Federal Register / Vol. 80, No. 218 / Thursday, November 12, 2015 / Proposed Rules 69925 

6. EPA’s Evaluation Conclusion 

Based on the above discussion, we 

believe these regulations are consistent 

with the relevant CAA requirements, 

and with relevant EPA policies and 

guidance. 

C. Proposed Action and Request for 

Public Comment 

Under section 110(k)(3) of the CAA, 

and for the reasons given above, we are 

proposing to approve a SIP revision 

submitted by CARB on August 14, 2015 

that includes certain sections of title 13 

and title 17 of the California Code of 

Regulations that establish standards and 

other requirements relating to the 

control of emissions from new and inuse on-road and off-road vehicles and 

engines. We are proposing to approve 

these regulations as part of the 

California SIP because we believe they 

fulfill all relevant CAA requirements. 

We will accept comments from the 

public on this proposal until December 

14, 2015. Unless we receive convincing 

new information during the comment 

period, we intend to publish a final 

approval action that will incorporate 

these rules into the federally enforceable 

SIP for the State of California. 

IV. Incorporation by Reference 

In this proposed rule, the EPA is 

proposing to include in a final EPA rule 

regulatory text that includes 

incorporation by reference. In 

accordance with requirements of 1 CFR 

51.5, the EPA is proposing to 

incorporate by reference certain sections 

of title 13 and title 17 of the California 

Code of Regulations that establish 

standards and other requirements 

relating to the control of emissions from 

new and in-use on-road and off-road 

vehicles and engines, as described in 

section II of this preamble. The EPA has 

made, and will continue to make, these 

documents generally available 

electronically through 

www.regulations.gov and/or in hard 

copy at the appropriate EPA office (see 

the ADDRESSES section of this preamble 

for more information). 

V. Statutory and Executive Order 

Reviews 

Under the Clean Air Act, the 

Administrator is required to approve a 

SIP submission that complies with the 

provisions of the Act and applicable 

federal regulations. 42 U.S.C. 7410(k); 

40 CFR 52.02(a). Thus, in reviewing SIP 

submissions, EPA’s role is to approve 

state choices, provided that they meet 

the criteria of the Clean Air Act. 

Accordingly, this proposed action 

merely approves state law as meeting 

federal requirements and does not 

impose additional requirements beyond 

those imposed by state law. For that 

reason, this proposed action: 

• Is not a ‘‘significant regulatory 

action’’ subject to review by the Office 

of Management and Budget under 

Executive Order 12866 (58 FR 51735, 

October 4, 1993); 

• Does not impose an information 

collection burden under the provisions 

of the Paperwork Reduction Act (44 

U.S.C. 3501 et seq.); 

• Is certified as not having a 

significant economic impact on a 

substantial number of small entities 

under the Regulatory Flexibility Act (5 

U.S.C. 601 et seq.); 

• Does not contain any unfunded 

mandate or significantly or uniquely 

affect small governments, as described 

in the Unfunded Mandates Reform Act 

of 1995 (Pub. L. 104–4); 

• Does not have federalism 

implications as specified in Executive 

Order 13132 (64 FR 43255, August 10, 

1999); 

• Is not an economically significant 

regulatory action based on health or 

safety risks subject to Executive Order 

13045 (62 FR 19885, April 23, 1997); 

• Is not a significant regulatory action 

subject to Executive Order 13211 (66 FR 

28355, May 22, 2001); 

• Is not subject to requirements of 

Section 12(d) of the National 

Technology Transfer and Advancement 

Act of 1995 (15 U.S.C. 272 note) because 

application of those requirements would 

be inconsistent with the Clean Air Act; 

and 

• Does not provide the EPA with the 

discretionary authority to address, as 

appropriate, disproportionate human 

health or environmental effects, using 

practicable and legally permissible 

methods, under Executive Order 12898 

(59 FR 7629, February 16, 1994). 

In addition, the SIP is not approved 

to apply on any Indian reservation land 

or in any other area where the EPA or 

an Indian tribe has demonstrated that a 

tribe has jurisdiction. In those areas of 

Indian country, this proposed rule does 

not have tribal implications as specified 

by Executive Order 13175 (65 FR 67249, 

November 9, 2000), nor will it impose 

substantial direct costs on tribal 

governments or preempt tribal law. 

List of Subjects in 40 CFR Part 52 

Environmental protection, Air 

pollution control, Carbon monoxide, 

Incorporation by reference, 

Intergovernmental relations, Nitrogen 

dioxide, Ozone, Particulate matter, 

Reporting and recordkeeping 

requirements, Volatile organic 

compounds. 

Authority: 42 U.S.C. 7401 et seq. 

Dated: October 30, 2015. 

Jared Blumenfeld, 

Regional Administrator, Region IX. 

[FR Doc. 2015–28614 Filed 11–10–15; 8:45 am] 

BILLING CODE 6560–50–P 

ENVIRONMENTAL PROTECTION 

AGENCY 

40 CFR Part 52 

[EPA–R06–OAR–2015–0431; FRL–9936–68– 

Region 6] 

Approval and Promulgation of 

Implementation Plans; State of New 

Mexico/Albuquerque-Bernalillo 

County; Infrastructure and Interstate 

Transport SIP 2010 Sulfur Dioxide 

National Ambient Air Quality 

Standards 

AGENCY: Environmental Protection 

Agency (EPA). 

ACTION: Proposed rule. 

SUMMARY: Under the Federal Clean Air 

Act (CAA or the Act), the 

Environmental Protection Agency (EPA) 

is proposing to approve a State 

Implementation Plan (SIP) submission 

from the State of New Mexico on behalf 

of Albuquerque-Bernalillo County for 

the 2010 Sulfur Dioxide (SO2) National 

Ambient Air Quality Standards 

(NAAQS). The submittal addresses how 

the existing SIP provides for 

implementation, maintenance, and 

enforcement of the 2010 SO2 NAAQS 

(infrastructure SIP or i-SIP). This i-SIP 

ensures that the State’s SIP for 

Albuquerque-Bernalillo County is 

adequate to meet the state’s 

responsibilities under the CAA, 

including the four CAA requirements 

for interstate transport of SO2 emissions. 

DATES: Written comments must be 

received on or before December 14, 

2015. 

ADDRESSES: Submit your comments, 

identified by Docket ID Number EPA– 

R06–OAR–2015–0431, by one of the 

following methods: 

• www.regulations.gov. Follow the 

online instructions. 

• Email: Tracie Donaldson at 

Donaldson.tracie@epa.gov. 

• Mail or delivery: Mary Stanton, 

Chief, Air Grants Section (6PD–S), 

Environmental Protection Agency, 1445 

Ross Avenue, Suite 1200, Dallas, Texas 

75202–2733. Deliveries are accepted 

only between the hours of 8 a.m. and 4 

p.m. weekdays, and not on legal 

holidays. Special arrangements should 

be made for deliveries of boxed 

information. 

Instructions: Direct your comments to 

Docket ID No. EPA–R06–OAR–2015– 

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