The EPA Regional Administrator, Jared Blumenfeld signed the following final 

rule on October 30, 2015 and EPA is submitting it for publication in the 

Federal Register (FR). While we have taken steps to ensure the accuracy of 

this Internet version of the final rule, it is not the official version of 

the final rule. Please refer to the official version in a forthcoming FR 

publication appearing on the Government Printing Office’s FDsys website, 

http://fdsys.gpo.gov/fdsys/search/home.action and on Regulations.gov in 

Docket Number EPA-R09-OAR-2015-0622, http://www.regulations.gov.

 6560-50-P 

ENVIRONMENTAL PROTECTION AGENCY 

40 CFR Part 52 

[EPA-R09-OAR-2015-0622; FRL-] 

Approval and Promulgation of Implementation Plans; California; 

California Mobile Source Regulations 

AGENCY: Environmental Protection Agency. 

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 [INSERT DATE 30 DAYS AFTER 

DATE OF PUBLICATION IN THE FEDERAL REGISTER]. 
This document is a prepublication version signed by EPA Regional 

Administrator Jared Blumenfeld on October 30, 2015. We have taken steps to 

ensure the accuracy of this version, but it is not the official version.

2 

ADDRESSES: Submit comments, identified by docket number [EPAR09-OAR-2015-0622], by one of the following methods: 

1. Federal eRulemaking Portal: www.regulations.gov. Follow 

the on-line instructions. 

2. E-mail: 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 e-mail. 

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 e-mail 

directly to the EPA, your e-mail address will be automatically 

captured and included as part of the public comment. If the EPA 
This document is a prepublication version signed by EPA Regional 

Administrator Jared Blumenfeld on October 30, 2015. We have taken steps to 

ensure the accuracy of this version, but it is not the official version.

3 

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 
This document is a prepublication version signed by EPA Regional 

Administrator Jared Blumenfeld on October 30, 2015. We have taken steps to 

ensure the accuracy of this version, but it is not the official version.

4 

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. 
This document is a prepublication version signed by EPA Regional 

Administrator Jared Blumenfeld on October 30, 2015. We have taken steps to 

ensure the accuracy of this version, but it is not the official version.

5 

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 
This document is a prepublication version signed by EPA Regional 

Administrator Jared Blumenfeld on October 30, 2015. We have taken steps to 

ensure the accuracy of this version, but it is not the official version.

6 

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). 

 

1 EPA regulations refer to “nonroad” vehicles and engines whereas California 

regulations refer to “off-road” 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. 
This document is a prepublication version signed by EPA Regional 

Administrator Jared Blumenfeld on October 30, 2015. We have taken steps to 

ensure the accuracy of this version, but it is not the official version.

7 

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 
This document is a prepublication version signed by EPA Regional 

Administrator Jared Blumenfeld on October 30, 2015. We have taken steps to 

ensure the accuracy of this version, but it is not the official version.

8 

(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 on-road 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 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 
This document is a prepublication version signed by EPA Regional 

Administrator Jared Blumenfeld on October 30, 2015. We have taken steps to 

ensure the accuracy of this version, but it is not the official version.

9 

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 off-road 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 
This document is a prepublication version signed by EPA Regional 

Administrator Jared Blumenfeld on October 30, 2015. We have taken steps to 

ensure the accuracy of this version, but it is not the official version.

10 

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 
This document is a prepublication version signed by EPA Regional 

Administrator Jared Blumenfeld on October 30, 2015. We have taken steps to 

ensure the accuracy of this version, but it is not the official version.

11 

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, LightDuty Trucks, 

and MediumDuty 

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, LightDuty Trucks, 

Adoption of 13 CCR §§ 

1961.2 and 1962.2 

(excluding subsection 

1962.2(g)(6)) and 

01/26/12, 

11/15/12 

78 FR 2112 

(1/9/13) 

 

2 CARB’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. 
This document is a prepublication version signed by EPA Regional 

Administrator Jared Blumenfeld on October 30, 2015. We have taken steps to 

ensure the accuracy of this version, but it is not the official version.

12 

and MediumDuty 

Vehicles (LEV 

III) and Zero 

Emission 

Vehicles 

(ZEV) 

amendments to 13 CCR §§ 

1900, 1956.8, 1960.1, 1961, 

1962.1, 1962.2 (re-numbered 

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. 

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) 

On-Road 

Heavy-Duty 

13 CCR §§ 1971.1 and 

1971.5, effective for state 

5/28/09 77 FR 

73459 
This document is a prepublication version signed by EPA Regional 

Administrator Jared Blumenfeld on October 30, 2015. We have taken steps to 

ensure the accuracy of this version, but it is not the official version.

13 

Engines - OnBoard 

Diagnostic 

System (HD 

OBD) 

law purposes on 6/17/10. (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 SparkIgnition 

(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- 13 CCR §§ 2449 (excluding 5/25/07, 78 FR 
This document is a prepublication version signed by EPA Regional 

Administrator Jared Blumenfeld on October 30, 2015. We have taken steps to 

ensure the accuracy of this version, but it is not the official version.

14 

Road Diesel 

Fueled Fleets

subsection 2449(d)(2)) 

2449.1, and 2449.2, 

effective for state law 

purposes on 12/14/11. 

7/26/07, 

12/11/08, 

1/22/09, 

7/23/09, 

12/17/10 

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 OffRoad 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 

Diesel-Fueled 

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) 
This document is a prepublication version signed by EPA Regional 

Administrator Jared Blumenfeld on October 30, 2015. We have taken steps to 

ensure the accuracy of this version, but it is not the official version.

15 

SparkIgnition 

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 
This document is a prepublication version signed by EPA Regional 

Administrator Jared Blumenfeld on October 30, 2015. We have taken steps to 

ensure the accuracy of this version, but it is not the official version.

16 

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. 

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 

Medium-Duty 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 MediumDuty Vehicles, as last amended March 22, 2012, excluding GHGrelated 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. 
This document is a prepublication version signed by EPA Regional 

Administrator Jared Blumenfeld on October 30, 2015. We have taken steps to 

ensure the accuracy of this version, but it is not the official version.

17 

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 MediumDuty 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 MediumDuty Vehicles, as last amended December 6, 2012, excluding GHGrelated 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 MediumDuty Vehicles, as last amended December 6, 2012, excluding GHGrelated provisions. 

California Non-Methane Organic Gas Test Procedures, as last 
This document is a prepublication version signed by EPA Regional 

Administrator Jared Blumenfeld on October 30, 2015. We have taken steps to 

ensure the accuracy of this version, but it is not the official version.

18 

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 MediumDuty Vehicle Classes, adopted December 6, 2012, excluding GHGrelated 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 
This document is a prepublication version signed by EPA Regional 

Administrator Jared Blumenfeld on October 30, 2015. We have taken steps to 

ensure the accuracy of this version, but it is not the official version.

19 

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. 

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. 
This document is a prepublication version signed by EPA Regional 

Administrator Jared Blumenfeld on October 30, 2015. We have taken steps to 

ensure the accuracy of this version, but it is not the official version.

20 

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 OffRoad 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 Medium-Duty 

Vehicles; and 

· GHG related provisions incorporated in the test procedures. 
This document is a prepublication version signed by EPA Regional 

Administrator Jared Blumenfeld on October 30, 2015. We have taken steps to 

ensure the accuracy of this version, but it is not the official version.

21 

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 
This document is a prepublication version signed by EPA Regional 

Administrator Jared Blumenfeld on October 30, 2015. We have taken steps to 

ensure the accuracy of this version, but it is not the official version.

22 

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 in-use 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 website 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 
This document is a prepublication version signed by EPA Regional 

Administrator Jared Blumenfeld on October 30, 2015. We have taken steps to 

ensure the accuracy of this version, but it is not the official version.

23 

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 
This document is a prepublication version signed by EPA Regional 

Administrator Jared Blumenfeld on October 30, 2015. We have taken steps to 

ensure the accuracy of this version, but it is not the official version.

24 

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. 

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, LightDuty Trucks, 

and MediumDuty 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 

 

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. 
This document is a prepublication version signed by EPA Regional 

Administrator Jared Blumenfeld on October 30, 2015. We have taken steps to 

ensure the accuracy of this version, but it is not the official version.

25 

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, LightDuty Trucks, 

and MediumDuty 

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 
This document is a prepublication version signed by EPA Regional 

Administrator Jared Blumenfeld on October 30, 2015. We have taken steps to 

ensure the accuracy of this version, but it is not the official version.

26 

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 - OnBoard 

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 

Establishes in-use performance standards for 

diesel–fueled TRUs and TRU generator sets 
This document is a prepublication version signed by EPA Regional 

Administrator Jared Blumenfeld on October 30, 2015. We have taken steps to 

ensure the accuracy of this version, but it is not the official version.

27 

Transport 

Refrigeration 

Units (TRUs) 

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 in-use 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 
This document is a prepublication version signed by EPA Regional 

Administrator Jared Blumenfeld on October 30, 2015. We have taken steps to 

ensure the accuracy of this version, but it is not the official version.

28 

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). 

Off-Road 

Large SparkIgnition 

(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 
This document is a prepublication version signed by EPA Regional 

Administrator Jared Blumenfeld on October 30, 2015. We have taken steps to 

ensure the accuracy of this version, but it is not the official version.

29 

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 OffRoad 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 InUse 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 OffRoad 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). 
This document is a prepublication version signed by EPA Regional 

Administrator Jared Blumenfeld on October 30, 2015. We have taken steps to 

ensure the accuracy of this version, but it is not the official version.

30 

Off-Road 

Compression –

Ignition (CI)

Engines 

CARB’s Off-Road CI Engine Regulations establish 

emissions standards for new off-road dieselpowered 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 brakehorsepower (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 offroad 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, 
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Administrator Jared Blumenfeld on October 30, 2015. We have taken steps to 

ensure the accuracy of this version, but it is not the official version.

31 

2012). 

SparkIgnition 

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). 

SparkIgnition 

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). 

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 
This document is a prepublication version signed by EPA Regional 

Administrator Jared Blumenfeld on October 30, 2015. We have taken steps to 

ensure the accuracy of this version, but it is not the official version.

32 

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 

 

4 CAA 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 pre-1990 SIP control requirement. 
This document is a prepublication version signed by EPA Regional 

Administrator Jared Blumenfeld on October 30, 2015. We have taken steps to 

ensure the accuracy of this version, but it is not the official version.

33 

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 
This document is a prepublication version signed by EPA Regional 

Administrator Jared Blumenfeld on October 30, 2015. We have taken steps to 

ensure the accuracy of this version, but it is not the official version.

34 

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 cost-effective 

emission reductions from all mobile source categories. Regarding 

in-use 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 
This document is a prepublication version signed by EPA Regional 

Administrator Jared Blumenfeld on October 30, 2015. We have taken steps to 

ensure the accuracy of this version, but it is not the official version.

35 

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 offroad vehicles). 
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Administrator Jared Blumenfeld on October 30, 2015. We have taken steps to 

ensure the accuracy of this version, but it is not the official version.

36 

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 

 

5 We recognize that our authorization (78 FR 58090, September 20, 2013) for 

CARB’s in-use off-road 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 in-use 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. 
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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 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 

 

6 These 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. 
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Administrator Jared Blumenfeld on October 30, 2015. We have taken steps to 

ensure the accuracy of this version, but it is not the official version.

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provision for off-road LSI engine emission standard regulation); 

13 CCR section 2449(b) (applicability provision for in-use offroad 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 dieselfueled 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 

 

7 The 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. 
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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 
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Administrator Jared Blumenfeld on October 30, 2015. We have taken steps to 

ensure the accuracy of this version, but it is not the official version.

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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 
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Administrator Jared Blumenfeld on October 30, 2015. We have taken steps to 

ensure the accuracy of this version, but it is not the official version.

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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 
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Administrator Jared Blumenfeld on October 30, 2015. We have taken steps to 

ensure the accuracy of this version, but it is not the official version.

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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 CAA-related 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 

 

8 Letter from Richard W. Corey, Executive Officer, CARB, to Jared Blumenfeld, 

Regional Administrator, EPA Region IX, August 14, 2015. 
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Administrator Jared Blumenfeld on October 30, 2015. We have taken steps to 

ensure the accuracy of this version, but it is not the official version.

43 

adequate personnel and funding to carry out the mobile source 

regulations submitted for approval as part of the California 

SIP. 

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 in-use 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 [INSERT 

DATE 30 DAYS AFTER DATE OF PUBLICATION IN THE FEDERAL REGISTER]. 

Unless we receive convincing new information during the comment 

period, we intend to publish a final approval action that will 
This document is a prepublication version signed by EPA Regional 

Administrator Jared Blumenfeld on October 30, 2015. We have taken steps to 

ensure the accuracy of this version, but it is not the official version.

44 

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 
This document is a prepublication version signed by EPA Regional 

Administrator Jared Blumenfeld on October 30, 2015. We have taken steps to 

ensure the accuracy of this version, but it is not the official version.

45 

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 (Public Law 104-4); 

• does not have federalism implications as specified in 

Executive Order 13132 (64 FR 43255, August 10, 1999); 
This document is a prepublication version signed by EPA Regional 

Administrator Jared Blumenfeld on October 30, 2015. We have taken steps to 

ensure the accuracy of this version, but it is not the official version.

46 

• 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, 
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Administrator Jared Blumenfeld on October 30, 2015. We have taken steps to 

ensure the accuracy of this version, but it is not the official version.

47 

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 Jared Blumenfeld, 

 Regional Administrator, 

Region IX. 
This document is a prepublication version signed by EPA Regional 

Administrator Jared Blumenfeld on October 30, 2015. We have taken steps to 

ensure the accuracy of this version, but it is not the official version.

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