Title 40—Protection of Environment--Volume 1
PART 97—FEDERAL NOX BUDGET TRADING PROGRAM, CAIR NOX AND SO2 TRADING PROGRAMS, CSAPR NOX AND SO2 TRADING PROGRAMS, AND TEXAS SO2 TRADING PROGRAM
§ 97.306   Standard requirements.
(a) Permit requirements. (1) The CAIR designated representative of each CAIR NO X Ozone Season source required to have a title V operating permit and each CAIR NO X Ozone Season unit required to have a title V operating permit at the source shall:
(i) Submit to the permitting authority a complete CAIR permit application under § 97.322 in accordance with the deadlines specified in § 97.321; and
(ii) Submit in a timely manner any supplemental information that the permitting authority determines is necessary in order to review a CAIR permit application and issue or deny a CAIR permit.
(2) The owners and operators of each CAIR NO X Ozone Season source required to have a title V operating permit and each CAIR NO X Ozone Season unit required to have a title V operating permit at the source shall have a CAIR permit issued by the permitting authority under subpart CCCC of this part for the source and operate the source and the unit in compliance with such CAIR permit.
(3) Except as provided in subpart IIII of this part, the owners and operators of a CAIR NO X Ozone Season source that is not otherwise required to have a title V operating permit and each CAIR NO X Ozone Season unit that is not otherwise required to have a title V operating permit are not required to submit a CAIR permit application, and to have a CAIR permit, under subpart CCCC of this part for such CAIR NO X Ozone Season source and such CAIR NO X Ozone Season unit.
(b) Monitoring, reporting, and recordkeeping requirements. (1) The owners and operators, and the CAIR designated representative, of each CAIR NO X Ozone Season source and each CAIR NO X Ozone Season unit at the source shall comply with the monitoring, reporting, and recordkeeping requirements of subpart HHHH of this part.
(2) The emissions measurements recorded and reported in accordance with subpart HHHH of this part shall be used to determine compliance by each CAIR NO X Ozone Season source with the CAIR NO X Ozone Season emissions limitation under paragraph (c) of this section.
(c) Nitrogen oxides ozone season emission requirements. (1) As of the allowance transfer deadline for a control period, the owners and operators of each CAIR NO X Ozone Season source and each CAIR NO X Ozone Season unit at the source shall hold, in the source's compliance account, CAIR NO X Ozone Season allowances available for compliance deductions for the control period under § 97.354(a) in an amount not less than the tons of total nitrogen oxides emissions for the control period from all CAIR NO X Ozone Season units at the source, as determined in accordance with subpart HHHH of this part.
(2) A CAIR NO X Ozone Season unit shall be subject to the requirements under paragraph (c)(1) of this section for the control period starting on the later of May 1, 2009 or the deadline for meeting the unit's monitor certification requirements under § 97.370(b)(1), (2), (3), or (7) and for each control period thereafter.
(3) A CAIR NO X Ozone Season allowance shall not be deducted, for compliance with the requirements under paragraph (c)(1) of this section, for a control period in a calendar year before the year for which the CAIR NO X Ozone Season allowance was allocated.
(4) CAIR NO X Ozone Season allowances shall be held in, deducted from, or transferred into or among CAIR NO X Ozone Season Allowance Tracking System accounts in accordance with subparts EEEE, FFFF, GGGG, and IIII of this part.
(5) A CAIR NO X Ozone Season allowance is a limited authorization to emit one ton of nitrogen oxides in accordance with the CAIR NO X Ozone Season Trading Program. No provision of the CAIR NO X Ozone Season Trading Program, the CAIR permit application, the CAIR permit, or an exemption under § 97.305 and no provision of law shall be construed to limit the authority of the United States to terminate or limit such authorization.
(6) A CAIR NO X Ozone Season allowance does not constitute a property right.
(7) Upon recordation by the Administrator under subpart EEEE, FFFF, GGGG, or IIII of this part, every allocation, transfer, or deduction of a CAIR NO X Ozone Season allowance to or from a CAIR NO X Ozone Season source's compliance account is incorporated automatically in any CAIR permit of the source.
(d) Excess emissions requirements. If a CAIR NO X Ozone Season source emits nitrogen oxides during any control period in excess of the CAIR NO X Ozone Season emissions limitation, then:
(1) The owners and operators of the source and each CAIR NO X Ozone Season unit at the source shall surrender the CAIR NO X Ozone Season allowances required for deduction under § 97.354(d)(1) and pay any fine, penalty, or assessment or comply with any other remedy imposed, for the same violations, under the Clean Air Act or applicable State law; and
(2) Each ton of such excess emissions and each day of such control period shall constitute a separate violation of this subpart, the Clean Air Act, and applicable State law.
(e) Recordkeeping and reporting requirements. (1) Unless otherwise provided, the owners and operators of the CAIR NO X Ozone Season source and each CAIR NO X Ozone Season unit at the source shall keep on site at the source each of the following documents for a period of 5 years from the date the document is created. This period may be extended for cause, at any time before the end of 5 years, in writing by the permitting authority or the Administrator.
(i) The certificate of representation under § 97.313 for the CAIR designated representative for the source and each CAIR NO X Ozone Season unit at the source and all documents that demonstrate the truth of the statements in the certificate of representation; provided that the certificate and documents shall be retained on site at the source beyond such 5-year period until such documents are superseded because of the submission of a new certificate of representation under § 97.313 changing the CAIR designated representative.
(ii) All emissions monitoring information, in accordance with subpart HHHH of this part, provided that to the extent that subpart HHHH of this part provides for a 3-year period for recordkeeping, the 3-year period shall apply.
(iii) Copies of all reports, compliance certifications, and other submissions and all records made or required under the CAIR NO X Ozone Season Trading Program.
(iv) Copies of all documents used to complete a CAIR permit application and any other submission under the CAIR NO X Ozone Season Trading Program or to demonstrate compliance with the requirements of the CAIR NO X Ozone Season Trading Program.
(2) The CAIR designated representative of a CAIR NO X Ozone Season source and each CAIR NO X Ozone Season unit at the source shall submit the reports required under the CAIR NO X Ozone Season Trading Program, including those under subpart HHHH of this part.
(f) Liability. (1) Each CAIR NO X Ozone Season source and each CAIR NO X Ozone Season unit shall meet the requirements of the CAIR NO X Ozone Season Trading Program.
(2) Any provision of the CAIR NO X Ozone Season Trading Program that applies to a CAIR NO X Ozone Season source or the CAIR designated representative of a CAIR NO X Ozone Season source shall also apply to the owners and operators of such source and of the CAIR NO X Ozone Season units at the source.
(3) Any provision of the CAIR NO X Ozone Season Trading Program that applies to a CAIR NO X Ozone Season unit or the CAIR designated representative of a CAIR NO X Ozone Season unit shall also apply to the owners and operators of such unit.
(g) Effect on other authorities. No provision of the CAIR NO X Ozone Season Trading Program, a CAIR permit application, a CAIR permit, or an exemption under § 97.305 shall be construed as exempting or excluding the owners and operators, and the CAIR designated representative, of a CAIR NO X Ozone Season source or CAIR NO X Ozone Season unit from compliance with any other provision of the applicable, approved State implementation plan, a federally enforceable permit, or the Clean Air Act.
§ 97.307   Computation of time.
(a) Unless otherwise stated, any time period scheduled, under the CAIR NO X Ozone Season Trading Program, to begin on the occurrence of an act or event shall begin on the day the act or event occurs.
(b) Unless otherwise stated, any time period scheduled, under the CAIR NO X Ozone Season Trading Program, to begin before the occurrence of an act or event shall be computed so that the period ends the day before the act or event occurs.
(c) Unless otherwise stated, if the final day of any time period, under the CAIR NO X Ozone Season Trading Program, falls on a weekend or a State or Federal holiday, the time period shall be extended to the next business day.
§ 97.308   Appeal procedures.
The appeal procedures for decisions of the Administrator under the CAIR NO X Ozone Season Trading Program are set forth in part 78 of this chapter.
§ 97.310   Authorization and responsibilities of CAIR designated representative.
(a) Except as provided under § 97.311, each CAIR NO X Ozone Season source, including all CAIR NO X Ozone Season units at the source, shall have one and only one CAIR designated representative, with regard to all matters under the CAIR NO X Ozone Season Trading Program concerning the source or any CAIR NO X Ozone Season unit at the source.
(b) The CAIR designated representative of the CAIR NO X Ozone Season source shall be selected by an agreement binding on the owners and operators of the source and all CAIR NO X Ozone Season units at the source and shall act in accordance with the certification statement in § 97.313(a)(4)(iv).
(c) Upon receipt by the Administrator of a complete certificate of representation under § 97.313, the CAIR designated representative of the source shall represent and, by his or her representations, actions, inactions, or submissions, legally bind each owner and operator of the CAIR NO X Ozone Season source represented and each CAIR NO X Ozone Season unit at the source in all matters pertaining to the CAIR NO X Ozone Season Trading Program, notwithstanding any agreement between the CAIR designated representative and such owners and operators. The owners and operators shall be bound by any decision or order issued to the CAIR designated representative by the permitting authority, the Administrator, or a court regarding the source or unit.
(d) No CAIR permit will be issued, no emissions data reports will be accepted, and no CAIR NO X Ozone Season Allowance Tracking System account will be established for a CAIR NO X Ozone Season unit at a source, until the Administrator has received a complete certificate of representation under § 97.313 for a CAIR designated representative of the source and the CAIR NO X Ozone Season units at the source.
(e)(1) Each submission under the CAIR NO X Ozone Season Trading Program shall be submitted, signed, and certified by the CAIR designated representative for each CAIR NO X Ozone Season source on behalf of which the submission is made. Each such submission shall include the following certification statement by the CAIR designated representative: “I am authorized to make this submission on behalf of the owners and operators of the source or units for which the submission is made. I certify under penalty of law that I have personally examined, and am familiar with, the statements and information submitted in this document and all its attachments. Based on my inquiry of those individuals with primary responsibility for obtaining the information, I certify that the statements and information are to the best of my knowledge and belief true, accurate, and complete. I am aware that there are significant penalties for submitting false statements and information or omitting required statements and information, including the possibility of fine or imprisonment.”
(2) The permitting authority and the Administrator will accept or act on a submission made on behalf of owner or operators of a CAIR NO X Ozone Season source or a CAIR NO X Ozone Season unit only if the submission has been made, signed, and certified in accordance with paragraph (e)(1) of this section.
§ 97.311   Alternate CAIR designated representative.
(a) A certificate of representation under § 97.313 may designate one and only one alternate CAIR designated representative, who may act on behalf of the CAIR designated representative. The agreement by which the alternate CAIR designated representative is selected shall include a procedure for authorizing the alternate CAIR designated representative to act in lieu of the CAIR designated representative.
(b) Upon receipt by the Administrator of a complete certificate of representation under § 97.313, any representation, action, inaction, or submission by the alternate CAIR designated representative shall be deemed to be a representation, action, inaction, or submission by the CAIR designated representative.
(c) Except in this section and §§ 97.302, 97.310(a) and (d), 97.312, 97.313, 97.315, 97.351, and 97.382, whenever the term “CAIR designated representative” is used in subparts AAAA through IIII of this part, the term shall be construed to include the CAIR designated representative or any alternate CAIR designated representative.
§ 97.312   Changing CAIR designated representative and alternate CAIR designated representative; changes in owners and operators.
(a) Changing CAIR designated representative. The CAIR designated representative may be changed at any time upon receipt by the Administrator of a superseding complete certificate of representation under § 97.313. Notwithstanding any such change, all representations, actions, inactions, and submissions by the previous CAIR designated representative before the time and date when the Administrator receives the superseding certificate of representation shall be binding on the new CAIR designated representative and the owners and operators of the CAIR NO X Ozone Season source and the CAIR NO X Ozone Season units at the source.
(b) Changing alternate CAIR designated representative. The alternate CAIR designated representative may be changed at any time upon receipt by the Administrator of a superseding complete certificate of representation under § 97.313. Notwithstanding any such change, all representations, actions, inactions, and submissions by the previous alternate CAIR designated representative before the time and date when the Administrator receives the superseding certificate of representation shall be binding on the new alternate CAIR designated representative and the owners and operators of the CAIR NO X Ozone Season source and the CAIR NO X Ozone Season units at the source.
(c) Changes in owners and operators. (1) In the event an owner or operator of a CAIR NO X Ozone Season source or a CAIR NO X Ozone Season unit is not included in the list of owners and operators in the certificate of representation under § 97.313, such owner or operator shall be deemed to be subject to and bound by the certificate of representation, the representations, actions, inactions, and submissions of the CAIR designated representative and any alternate CAIR designated representative of the source or unit, and the decisions and orders of the permitting authority, the Administrator, or a court, as if the owner or operator were included in such list.
(2) Within 30 days following any change in the owners and operators of a CAIR NO X Ozone Season source or a CAIR NO X Ozone Season unit, including the addition of a new owner or operator, the CAIR designated representative or any alternate CAIR designated representative shall submit a revision to the certificate of representation under § 97.313 amending the list of owners and operators to include the change.
§ 97.313   Certificate of representation.
(a) A complete certificate of representation for a CAIR designated representative or an alternate CAIR designated representative shall include the following elements in a format prescribed by the Administrator:
(1) Identification of the CAIR NO X Ozone Season source, and each CAIR NO X Ozone Season unit at the source, for which the certificate of representation is submitted, including identification and nameplate capacity of each generator served by each such unit.
(2) The name, address, e-mail address (if any), telephone number, and facsimile transmission number (if any) of the CAIR designated representative and any alternate CAIR designated representative.
(3) A list of the owners and operators of the CAIR NO X Ozone Season source and of each CAIR NO X Ozone Season unit at the source.
(4) The following certification statements by the CAIR designated representative and any alternate CAIR designated representative—
(i) “I certify that I was selected as the CAIR designated representative or alternate CAIR designated representative, as applicable, by an agreement binding on the owners and operators of the source and each CAIR NO X Ozone Season unit at the source.”
(ii) “I certify that I have all the necessary authority to carry out my duties and responsibilities under the CAIR NO X Ozone Season Trading Program on behalf of the owners and operators of the source and of each CAIR NO X Ozone Season unit at the source and that each such owner and operator shall be fully bound by my representations, actions, inactions, or submissions.”
(iii) “I certify that the owners and operators of the source and of each CAIR NO X Ozone Season unit at the source shall be bound by any order issued to me by the Administrator, the permitting authority, or a court regarding the source or unit.”
(iv) “Where there are multiple holders of a legal or equitable title to, or a leasehold interest in, a CAIR NO X Ozone Season unit, or where a utility or industrial customer purchases power from a CAIR NO X Ozone Season unit under a life-of-the-unit, firm power contractual arrangement, I certify that: I have given a written notice of my selection as the ‘CAIR designated representative’ or ‘alternate CAIR designated representative’, as applicable, and of the agreement by which I was selected to each owner and operator of the source and of each CAIR NO X Ozone Season unit at the source; and CAIR NO X Ozone Season allowances and proceeds of transactions involving CAIR NO X Ozone Season allowances will be deemed to be held or distributed in proportion to each holder's legal, equitable, leasehold, or contractual reservation or entitlement, except that, if such multiple holders have expressly provided for a different distribution of CAIR NO X Ozone Season allowances by contract, CAIR NO X Ozone Season allowances and proceeds of transactions involving CAIR NO X Ozone Season allowances will be deemed to be held or distributed in accordance with the contract.”
(5) The signature of the CAIR designated representative and any alternate CAIR designated representative and the dates signed.
(b) Unless otherwise required by the permitting authority or the Administrator, documents of agreement referred to in the certificate of representation shall not be submitted to the permitting authority or the Administrator. Neither the permitting authority nor the Administrator shall be under any obligation to review or evaluate the sufficiency of such documents, if submitted.
§ 97.314   Objections concerning CAIR designated representative.
(a) Once a complete certificate of representation under § 97.313 has been submitted and received, the permitting authority and the Administrator will rely on the certificate of representation unless and until a superseding complete certificate of representation under § 97.313 is received by the Administrator.
(b) Except as provided in § 97.312(a) or (b), no objection or other communication submitted to the permitting authority or the Administrator concerning the authorization, or any representation, action, inaction, or submission, of the CAIR designated representative shall affect any representation, action, inaction, or submission of the CAIR designated representative or the finality of any decision or order by the permitting authority or the Administrator under the CAIR NO X Ozone Season Trading Program.
(c) Neither the permitting authority nor the Administrator will adjudicate any private legal dispute concerning the authorization or any representation, action, inaction, or submission of any CAIR designated representative, including private legal disputes concerning the proceeds of CAIR NO X Ozone Season allowance transfers.
§ 97.315   Delegation by CAIR designated representative and alternate CAIR designated representative.
(a) A CAIR designated representative may delegate, to one or more natural persons, his or her authority to make an electronic submission to the Administrator provided for or required under this part.
(b) An alternate CAIR designated representative may delegate, to one or more natural persons, his or her authority to make an electronic submission to the Administrator provided for or required under this part.
(c) In order to delegate authority to make an electronic submission to the Administrator in accordance with paragraph (a) or (b) of this section, the CAIR designated representative or alternate CAIR designated representative, as appropriate, must submit to the Administrator a notice of delegation, in a format prescribed by the Administrator, that includes the following elements:
(1) The name, address, e-mail address, telephone number, and facsimile transmission number (if any) of such CAIR designated representative or alternate CAIR designated representative;
(2) The name, address, e-mail address, telephone number, and facsimile transmission number (if any) of each such natural person (referred to as an “agent”);
(3) For each such natural person, a list of the type or types of electronic submissions under paragraph (a) or (b) of this section for which authority is delegated to him or her; and
(4) The following certification statements by such CAIR designated representative or alternate CAIR designated representative:
(i) “I agree that any electronic submission to the Administrator that is by an agent identified in this notice of delegation and of a type listed for such agent in this notice of delegation and that is made when I am a CAIR designated representative or alternate CAIR designated representative, as appropriate, and before this notice of delegation is superseded by another notice of delegation under 40 CFR 97.315(d) shall be deemed to be an electronic submission by me.”
(ii) “Until this notice of delegation is superseded by another notice of delegation under 40 CFR 97.315(d), I agree to maintain an e-mail account and to notify the Administrator immediately of any change in my e-mail address unless all delegation of authority by me under 40 CFR 97.315 is terminated.”.
(d) A notice of delegation submitted under paragraph (c) of this section shall be effective, with regard to the CAIR designated representative or alternate CAIR designated representative identified in such notice, upon receipt of such notice by the Administrator and until receipt by the Administrator of a superseding notice of delegation submitted by such CAIR designated representative or alternate CAIR designated representative, as appropriate. The superseding notice of delegation may replace any previously identified agent, add a new agent, or eliminate entirely any delegation of authority.
(e) Any electronic submission covered by the certification in paragraph (c)(4)(i) of this section and made in accordance with a notice of delegation effective under paragraph (d) of this section shall be deemed to be an electronic submission by the CAIR designated representative or alternate CAIR designated representative submitting such notice of delegation.
§ 97.320   General CAIR NOXOzone Season Trading Program permit requirements.
(a) For each CAIR NO X Ozone Season source required to have a title V operating permit or required, under subpart IIII of this part, to have a title V operating permit or other federally enforceable permit, such permit shall include a CAIR permit administered by the permitting authority for the title V operating permit or the federally enforceable permit as applicable. The CAIR portion of the title V permit or other federally enforceable permit as applicable shall be administered in accordance with the permitting authority's title V operating permits regulations promulgated under part 70 or 71 of this chapter or the permitting authority's regulations for other federally enforceable permits as applicable, except as provided otherwise by § 97.305, this subpart, and subpart IIII of this part.
(b) Each CAIR permit shall contain, with regard to the CAIR NO X Ozone Season source and the CAIR NO X Ozone Season units at the source covered by the CAIR permit, all applicable CAIR NO X Ozone Season Trading Program, CAIR NO X Annual Trading Program, and CAIR SO 2 Trading Program requirements and shall be a complete and separable portion of the title V operating permit or other federally enforceable permit under paragraph (a) of this section.
§ 97.321   Submission of CAIR permit applications.
(a) Duty to apply. The CAIR designated representative of any CAIR NO X Ozone Season source required to have a title V operating permit shall submit to the permitting authority a complete CAIR permit application under § 97.322 for the source covering each CAIR NO X Ozone Season unit at the source at least 18 months (or such lesser time provided by the permitting authority) before the later of January 1, 2009 or the date on which the CAIR NO X Ozone Season unit commences commercial operation, except as provided in § 97.383(a).
(b) Duty to reapply. For a CAIR NO X Ozone Season source required to have a title V operating permit, the CAIR designated representative shall submit a complete CAIR permit application under § 97.322 for the source covering each CAIR NO X Ozone Season unit at the source to renew the CAIR permit in accordance with the permitting authority's title V operating permits regulations addressing permit renewal, except as provided in § 97.383(b).
§ 97.322   Information requirements for CAIR permit applications.
A complete CAIR permit application shall include the following elements concerning the CAIR NO X Ozone Season source for which the application is submitted, in a format prescribed by the permitting authority:
(a) Identification of the CAIR NO X Ozone Season source;
(b) Identification of each CAIR NO X Ozone Season unit at the CAIR NO X Ozone Season source; and
(c) The standard requirements under § 97.306.
§ 97.323   CAIR permit contents and term.
(a) Each CAIR permit will contain, in a format prescribed by the permitting authority, all elements required for a complete CAIR permit application under § 97.322.
(b) Each CAIR permit is deemed to incorporate automatically the definitions of terms under § 97.302 and, upon recordation by the Administrator under subpart EEEE, FFFF, GGGG, or IIII of this part, every allocation, transfer, or deduction of a CAIR NO X Ozone Season allowance to or from the compliance account of the CAIR NO X Ozone Season source covered by the permit.
(c) The term of the CAIR permit will be set by the permitting authority, as necessary to facilitate coordination of the renewal of the CAIR permit with issuance, revision, or renewal of the CAIR NO X Ozone Season source's title V operating permit or other federally enforceable permit as applicable.
§ 97.324   CAIR permit revisions.
Except as provided in § 97.323(b), the permitting authority will revise the CAIR permit, as necessary, in accordance with the permitting authority's title V operating permits regulations or the permitting authority's regulations for other federally enforceable permits as applicable addressing permit revisions.
§ 97.340   State trading budgets.
(a) Except as provided in paragraph (b) of this section, the State trading budgets for annual allocations of CAIR NO X Ozone Season allowances for the control periods in 2009 through 2014 and in 2015 and thereafter are respectively as follows:
(b) Upon approval by the Administrator of a State's State implementation plan revision under § 51.123(ee)(1) of this chapter providing for the inclusion in the CAIR NO X Ozone Season Trading Program of all units that are not otherwise CAIR NO X Ozone Season units under § 97.304(a) and (b) and that are NO X Budget units covered by the State's emissions trading program approved under § 51.121(p), the amount in the State trading budget for a control period in a calendar year will be the sum of the amount set forth for the State and for the year in paragraph (a) of this section and the amount of additional CAIR NO X Ozone Season allowance allocations issued under § 51.123(ee)(1)(ii)(A) of this chapter for the year.
§ 97.341   Timing requirements for CAIR NOXOzone Season allowance allocations.
(a) The Administrator will determine by order the CAIR NO X Ozone Season allowance allocations, in accordance with § 97.342(a) and (b), for the control periods in 2009, 2010, 2011, 2012, 2013, and 2014.
(b) By July 31, 2011 and July 31 of each year thereafter, the Administrator will determine by order the CAIR NO X Ozone Season allowance allocations, in accordance with § 97.342(a) and (b), for the control period in the fourth year after the year of the applicable deadline for determination under this paragraph.
(c) By April 30, 2009 and April 30 of each year thereafter, the Administrator will determine by order the CAIR NO X Ozone Season allowance allocations, in accordance with § 97.342(a), (c), and (d), for the control period in the year of the applicable deadline for determination under this paragraph.
(d) The Administrator will make available to the public each determination of CAIR NO X Ozone Season allowances under paragraph (a), (b), or (c) of this section and will provide an opportunity for submission of objections to the determination. Objections shall be limited to addressing whether the determination is in accordance with § 97.342. Based on any such objections, the Administrator will adjust each determination to the extent necessary to ensure that it is in accordance with § 97.342.
§ 97.342   CAIR NOXOzone Season allowance allocations.
(a)(1) The baseline heat input (in mmBtu) used with respect to CAIR NO X Ozone Season allowance allocations under paragraph (b) of this section for each CAIR NO X Ozone Season unit will be:
(i) For units commencing operation before January 1, 2001 the average of the 3 highest amounts of the unit's adjusted control period heat input for 2000 through 2004, with the adjusted control period heat input for each year calculated as follows:
(A) If the unit is coal-fired during the year, the unit's control period heat input for such year is multiplied by 100 percent;
(B) If the unit is oil-fired during the year, the unit's control period heat input for such year is multiplied by 60 percent; and
(C) If the unit is not subject to paragraph (a)(1)(i)(A) or (B) of this section, the unit's control period heat input for such year is multiplied by 40 percent.
(ii) For units commencing operation on or after January 1, 2001 and operating each calendar year during a period of 5 or more consecutive calendar years, the average of the 3 highest amounts of the unit's total converted control period heat input over the first such 5 years.
(2)(i) A unit's control period heat input, and a unit's status as coal-fired or oil-fired, for a calendar year under paragraph (a)(1)(i) of this section, and a unit's total tons of NO X emissions during a control period in a calendar year under paragraph (c)(3) of this section, will be determined in accordance with part 75 of this chapter, to the extent the unit was otherwise subject to the requirements of part 75 of this chapter for the year, or will be based on the best available data reported to the Administrator for the unit (in a format prescribed by the Administrator), to the extent the unit was not otherwise subject to the requirements of part 75 of this chapter for the year.
(ii) A unit's converted control period heat input for a calendar year specified under paragraph (a)(1)(ii) of this section equals:
(A) Except as provided in paragraph (a)(2)(ii)(B) or (C) of this section, the control period gross electrical output of the generator or generators served by the unit multiplied by 7,900 Btu/kWh, if the unit is coal-fired for the year, or 6,675 Btu/kWh, if the unit is not coal-fired for the year, and divided by 1,000,000 Btu/mmBtu, provided that if a generator is served by 2 or more units, then the gross electrical output of the generator will be attributed to each unit in proportion to the unit's share of the total control period heat input of such units for the year;
(B) For a unit that is a boiler and has equipment used to produce electricity and useful thermal energy for industrial, commercial, heating, or cooling purposes through the sequential use of energy, the total heat energy (in Btu) of the steam produced by the boiler during the control period, divided by 0.8 and by 1,000,000 Btu/mmBtu; or
(C) For a unit that is a combustion turbine and has equipment used to produce electricity and useful thermal energy for industrial, commercial, heating, or cooling purposes through the sequential use of energy, the control period gross electrical output of the enclosed device comprising the compressor, combustor, and turbine multiplied by 3,413 Btu/kWh, plus the total heat energy (in Btu) of the steam produced by any associated heat recovery steam generator during the control period divided by 0.8, and with the sum divided by 1,000,000 Btu/mmBtu.
(iii) Gross electrical output and total heat energy under paragraph (a)(2)(ii) of this section will be determined based on the best available data reported to the Administrator for the unit (in a format prescribed by the Administrator).
(3) The Administrator will determine what data are the best available data under paragraph (a)(2) of this section by weighing the likelihood that data are accurate and reliable and giving greater weight to data submitted to a governmental entity in compliance with legal requirements or substantiated by an independent entity.
(b)(1) For each control period in 2009 and thereafter, the Administrator will allocate to all CAIR NO X Ozone Season units in a State that have a baseline heat input (as determined under paragraph (a) of this section) a total amount of CAIR NO X Ozone Season allowances equal to 95 percent for a control period during 2009 through 2014, and 97 percent for a control period during 2015 and thereafter, of the tons of NO X emissions in the applicable State trading budget under § 97.340 (except as provided in paragraphs (d) and (e) of this section).
(2) The Administrator will allocate CAIR NO X Ozone Season allowances to each CAIR NO X Ozone Season unit under paragraph (b)(1) of this section in an amount determined by multiplying the total amount of CAIR NO X Ozone Season allowances allocated under paragraph (b)(1) of this section by the ratio of the baseline heat input of such CAIR NO X Ozone Season unit to the total amount of baseline heat input of all such CAIR NO X Ozone Season units in the State and rounding to the nearest whole allowance as appropriate.
(c) For each control period in 2009 and thereafter, the Administrator will allocate CAIR NO X Ozone Season allowances to CAIR NO X Ozone Season units in a State that are not allocated CAIR NO X Ozone Season allowances under paragraph (b) of this section because the units do not yet have a baseline heat input under paragraph (a) of this section or because the units have a baseline heat input but all CAIR NO X Ozone Season allowances available under paragraph (b) of this section for the control period are already allocated, in accordance with the following procedures:
(1) The Administrator will establish a separate new unit set-aside for each control period. Each new unit set-aside will be allocated CAIR NO X Ozone Season allowances equal to 5 percent for a control period in 2009 through 2014, and 3 percent for a control period in 2015 and thereafter, of the amount of tons of NO X emissions in the applicable State trading budget under § 97.340.
(2) The CAIR designated representative of such a CAIR NO X Ozone Season unit may submit to the Administrator a request, in a format specified by the Administrator, to be allocated CAIR NO X Ozone Season allowances, starting with the later of the control period in 2009 or the first control period after the control period in which the CAIR NO X Ozone Season unit commences commercial operation and until the first control period for which the unit is allocated CAIR NO X Ozone Season allowances under paragraph (b) of this section. A separate CAIR NO X Ozone Season allowance allocation request for each control period for which CAIR NO X Ozone Season allowances are sought must be submitted on or before February 1 before such control period and after the date on which the CAIR NO X Ozone Season unit commences commercial operation.
(3) In a CAIR NO X Ozone Season allowance allocation request under paragraph (c)(2) of this section, the CAIR designated representative may request for a control period CAIR NO X Ozone Season allowances in an amount not exceeding the CAIR NO X Ozone Season unit(s total tons of NO X emissions during the control period immediately before such control period.
(4) The Administrator will review each CAIR NO X Ozone Season allowance allocation request under paragraph (c)(2) of this section and will allocate CAIR NO X Ozone Season allowances for each control period pursuant to such request as follows:
(i) The Administrator will accept an allowance allocation request only if the request meets, or is adjusted by the Administrator as necessary to meet, the requirements of paragraphs (c)(2) and (3) of this section.
(ii) On or after February 1 before the control period, the Administrator will determine the sum of the CAIR NO X Ozone Season allowances requested (as adjusted under paragraph (c)(4)(i) of this section) in all allowance allocation requests accepted under paragraph (c)(4)(i) of this section for the control period.
(iii) If the amount of CAIR NO X Ozone Season allowances in the new unit set-aside for the control period is greater than or equal to the sum under paragraph (c)(4)(ii) of this section, then the Administrator will allocate the amount of CAIR NO X Ozone Season allowances requested (as adjusted under paragraph (c)(4)(i) of this section) to each CAIR NO X Ozone Season unit covered by an allowance allocation request accepted under paragraph (c)(4)(i) of this section.
(iv) If the amount of CAIR NO X Ozone Season allowances in the new unit set-aside for the control period is less than the sum under paragraph (c)(4)(ii) of this section, then the Administrator will allocate to each CAIR NO X Ozone Season unit covered by an allowance allocation request accepted under paragraph (c)(4)(i) of this section the amount of the CAIR NO X Ozone Season allowances requested (as adjusted under paragraph (c)(4)(i) of this section), multiplied by the amount of CAIR NO X Ozone Season allowances in the new unit set-aside for the control period, divided by the sum determined under paragraph (c)(4)(ii) of this section, and rounded to the nearest whole allowance as appropriate.
(v) The Administrator will notify each CAIR designated representative that submitted an allowance allocation request of the amount of CAIR NO X Ozone Season allowances (if any) allocated for the control period to the CAIR NO X Ozone Season unit covered by the request.
(d) If, after completion of the procedures under paragraph (c)(4) of this section for a control period, any unallocated CAIR NO X Ozone Season allowances remain in the new unit set-aside under paragraph (c) of this section for a State for the control period, the Administrator will allocate to each CAIR NO X Ozone Season unit that was allocated CAIR NO X Ozone Season allowances under paragraph (b) of this section in the State an amount of CAIR NO X Ozone Season allowances equal to the total amount of such remaining unallocated CAIR NO X Ozone Season allowances, multiplied by the unit's allocation under paragraph (b) of this section, divided by 95 percent for a control period during 2009 through 2014, and 97 percent for a control period during 2015 and thereafter, of the amount of tons of NO X emissions in the applicable State trading budget under § 97.340, and rounded to the nearest whole allowance as appropriate.
(e) If the Administrator determines that CAIR NO X Ozone Season allowances were allocated under paragraphs (a) and (b) of this section, paragraphs (a) and (c) of this section, or paragraph (d) of this section for a control period and that the recipient of the allocation is not actually a CAIR NO X Ozone Season unit under § 97.304 in such control period, then the Administrator will notify the CAIR designated representative and will act in accordance with the following procedures:
(1) Except as provided in paragraph (e)(2) or (3) of this section, the Administrator will not record such CAIR NO X Ozone Season allowances under § 97.353.
(2) If the Administrator already recorded such CAIR NO X Ozone Season allowances under § 97.353 and if the Administrator makes such determinations before making deductions for the source that includes such recipient under § 97.354(b) for the control period, then the Administrator will deduct from the account in which such CAIR NO X Ozone Season allowances were recorded under § 97.353 an amount of CAIR NO X Ozone Season allowances allocated for the same or a prior control period equal to the amount of such already recorded CAIR NO X Ozone Season allowances. The CAIR designated representative shall ensure that there are sufficient CAIR NO X Ozone Season allowances in such account for completion of the deduction.
(3) If the Administrator already recorded such CAIR NO X Ozone Season allowances under § 97.353 and if the Administrator makes such determinations after making deductions for the source that includes such recipient under § 97.354(b) for the control period, then the Administrator will apply paragraph (e)(1) or (2) of this section, as appropriate, to any subsequent control period for which CAIR NO X Ozone Season allowances were allocated to such recipient.
(4) The Administrator will transfer the CAIR NO X Ozone Season allowances that are not recorded, or that are deducted, in accordance with paragraphs (e)(1), (2), and (3) of this section to a new unit set-aside for the State in which such recipient is located.
§ 97.343   Alternative of allocation of CAIR NOXOzone Season allowances by permitting authority.
(a) Notwithstanding §§ 97.341, 97.342, and 97.353 if a State submits, and the Administrator approves, a State implementation plan revision in accordance with § 51.123(ee)(2) of this chapter providing for allocation of CAIR NO X Ozone Season allowances by the permitting authority, then the permitting authority shall make such allocations in accordance with such approved State implementation plan revision, the Administrator will not make allocations under §§ 97.341 and 97.342 for the CAIR NO X Ozone Season units in the State, and under § 97.353, the Administrator will record allocations made under such approved State implementation plan revision instead of allocations under §§ 97.341 and 97.342.
(b) In implementing paragraph (a) of this section and §§ 97.341, 97.342, and 97.353, the Administrator will ensure that the total amount of CAIR NO X Ozone Season allowances allocated, under such provisions and under a State's State implementation plan revision approved in accordance with § 51.123(ee)(2) of this chapter, for a control period for CAIR NO X Ozone Season sources in the State or for other entities specified by the permitting authority will not exceed the State's State trading budget for the year of the control period.
§ 97.350   [Reserved]
§ 97.351   Establishment of accounts.
(a) Compliance accounts. Except as provided in § 97.384(e), upon receipt of a complete certificate of representation under § 97.313, the Administrator will establish a compliance account for the CAIR NO X Ozone Season source for which the certificate of representation was submitted, unless the source already has a compliance account.
(b) General accounts —(1) Application for general account. (i) Any person may apply to open a general account for the purpose of holding and transferring CAIR NO X Ozone Season allowances. An application for a general account may designate one and only one CAIR authorized account representative and one and only one alternate CAIR authorized account representative who may act on behalf of the CAIR authorized account representative. The agreement by which the alternate CAIR authorized account representative is selected shall include a procedure for authorizing the alternate CAIR authorized account representative to act in lieu of the CAIR authorized account representative.
(ii) A complete application for a general account shall be submitted to the Administrator and shall include the following elements in a format prescribed by the Administrator:
(A) Name, mailing address, e-mail address (if any), telephone number, and facsimile transmission number (if any) of the CAIR authorized account representative and any alternate CAIR authorized account representative;
(B) Organization name and type of organization, if applicable;
(C) A list of all persons subject to a binding agreement for the CAIR authorized account representative and any alternate CAIR authorized account representative to represent their ownership interest with respect to the CAIR NO X Ozone Season allowances held in the general account;
(D) The following certification statement by the CAIR authorized account representative and any alternate CAIR authorized account representative: “I certify that I was selected as the CAIR authorized account representative or the alternate CAIR authorized account representative, as applicable, by an agreement that is binding on all persons who have an ownership interest with respect to CAIR NO X Ozone Season allowances held in the general account. I certify that I have all the necessary authority to carry out my duties and responsibilities under the CAIR NO X Ozone Season Trading Program on behalf of such persons and that each such person shall be fully bound by my representations, actions, inactions, or submissions and by any order or decision issued to me by the Administrator or a court regarding the general account.”
(E) The signature of the CAIR authorized account representative and any alternate CAIR authorized account representative and the dates signed.
(iii) Unless otherwise required by the permitting authority or the Administrator, documents of agreement referred to in the application for a general account shall not be submitted to the permitting authority or the Administrator. Neither the permitting authority nor the Administrator shall be under any obligation to review or evaluate the sufficiency of such documents, if submitted.
(2) Authorization of CAIR authorized account representative and alternate CAIR authorized account representative. (i) Upon receipt by the Administrator of a complete application for a general account under paragraph (b)(1) of this section:
(A) The Administrator will establish a general account for the person or persons for whom the application is submitted.
(B) The CAIR authorized account representative and any alternate CAIR authorized account representative for the general account shall represent and, by his or her representations, actions, inactions, or submissions, legally bind each person who has an ownership interest with respect to CAIR NO X Ozone Season allowances held in the general account in all matters pertaining to the CAIR NO X Ozone Season Trading Program, notwithstanding any agreement between the CAIR authorized account representative or any alternate CAIR authorized account representative and such person. Any such person shall be bound by any order or decision issued to the CAIR authorized account representative or any alternate CAIR authorized account representative by the Administrator or a court regarding the general account.
(C) Any representation, action, inaction, or submission by any alternate CAIR authorized account representative shall be deemed to be a representation, action, inaction, or submission by the CAIR authorized account representative.
(ii) Each submission concerning the general account shall be submitted, signed, and certified by the CAIR authorized account representative or any alternate CAIR authorized account representative for the persons having an ownership interest with respect to CAIR NO X Ozone Season allowances held in the general account. Each such submission shall include the following certification statement by the CAIR authorized account representative or any alternate CAIR authorized account representative: “I am authorized to make this submission on behalf of the persons having an ownership interest with respect to the CAIR NO X Ozone Season allowances held in the general account. I certify under penalty of law that I have personally examined, and am familiar with, the statements and information submitted in this document and all its attachments. Based on my inquiry of those individuals with primary responsibility for obtaining the information, I certify that the statements and information are to the best of my knowledge and belief true, accurate, and complete. I am aware that there are significant penalties for submitting false statements and information or omitting required statements and information, including the possibility of fine or imprisonment.”
(iii) The Administrator will accept or act on a submission concerning the general account only if the submission has been made, signed, and certified in accordance with paragraph (b)(2)(ii) of this section.
(3) Changing CAIR authorized account representative and alternate CAIR authorized account representative; changes in persons with ownership interest. (i) The CAIR authorized account representative for a general account may be changed at any time upon receipt by the Administrator of a superseding complete application for a general account under paragraph (b)(1) of this section. Notwithstanding any such change, all representations, actions, inactions, and submissions by the previous CAIR authorized account representative before the time and date when the Administrator receives the superseding application for a general account shall be binding on the new CAIR authorized account representative and the persons with an ownership interest with respect to the CAIR NO X Ozone Season allowances in the general account.
(ii) The alternate CAIR authorized account representative for a general account may be changed at any time upon receipt by the Administrator of a superseding complete application for a general account under paragraph (b)(1) of this section. Notwithstanding any such change, all representations, actions, inactions, and submissions by the previous alternate CAIR authorized account representative before the time and date when the Administrator receives the superseding application for a general account shall be binding on the new alternate CAIR authorized account representative and the persons with an ownership interest with respect to the CAIR NO X Ozone Season allowances in the general account.
(iii)(A) In the event a person having an ownership interest with respect to CAIR NO X Ozone Season allowances in the general account is not included in the list of such persons in the application for a general account, such person shall be deemed to be subject to and bound by the application for a general account, the representation, actions, inactions, and submissions of the CAIR authorized account representative and any alternate CAIR authorized account representative of the account, and the decisions and orders of the Administrator or a court, as if the person were included in such list.
(B) Within 30 days following any change in the persons having an ownership interest with respect to CAIR NO X Ozone Season allowances in the general account, including the addition of a new person, the CAIR authorized account representative or any alternate CAIR authorized account representative shall submit a revision to the application for a general account amending the list of persons having an ownership interest with respect to the CAIR NO X Ozone Season allowances in the general account to include the change.
(4) Objections concerning CAIR authorized account representative and alternate CAIR authorized account representative. (i) Once a complete application for a general account under paragraph (b)(1) of this section has been submitted and received, the Administrator will rely on the application unless and until a superseding complete application for a general account under paragraph (b)(1) of this section is received by the Administrator.
(ii) Except as provided in paragraph (b)(3)(i) or (ii) of this section, no objection or other communication submitted to the Administrator concerning the authorization, or any representation, action, inaction, or submission of the CAIR authorized account representative or any alternate CAIR authorized account representative for a general account shall affect any representation, action, inaction, or submission of the CAIR authorized account representative or any alternate CAIR authorized account representative or the finality of any decision or order by the Administrator under the CAIR NO X Ozone Season Trading Program.
(iii) The Administrator will not adjudicate any private legal dispute concerning the authorization or any representation, action, inaction, or submission of the CAIR authorized account representative or any alternate CAIR authorized account representative for a general account, including private legal disputes concerning the proceeds of CAIR NO X Ozone Season allowance transfers.
(5) Delegation by CAIR authorized account representative and alternate CAIR authorized account representative. (i) A CAIR authorized account representative may delegate, to one or more natural persons, his or her authority to make an electronic submission to the Administrator provided for or required under subparts FFFF and GGGG of this part.
(ii) An alternate CAIR authorized account representative may delegate, to one or more natural persons, his or her authority to make an electronic submission to the Administrator provided for or required under subparts FFFF and GGGG of this part.
(iii) In order to delegate authority to make an electronic submission to the Administrator in accordance with paragraph (b)(5)(i) or (ii) of this section, the CAIR authorized account representative or alternate CAIR authorized account representative, as appropriate, must submit to the Administrator a notice of delegation, in a format prescribed by the Administrator, that includes the following elements:
(A) The name, address, e-mail address, telephone number, and facsimile transmission number (if any) of such CAIR authorized account representative or alternate CAIR authorized account representative;
(B) The name, address, e-mail address, telephone number, and facsimile transmission number (if any) of each such natural person (referred to as an “agent”);
(C) For each such natural person, a list of the type or types of electronic submissions under paragraph (b)(5)(i) or (ii) of this section for which authority is delegated to him or her;
(D) The following certification statement by such CAIR authorized account representative or alternate CAIR authorized account representative: “I agree that any electronic submission to the Administrator that is by an agent identified in this notice of delegation and of a type listed for such agent in this notice of delegation and that is made when I am a CAIR authorized account representative or alternate CAIR authorized representative, as appropriate, and before this notice of delegation is superseded by another notice of delegation under 40 CFR 97.351(b)(5)(iv) shall be deemed to be an electronic submission by me.”; and
(E) The following certification statement by such CAIR authorized account representative or alternate CAIR authorized account representative: Until this notice of delegation is superseded by another notice of delegation under 40 CFR 97.351(b)(5)(iv), I agree to maintain an e-mail account and to notify the Administrator immediately of any change in my e-mail address unless all delegation of authority by me under 40 CFR 97.351(b)(5) is terminated.”.
(iv) A notice of delegation submitted under paragraph (b)(5)(iii) of this section shall be effective, with regard to the CAIR authorized account representative or alternate CAIR authorized account representative identified in such notice, upon receipt of such notice by the Administrator and until receipt by the Administrator of a superseding notice of delegation submitted by such CAIR authorized account representative or alternate CAIR authorized account representative, as appropriate. The superseding notice of delegation may replace any previously identified agent, add a new agent, or eliminate entirely any delegation of authority.
(v) Any electronic submission covered by the certification in paragraph (b)(5)(iii)(D) of this section and made in accordance with a notice of delegation effective under paragraph (b)(5)(iv) of this section shall be deemed to be an electronic submission by the CAIR designated representative or alternate CAIR designated representative submitting such notice of delegation.
(c) Account identification. The Administrator will assign a unique identifying number to each account established under paragraph (a) or (b) of this section.
§ 97.352   Responsibilities of CAIR authorized account representative.
Following the establishment of a CAIR NO X Ozone Season Allowance Tracking System account, all submissions to the Administrator pertaining to the account, including, but not limited to, submissions concerning the deduction or transfer of CAIR NO X Ozone Season allowances in the account, shall be made only by the CAIR authorized account representative for the account.
§ 97.353   Recordation of CAIR NOXOzone Season allowance allocations.
(a) By September 30, 2007, the Administrator will record in the CAIR NO X Ozone Season sources compliance account the CAIR NO X Ozone Season allowances allocated for the CAIR NO X Ozone Season units at the source in accordance with § 97.342(a) and (b) for the control period in 2009.
(b) By September 30, 2008, the Administrator will record in the CAIR NO X Ozone Season source's compliance account the CAIR NO X Ozone Season allowances allocated for the CAIR NO X Ozone Season units at the source in accordance with § 97.342(a) and (b) for the control period in 2010.
(c) By September 30, 2009, the Administrator will record in the CAIR NO X Ozone Season source's compliance account the CAIR Ozone Season NO X allowances allocated for the CAIR NO X Ozone Season units at the source in accordance with § 97.342(a) and (b) for the control periods in 2011, 2012, and 2013.
(d) By December 1, 2010 and December 1 of each year thereafter, the Administrator will record in the CAIR NO X Ozone Season source's compliance account the CAIR NO X Ozone Season allowances allocated for the CAIR NO X Ozone Season units at the source in accordance with § 97.342(a) and (b) for the control period in the fourth year after the year of the applicable deadline for recordation under this paragraph.
(e) By September 1, 2009 and September 1 of each year thereafter, the Administrator will record in the CAIR NO X Ozone Season source's compliance account the CAIR NO X Ozone Season allowances allocated for the CAIR NO X Ozone Season units at the source in accordance with § 97.342(a) and (c) for the control period in the year of the applicable deadline for recordation under this paragraph.
(f) Serial numbers for allocated CAIR NO X Ozone Season allowances. When recording the allocation of CAIR NO X Ozone Season allowances for a CAIR NO X Ozone Season unit in a compliance account, the Administrator will assign each CAIR NO X Ozone Season allowance a unique identification number that will include digits identifying the year of the control period for which the CAIR NO X Ozone Season allowance is allocated.
§ 97.354   Compliance with CAIR NOXemissions limitation.
(a) Allowance transfer deadline. The CAIR NO X Ozone Season allowances are available to be deducted for compliance with a source's CAIR NO X Ozone Season emissions limitation for a control period in a given calendar year only if the CAIR NO X Ozone Season allowances:
(1) Were allocated for the control period in the year or a prior year; and
(2) Are held in the compliance account as of the allowance transfer deadline for the control period or are transferred into the compliance account by a CAIR NO X Ozone Season allowance transfer correctly submitted for recordation under §§ 97.360 and 97.361 by the allowance transfer deadline for the control period.
(b) Deductions for compliance. Following the recordation, in accordance with § 97.361, of CAIR NO X Ozone Season allowance transfers submitted for recordation in a source's compliance account by the allowance transfer deadline for a control period, the Administrator will deduct from the compliance account CAIR NO X Ozone Season allowances available under paragraph (a) of this section in order to determine whether the source meets the CAIR NO X Ozone Season emissions limitation for the control period, as follows:
(1) Until the amount of CAIR NO X Ozone Season allowances deducted equals the number of tons of total nitrogen oxides emissions, determined in accordance with subpart HHHH of this part, from all CAIR NO X Ozone Season units at the source for the control period; or
(2) If there are insufficient CAIR NO X Ozone Season allowances to complete the deductions in paragraph (b)(1) of this section, until no more CAIR NO X Ozone Season allowances available under paragraph (a) of this section remain in the compliance account.
(c)(1) Identification of CAIR NO X Ozone Season allowances by serial number. The CAIR authorized account representative for a source's compliance account may request that specific CAIR NO X Ozone Season allowances, identified by serial number, in the compliance account be deducted for emissions or excess emissions for a control period in accordance with paragraph (b) or (d) of this section. Such request shall be submitted to the Administrator by the allowance transfer deadline for the control period and include, in a format prescribed by the Administrator, the identification of the CAIR NO X Ozone Season source and the appropriate serial numbers.
(2) First-in, first-out. The Administrator will deduct CAIR NO X Ozone Season allowances under paragraph (b) or (d) of this section from the source's compliance account, in the absence of an identification or in the case of a partial identification of CAIR NO X Ozone Season allowances by serial number under paragraph (c)(1) of this section, on a first-in, first-out (FIFO) accounting basis in the following order:
(i) Any CAIR NO X Ozone Season allowances that were allocated to the units at the source, in the order of recordation; and then
(ii) Any CAIR NO X Ozone Season allowances that were allocated to any entity and transferred and recorded in the compliance account pursuant to subpart GGGG of this part, in the order of recordation.
(d) Deductions for excess emissions. (1) After making the deductions for compliance under paragraph (b) of this section for a control period in a calendar year in which the CAIR NO X Ozone Season source has excess emissions, the Administrator will deduct from the source's compliance account an amount of CAIR NO X Ozone Season allowances, allocated for the control period in the immediately following calendar year, equal to 3 times the number of tons of the source's excess emissions.
(2) Any allowance deduction required under paragraph (d)(1) of this section shall not affect the liability of the owners and operators of the CAIR NO X Ozone Season source or the CAIR NO X Ozone Season units at the source for any fine, penalty, or assessment, or their obligation to comply with any other remedy, for the same violations, as ordered under the Clean Air Act or applicable State law.
(e) Recordation of deductions. The Administrator will record in the appropriate compliance account all deductions from such an account under paragraphs (b) and (d) of this section and subpart IIII.
(f) Administrator(s action on submissions. (1) The Administrator may review and conduct independent audits concerning any submission under the CAIR NO X Ozone Season Trading Program and make appropriate adjustments of the information in the submissions.
(2) The Administrator may deduct CAIR NO X Ozone Season allowances from or transfer CAIR NO X Ozone Season allowances to a source's compliance account based on the information in the submissions, as adjusted under paragraph (f)(1) of this section, and record such deductions and transfers.
§ 97.355   Banking.
(a) CAIR NO X Ozone Season allowances may be banked for future use or transfer in a compliance account or a general account in accordance with paragraph (b) of this section.
(b) Any CAIR NO X Ozone Season allowance that is held in a compliance account or a general account will remain in such account unless and until the CAIR NO X Ozone Season allowance is deducted or transferred under § 97.342, § 97.354, § 97.356, or subpart GGGG or IIII of this part.
§ 97.356   Account error.
The Administrator may, at his or her sole discretion and on his or her own motion, correct any error in any CAIR NO X Ozone Season Allowance Tracking System account. Within 10 business days of making such correction, the Administrator will notify the CAIR authorized account representative for the account.
§ 97.357   Closing of general accounts.
(a) The CAIR authorized account representative of a general account may submit to the Administrator a request to close the account, which shall include a correctly submitted allowance transfer under §§ 97.360 and 97.361 for any CAIR NO X Ozone Season allowances in the account to one or more other CAIR NO X Ozone Season Allowance Tracking System accounts.
(b) If a general account has no allowance transfers in or out of the account for a 12-month period or longer and does not contain any CAIR NO X Ozone Season allowances, the Administrator may notify the CAIR authorized account representative for the account that the account will be closed following 20 business days after the notice is sent. The account will be closed after the 20-day period unless, before the end of the 20-day period, the Administrator receives a correctly submitted transfer of CAIR NO X Ozone Season allowances into the account under §§ 97.360 and 97.361 or a statement submitted by the CAIR authorized account representative demonstrating to the satisfaction of the Administrator good cause as to why the account should not be closed.
§ 97.360   Submission of CAIR NOXOzone Season allowance transfers.
A CAIR authorized account representative seeking recordation of a CAIR NO X Ozone Season allowance transfer shall submit the transfer to the Administrator. To be considered correctly submitted, the CAIR NO X Ozone Season allowance transfer shall include the following elements, in a format specified by the Administrator:
(a) The account numbers for both the transferor and transferee accounts;
(b) The serial number of each CAIR NO X Ozone Season allowance that is in the transferor account and is to be transferred; and
(c) The name and signature of the CAIR authorized account representative of the transferor account and the date signed.
§ 97.361   EPA recordation.
(a) Within 5 business days (except as provided in paragraph (b) of this section) of receiving a CAIR NO X Ozone Season allowance transfer, the Administrator will record a CAIR NO X Ozone Season allowance transfer by moving each CAIR NO X Ozone Season allowance from the transferor account to the transferee account as specified by the request, provided that:
(1) The transfer is correctly submitted under § 97.360; and
(2) The transferor account includes each CAIR NO X Ozone Season allowance identified by serial number in the transfer.
(b) A CAIR NO X Ozone Season allowance transfer that is submitted for recordation after the allowance transfer deadline for a control period and that includes any CAIR NO X Ozone Season allowances allocated for any control period before such allowance transfer deadline will not be recorded until after the Administrator completes the deductions under § 97.354 for the control period immediately before such allowance transfer deadline.
(c) Where a CAIR NO X Ozone Season allowance transfer submitted for recordation fails to meet the requirements of paragraph (a) of this section, the Administrator will not record such transfer.
§ 97.362   Notification.
(a) Notification of recordation. Within 5 business days of recordation of a CAIR NO X Ozone Season allowance transfer under § 97.361, the Administrator will notify the CAIR authorized account representatives of both the transferor and transferee accounts.
(b) Notification of non-recordation. Within 10 business days of receipt of a CAIR NO X Ozone Season allowance transfer that fails to meet the requirements of § 97.361(a), the Administrator will notify the CAIR authorized account representatives of both accounts subject to the transfer of:
(1) A decision not to record the transfer, and
(2) The reasons for such non-recordation.
(c) Nothing in this section shall preclude the submission of a CAIR NO X Ozone Season allowance transfer for recordation following notification of non-recordation.
§ 97.370   General requirements.
The owners and operators, and to the extent applicable, the CAIR designated representative, of a CAIR NO X Ozone Season unit, shall comply with the monitoring, recordkeeping, and reporting requirements as provided in this subpart and in subpart H of part 75 of this chapter. For purposes of complying with such requirements, the definitions in § 97.302 and in § 72.2 of this chapter shall apply, and the terms “affected unit,” “designated representative,” and “continuous emission monitoring system” (or “CEMS”) in part 75 of this chapter shall be deemed to refer to the terms “CAIR NO X Ozone Season unit,” “CAIR designated representative,” and “continuous emission monitoring system” (or “CEMS”) respectively, as defined in § 97.302. The owner or operator of a unit that is not a CAIR NO X Ozone Season unit but that is monitored under § 75.72(b)(2)(ii) of this chapter shall comply with the same monitoring, recordkeeping, and reporting requirements as a CAIR NO X Ozone Season unit.
(a) Requirements for installation, certification, and data accounting. The owner or operator of each CAIR NO X Ozone Season unit shall:
(1) Install all monitoring systems required under this subpart for monitoring NO X mass emissions and individual unit heat input (including all systems required to monitor NO X emission rate, NO X concentration, stack gas moisture content, stack gas flow rate, CO 2 or O 2 concentration, and fuel flow rate, as applicable, in accordance with §§ 75.71 and 75.72 of this chapter);
(2) Successfully complete all certification tests required under § 97.371 and meet all other requirements of this subpart and part 75 of this chapter applicable to the monitoring systems under paragraph (a)(1) of this section; and
(3) Record, report, and quality-assure the data from the monitoring systems under paragraph (a)(1) of this section.
(b) Compliance deadlines. Except as provided in paragraph (e) of this section, the owner or operator shall meet the monitoring system certification and other requirements of paragraphs (a)(1) and (2) of this section on or before the following dates. The owner or operator shall record, report, and quality-assure the data from the monitoring systems under paragraph (a)(1) of this section on and after the following dates.
(1) For the owner or operator of a CAIR NO X Ozone Season unit that commences commercial operation before July 1, 2007, by May 1, 2008.
(2) For the owner or operator of a CAIR NO X Ozone Season unit that commences commercial operation on or after July 1, 2007 and that reports on an annual basis under § 97.374(d), by the later of the following dates:
(i) 90 unit operating days or 180 calendar days, whichever occurs first, after the date on which the unit commences commercial operation; or
(ii) May 1, 2008.
(3) For the owner or operator of a CAIR NO X Ozone Season unit that commences commercial operation on or after July 1, 2007 and that reports on a control period basis under § 97.374(d)(2)(ii), by the later of the following dates:
(i) 90 unit operating days or 180 calendar days, whichever occurs first, after the date on which the unit commences commercial operation; or
(ii) If the compliance date under paragraph (b)(3)(i) of this section is not during a control period, May 1 immediately following the compliance date under paragraph (b)(3)(i) of this section.
(4) For the owner or operator of a CAIR NO X Ozone Season unit for which construction of a new stack or flue or installation of add-on NO X emission controls is completed after the applicable deadline under paragraph (b)(1), (2), (6), or (7) of this section and that reports on an annual basis under § 97.374(d), by 90 unit operating days or 180 calendar days, whichever occurs first, after the date on which emissions first exit to the atmosphere through the new stack or flue or add-on NO X emissions controls.
(5) For the owner or operator of a CAIR NO X Ozone Season unit for which construction of a new stack or flue or installation of add-on NO X emission controls is completed after the applicable deadline under paragraph (b)(1), (3), (6), or (7) of this section and that reports on a control period basis under § 97.374(d)(2)(ii), by the later of the following dates:
(i) 90 unit operating days or 180 calendar days, whichever occurs first, after the date on which emissions first exit to the atmosphere through the new stack or flue or add-on NO X emissions controls; or
(ii) If the compliance date under paragraph (b)(5)(i) of this section is not during a control period, May 1 immediately following the compliance date under paragraph (b)(5)(i) of this section.
(6) Notwithstanding the dates in paragraphs (b)(1), (2), and (3) of this section, for the owner or operator of a unit for which a CAIR NO X Ozone Season opt-in permit application is submitted and not withdrawn and a CAIR opt-in permit is not yet issued or denied under subpart IIII of this part, by the date specified in § 97.384(b).
(7) Notwithstanding the dates in paragraphs (b)(1), (2), and (3) of this section, for the owner or operator of a CAIR NO X Ozone Season opt-in unit under subpart IIII of this part, by the date on which the CAIR NO X Ozone Season opt-in unit enters the CAIR NO X Ozone Season Trading Program as provided in § 97.384(g).
(c) Reporting data. The owner or operator of a CAIR NO X Ozone Season unit that does not meet the applicable compliance date set forth in paragraph (b) of this section for any monitoring system under paragraph (a)(1) of this section shall, for each such monitoring system, determine, record, and report maximum potential (or, as appropriate, minimum potential) values for NO X concentration, NO X emission rate, stack gas flow rate, stack gas moisture content, fuel flow rate, and any other parameters required to determine NO X mass emissions and heat input in accordance with § 75.31(b)(2) or (c)(3) of this chapter, section 2.4 of appendix D to part 75 of this chapter, or section 2.5 of appendix E to part 75 of this chapter, as applicable.
(d) Prohibitions. (1) No owner or operator of a CAIR NO X Ozone Season unit shall use any alternative monitoring system, alternative reference method, or any other alternative to any requirement of this subpart without having obtained prior written approval in accordance with § 97.375.
(2) No owner or operator of a CAIR NO X Ozone Season unit shall operate the unit so as to discharge, or allow to be discharged, NO X emissions to the atmosphere without accounting for all such emissions in accordance with the applicable provisions of this subpart and part 75 of this chapter.
(3) No owner or operator of a CAIR NO X Ozone Season unit shall disrupt the continuous emission monitoring system, any portion thereof, or any other approved emission monitoring method, and thereby avoid monitoring and recording NO X mass emissions discharged into the atmosphere or heat input, except for periods of recertification or periods when calibration, quality assurance testing, or maintenance is performed in accordance with the applicable provisions of this subpart and part 75 of this chapter.
(4) No owner or operator of a CAIR NO X Ozone Season unit shall retire or permanently discontinue use of the continuous emission monitoring system, any component thereof, or any other approved monitoring system under this subpart, except under any one of the following circumstances:
(i) During the period that the unit is covered by an exemption under § 97.305 that is in effect;
(ii) The owner or operator is monitoring emissions from the unit with another certified monitoring system approved, in accordance with the applicable provisions of this subpart and part 75 of this chapter, by the Administrator for use at that unit that provides emission data for the same pollutant or parameter as the retired or discontinued monitoring system; or
(iii) The CAIR designated representative submits notification of the date of certification testing of a replacement monitoring system for the retired or discontinued monitoring system in accordance with § 97.371(d)(3)(i).
(e) Long-term cold storage. The owner or operator of a CAIR NO X Ozone Season unit is subject to the applicable provisions of part 75 of this chapter concerning units in long-term cold storage.
§ 97.371   Initial certification and recertification procedures.
(a) The owner or operator of a CAIR NO X Ozone Season unit shall be exempt from the initial certification requirements of this section for a monitoring system under § 97.370(a)(1) if the following conditions are met:
(1) The monitoring system has been previously certified in accordance with part 75 of this chapter; and
(2) The applicable quality-assurance and quality-control requirements of § 75.21 of this chapter and appendix B, appendix D, and appendix E to part 75 of this chapter are fully met for the certified monitoring system described in paragraph (a)(1) of this section.
(b) The recertification provisions of this section shall apply to a monitoring system under § 97.370(a)(1) exempt from initial certification requirements under paragraph (a) of this section.
(c) If the Administrator has previously approved a petition under § 75.17(a) or (b) of this chapter for apportioning the NO X emission rate measured in a common stack or a petition under § 75.66 of this chapter for an alternative to a requirement in § 75.12 or § 75.17 of this chapter, the CAIR designated representative shall resubmit the petition to the Administrator under § 97.375 to determine whether the approval applies under the CAIR NO X Ozone Season Trading Program.
(d) Except as provided in paragraph (a) of this section, the owner or operator of a CAIR NO X Ozone Season unit shall comply with the following initial certification and recertification procedures for a continuous monitoring system ( i.e., a continuous emission monitoring system and an excepted monitoring system under appendices D and E to part 75 of this chapter) under § 97.370(a)(1). The owner or operator of a unit that qualifies to use the low mass emissions excepted monitoring methodology under § 75.19 of this chapter or that qualifies to use an alternative monitoring system under subpart E of part 75 of this chapter shall comply with the procedures in paragraph (e) or (f) of this section respectively.
(1) Requirements for initial certification. The owner or operator shall ensure that each continuous monitoring system under § 97.370(a)(1) (including the automated data acquisition and handling system) successfully completes all of the initial certification testing required under § 75.20 of this chapter by the applicable deadline in § 97.370(b). In addition, whenever the owner or operator installs a monitoring system to meet the requirements of this subpart in a location where no such monitoring system was previously installed, initial certification in accordance with § 75.20 of this chapter is required.
(2) Requirements for recertification. Whenever the owner or operator makes a replacement, modification, or change in any certified continuous emission monitoring system under § 97.370(a)(1) that may significantly affect the ability of the system to accurately measure or record NO X mass emissions or heat input rate or to meet the quality-assurance and quality-control requirements of § 75.21 of this chapter or appendix B to part 75 of this chapter, the owner or operator shall recertify the monitoring system in accordance with § 75.20(b) of this chapter. Furthermore, whenever the owner or operator makes a replacement, modification, or change to the flue gas handling system or the unit's operation that may significantly change the stack flow or concentration profile, the owner or operator shall recertify each continuous emission monitoring system whose accuracy is potentially affected by the change, in accordance with § 75.20(b) of this chapter. Examples of changes to a continuous emission monitoring system that require recertification include: replacement of the analyzer, complete replacement of an existing continuous emission monitoring system, or change in location or orientation of the sampling probe or site. Any fuel flowmeter systems, and any excepted NO X monitoring system under appendix E to part 75 of this chapter, under § 97.370(a)(1) are subject to the recertification requirements in § 75.20(g)(6) of this chapter.
(3) Approval process for initial certification and recertification. Paragraphs (d)(3)(i) through (iv) of this section apply to both initial certification and recertification of a continuous monitoring system under § 97.370(a)(1). For recertifications, replace the words “certification” and “initial certification” with the word “recertification”, replace the word “certified” with the word “recertified,” and follow the procedures in §§ 75.20(b)(5) and (g)(7) of this chapter in lieu of the procedures in paragraph (d)(3)(v) of this section.
(i) Notification of certification. The CAIR designated representative shall submit to the appropriate EPA Regional Office and the Administrator written notice of the dates of certification testing, in accordance with § 97.373.
(ii) Certification application. The CAIR designated representative shall submit to the Administrator a certification application for each monitoring system. A complete certification application shall include the information specified in § 75.63 of this chapter.
(iii) Provisional certification date. The provisional certification date for a monitoring system shall be determined in accordance with § 75.20(a)(3) of this chapter. A provisionally certified monitoring system may be used under the CAIR NO X Ozone Season Trading Program for a period not to exceed 120 days after receipt by the Administrator of the complete certification application for the monitoring system under paragraph (d)(3)(ii) of this section. Data measured and recorded by the provisionally certified monitoring system, in accordance with the requirements of part 75 of this chapter, will be considered valid quality-assured data (retroactive to the date and time of provisional certification), provided that the Administrator does not invalidate the provisional certification by issuing a notice of disapproval within 120 days of the date of receipt of the complete certification application by the Administrator.
(iv) Certification application approval process. The Administrator will issue a written notice of approval or disapproval of the certification application to the owner or operator within 120 days of receipt of the complete certification application under paragraph (d)(3)(ii) of this section. In the event the Administrator does not issue such a notice within such 120-day period, each monitoring system that meets the applicable performance requirements of part 75 of this chapter and is included in the certification application will be deemed certified for use under the CAIR NO X Ozone Season Trading Program.
(A) Approval notice. If the certification application is complete and shows that each monitoring system meets the applicable performance requirements of part 75 of this chapter, then the Administrator will issue a written notice of approval of the certification application within 120 days of receipt.
(B) Incomplete application notice. If the certification application is not complete, then the Administrator will issue a written notice of incompleteness that sets a reasonable date by which the CAIR designated representative must submit the additional information required to complete the certification application. If the CAIR designated representative does not comply with the notice of incompleteness by the specified date, then the Administrator may issue a notice of disapproval under paragraph (d)(3)(iv)(C) of this section. The 120-day review period shall not begin before receipt of a complete certification application.
(C) Disapproval notice. If the certification application shows that any monitoring system does not meet the performance requirements of part 75 of this chapter or if the certification application is incomplete and the requirement for disapproval under paragraph (d)(3)(iv)(B) of this section is met, then the Administrator will issue a written notice of disapproval of the certification application. Upon issuance of such notice of disapproval, the provisional certification is invalidated by the Administrator and the data measured and recorded by each uncertified monitoring system shall not be considered valid quality-assured data beginning with the date and hour of provisional certification (as defined under § 75.20(a)(3) of this chapter). The owner or operator shall follow the procedures for loss of certification in paragraph (d)(3)(v) of this section for each monitoring system that is disapproved for initial certification.
(D) Audit decertification. The Administrator may issue a notice of disapproval of the certification status of a monitor in accordance with § 97.372(b).
(v) Procedures for loss of certification. If the Administrator issues a notice of disapproval of a certification application under paragraph (d)(3)(iv)(C) of this section or a notice of disapproval of certification status under paragraph (d)(3)(iv)(D) of this section, then:
(A) The owner or operator shall substitute the following values, for each disapproved monitoring system, for each hour of unit operation during the period of invalid data specified under § 75.20(a)(4)(iii), § 75.20(g)(7), or § 75.21(e) of this chapter and continuing until the applicable date and hour specified under § 75.20(a)(5)(i) or (g)(7) of this chapter:
( 1 ) For a disapproved NO X emission rate ( i.e., NO X -diluent) system, the maximum potential NO X emission rate, as defined in (72.2 of this chapter.
( 2 ) For a disapproved NO X pollutant concentration monitor and disapproved flow monitor, respectively, the maximum potential concentration of NO X and the maximum potential flow rate, as defined in sections 2.1.2.1 and 2.1.4.1 of appendix A to part 75 of this chapter.
( 3 ) For a disapproved moisture monitoring system and disapproved diluent gas monitoring system, respectively, the minimum potential moisture percentage and either the maximum potential CO 2 concentration or the minimum potential O 2 concentration (as applicable), as defined in sections 2.1.5, 2.1.3.1, and 2.1.3.2 of appendix A to part 75 of this chapter.
( 4 ) For a disapproved fuel flowmeter system, the maximum potential fuel flow rate, as defined in section 2.4.2.1 of appendix D to part 75 of this chapter.
( 5 ) For a disapproved excepted NO X monitoring system under appendix E to part 75 of this chapter, the fuel-specific maximum potential NO X emission rate, as defined in (72.2 of this chapter.
(B) The CAIR designated representative shall submit a notification of certification retest dates and a new certification application in accordance with paragraphs (d)(3)(i) and (ii) of this section.
(C) The owner or operator shall repeat all certification tests or other requirements that were failed by the monitoring system, as indicated in the Administrator's notice of disapproval, no later than 30 unit operating days after the date of issuance of the notice of disapproval.
(e) Initial certification and recertification procedures for units using the low mass emission excepted methodology under § 75.19 of this chapter. The owner or operator of a unit qualified to use the low mass emissions (LME) excepted methodology under § 75.19 of this chapter shall meet the applicable certification and recertification requirements in §§ 75.19(a)(2) and 75.20(h) of this chapter. If the owner or operator of such a unit elects to certify a fuel flowmeter system for heat input determination, the owner or operator shall also meet the certification and recertification requirements in § 75.20(g) of this chapter.
(f) Certification/recertification procedures for alternative monitoring systems. The CAIR designated representative of each unit for which the owner or operator intends to use an alternative monitoring system approved by the Administrator under subpart E of part 75 of this chapter shall comply with the applicable notification and application procedures of § 75.20(f) of this chapter.
§ 97.372   Out of control periods.
(a) Whenever any monitoring system fails to meet the quality-assurance and quality-control requirements or data validation requirements of part 75 of this chapter, data shall be substituted using the applicable missing data procedures in subpart D or subpart H of, or appendix D or appendix E to, part 75 of this chapter.
(b) Audit decertification. Whenever both an audit of a monitoring system and a review of the initial certification or recertification application reveal that any monitoring system should not have been certified or recertified because it did not meet a particular performance specification or other requirement under § 97.371 or the applicable provisions of part 75 of this chapter, both at the time of the initial certification or recertification application submission and at the time of the audit, the Administrator will issue a notice of disapproval of the certification status of such monitoring system. For the purposes of this paragraph, an audit shall be either a field audit or an audit of any information submitted to the permitting authority or the Administrator. By issuing the notice of disapproval, the Administrator revokes prospectively the certification status of the monitoring system. The data measured and recorded by the monitoring system shall not be considered valid quality-assured data from the date of issuance of the notification of the revoked certification status until the date and time that the owner or operator completes subsequently approved initial certification or recertification tests for the monitoring system. The owner or operator shall follow the applicable initial certification or recertification procedures in § 97.371 for each disapproved monitoring system.
§ 97.373   Notifications.
The CAIR designated representative for a CAIR NO X Ozone Season unit shall submit written notice to the Administrator in accordance with § 75.61 of this chapter.
§ 97.374   Recordkeeping and reporting.
(a) General provisions. The CAIR designated representative shall comply with all recordkeeping and reporting requirements in this section, the applicable recordkeeping and reporting requirements under § 75.73 of this chapter, and the requirements of § 97.310(e)(1).
(b) Monitoring Plans. The owner or operator of a CAIR NO X Ozone Season unit shall comply with requirements of § 75.73 (c) and (e) of this chapter and, for a unit for which a CAIR opt-in permit application is submitted and not withdrawn and a CAIR opt-in permit is not yet issued or denied under subpart IIII of this part, §§ 97.383 and 97.384(a).
(c) Certification Applications. The CAIR designated representative shall submit an application to the Administrator within 45 days after completing all initial certification or recertification tests required under § 97.371, including the information required under § 75.63 of this chapter.
(d) Quarterly reports. The CAIR designated representative shall submit quarterly reports, as follows:
(1) If the CAIR NO X Ozone Season unit is subject to an Acid Rain emissions limitation or a CAIR NO X emissions limitation or if the owner or operator of such unit chooses to report on an annual basis under this subpart, the CAIR designated representative shall meet the requirements of subpart H of part 75 of this chapter (concerning monitoring of NO X mass emissions) for such unit for the entire year and shall report the NO X mass emissions data and heat input data for such unit, in an electronic quarterly report in a format prescribed by the Administrator, for each calendar quarter beginning with:
(i) For a unit that commences commercial operation before July 1, 2007, the calendar quarter covering May 1, 2008 through June 30, 2008;
(ii) For a unit that commences commercial operation on or after July 1, 2007, the calendar quarter corresponding to the earlier of the date of provisional certification or the applicable deadline for initial certification under § 97.370(b), unless that quarter is the third or fourth quarter of 2007 or the first quarter of 2008, in which case reporting shall commence in the quarter covering May 1, 2008 through June 30, 2008;
(iii) Notwithstanding paragraphs (d)(1) (i) and (ii) of this section, for a unit for which a CAIR opt-in permit application is submitted and not withdrawn and a CAIR opt-in permit is not yet issued or denied under subpart IIII of this part, the calendar quarter corresponding to the date specified in § 97.384(b); and
(iv) Notwithstanding paragraphs (d)(1) (i) and (ii) of this section, for a CAIR NO X Ozone Season opt-in unit under subpart IIII of this part, the calendar quarter corresponding to the date on which the CAIR NO X Ozone Season opt-in unit enters the CAIR NO X Ozone Season Trading Program as provided in § 97.384(g).
(2) If the CAIR NO X Ozone Season unit is not subject to an Acid Rain emissions limitation or a CAIR NO X emissions limitation, then the CAIR designated representative shall either:
(i) Meet the requirements of subpart H of part 75 (concerning monitoring of NO X mass emissions) for such unit for the entire year and report the NO X mass emissions data and heat input data for such unit in accordance with paragraph (d)(1) of this section; or
(ii) Meet the requirements of subpart H of part 75 for the control period (including the requirements in § 75.74(c) of this chapter) and report NO X mass emissions data and heat input data (including the data described in § 75.74(c)(6) of this chapter) for such unit only for the control period of each year and report, in an electronic quarterly report in a format prescribed by the Administrator, for each calendar quarter beginning with:
(A) For a unit that commences commercial operation before July 1, 2007, the calendar quarter covering May 1, 2008 through June 30, 2008;
(B) For a unit that commences commercial operation on or after July 1, 2007, the calendar quarter corresponding to the earlier of the date of provisional certification or the applicable deadline for initial certification under § 97.370(b), unless that date is not during a control period, in which case reporting shall commence in the quarter that includes May 1 through June 30 of the first control period after such date;
(C) Notwithstanding paragraphs (d)(2)(ii)(A) and (2)(ii)(B) of this section, for a unit for which a CAIR opt-in permit application is submitted and not withdrawn and a CAIR opt-in permit is not yet issued or denied under subpart IIII of this part, the calendar quarter corresponding to the date specified in § 97.384(b); and
(D) Notwithstanding paragraphs (d)(2)(ii)(A) and (2)(ii)(B) of this section, for a CAIR NO X Ozone Season opt-in unit under subpart IIII of this part, the calendar quarter corresponding to the date on which the CAIR NO X Ozone Season opt-in unit enters the CAIR NO X Ozone Season Trading Program as provided in § 97.384(g).
(3) The CAIR designated representative shall submit each quarterly report to the Administrator within 30 days following the end of the calendar quarter covered by the report. Quarterly reports shall be submitted in the manner specified in § 75.73(f) of this chapter.
(4) For CAIR NO X Ozone Season units that are also subject to an Acid Rain emissions limitation or the CAIR NO X Annual Trading Program, CAIR SO 2 Trading Program, or Hg Budget Trading Program, quarterly reports shall include the applicable data and information required by subparts F through I of part 75 of this chapter as applicable, in addition to the NO X mass emission data, heat input data, and other information required by this subpart.
(e) Compliance certification. The CAIR designated representative shall submit to the Administrator a compliance certification (in a format prescribed by the Administrator) in support of each quarterly report based on reasonable inquiry of those persons with primary responsibility for ensuring that all of the unit's emissions are correctly and fully monitored. The certification shall state that:
(1) The monitoring data submitted were recorded in accordance with the applicable requirements of this subpart and part 75 of this chapter, including the quality assurance procedures and specifications;
(2) For a unit with add-on NO X emission controls and for all hours where NO X data are substituted in accordance with § 75.34(a)(1) of this chapter, the add-on emission controls were operating within the range of parameters listed in the quality assurance/quality control program under appendix B to part 75 of this chapter and the substitute data values do not systematically underestimate NO X emissions; and
(3) For a unit that is reporting on a control period basis under paragraph (d)(2)(ii) of this section, the NO X emission rate and NO X concentration values substituted for missing data under subpart D of part 75 of this chapter are calculated using only values from a control period and do not systematically underestimate NO X emissions.
§ 97.375   Petitions.
The CAIR designated representative of a CAIR NO X Ozone Season unit may submit a petition under § 75.66 of this chapter to the Administrator requesting approval to apply an alternative to any requirement of this subpart. Application of an alternative to any requirement of this subpart is in accordance with this subpart only to the extent that the petition is approved in writing by the Administrator, in consultation with the permitting authority.
§ 97.380   Applicability.
A CAIR NO X Ozone Season opt-in unit must be a unit that:
(a) Is located in a State that submits, and for which the Administrator approves, a State implementation plan revision in accordance with § 51.123(ee)(3) (i), (ii), or (iii) of this chapter establishing procedures concerning CAIR Ozone Season opt-in units;
(b) Is not a CAIR NO X Ozone Season unit under § 97.304 and is not covered by a retired unit exemption under § 97.305 that is in effect;
(c) Is not covered by a retired unit exemption under § 72.8 of this chapter that is in effect;
(d) Has or is required or qualified to have a title V operating permit or other federally enforceable permit; and
(e) Vents all of its emissions to a stack and can meet the monitoring, recordkeeping, and reporting requirements of subpart HHHH of this part.
§ 97.381   General.
(a) Except as otherwise provided in §§ 97.301 through 97.304, §§ 97.306 through 97.308, and subparts BBBB and CCCC and subparts FFFF through HHHH of this part, a CAIR NO X Ozone Season opt-in unit shall be treated as a CAIR NO X Ozone Season unit for purposes of applying such sections and subparts of this part.
(b) Solely for purposes of applying, as provided in this subpart, the requirements of subpart HHHH of this part to a unit for which a CAIR opt-in permit application is submitted and not withdrawn and a CAIR opt-in permit is not yet issued or denied under this subpart, such unit shall be treated as a CAIR NO X Ozone Season unit before issuance of a CAIR opt-in permit for such unit.
§ 97.382   CAIR designated representative.
Any CAIR NO X Ozone Season opt-in unit, and any unit for which a CAIR opt-in permit application is submitted and not withdrawn and a CAIR opt-in permit is not yet issued or denied under this subpart, located at the same source as one or more CAIR NO X Ozone Season units shall have the same CAIR designated representative and alternate CAIR designated representative as such CAIR NO X Ozone Season units.
§ 97.383   Applying for CAIR opt-in permit.
(a) Applying for initial CAIR opt-in permit. The CAIR designated representative of a unit meeting the requirements for a CAIR NO X Ozone Season opt-in unit in § 97.380 may apply for an initial CAIR opt-in permit at any time, except as provided under § 97.386 (f) and (g), and, in order to apply, must submit the following:
(1) A complete CAIR permit application under § 97.322;
(2) A certification, in a format specified by the permitting authority, that the unit:
(i) Is not a CAIR NO X Ozone Season unit under § 97.304 and is not covered by a retired unit exemption under § 97.305 that is in effect;
(ii) Is not covered by a retired unit exemption under § 72.8 of this chapter that is in effect;
(iii) Vents all of its emissions to a stack; and
(iv) Has documented heat input for more than 876 hours during the 6 months immediately preceding submission of the CAIR permit application under § 97.322;
(3) A monitoring plan in accordance with subpart HHHH of this part;
(4) A complete certificate of representation under § 97.313 consistent with § 97.382, if no CAIR designated representative has been previously designated for the source that includes the unit; and
(5) A statement, in a format specified by the permitting authority, whether the CAIR designated representative requests that the unit be allocated CAIR NO X Ozone Season allowances under § 97.380(b) or § 97.388(c) (subject to the conditions in §§ 97.384(h) and 97.386(g)), to the extent such allocation is provided in a State implementation plan revision submitted in accordance with § 51.123(ee)(3)(i), (ii), or (iii) of this chapter and approved by the Administrator. If allocation under § 97.388(c) is requested, this statement shall include a statement that the owners and operators intend to repower the unit before January 1, 2015 and that they will provide, upon request, documentation demonstrating such intent.
(b) Duty to reapply. (1) The CAIR designated representative of a CAIR NO X Ozone Season opt-in unit shall submit a complete CAIR permit application under § 97.322 to renew the CAIR opt-in unit permit in accordance with the permitting authority's regulations for title V operating permits, or the permitting authority's regulations for other federally enforceable permits if applicable, addressing permit renewal.
(2) Unless the permitting authority issues a notification of acceptance of withdrawal of the CAIR NO X Ozone Season opt-in unit from the CAIR NO X Ozone Season Trading Program in accordance with § 97.386 or the unit becomes a CAIR NO X Ozone Season unit under § 97.304, the CAIR NO X Ozone Season opt-in unit shall remain subject to the requirements for a CAIR NO X Ozone Season opt-in unit, even if the CAIR designated representative for the CAIR NO X Ozone Season opt-in unit fails to submit a CAIR permit application that is required for renewal of the CAIR opt-in permit under paragraph (b)(1) of this section.
§ 97.384   Opt-in process.
The permitting authority will issue or deny a CAIR opt-in permit for a unit for which an initial application for a CAIR opt-in permit under § 97.383 is submitted in accordance with the following, to the extent provided in a State implementation plan revision submitted in accordance with § 51.123(ee)(3)(i), (ii), or (iii) of this chapter and approved by the Administrator:
(a) Interim review of monitoring plan. The permitting authority and the Administrator will determine, on an interim basis, the sufficiency of the monitoring plan accompanying the initial application for a CAIR opt-in permit under § 97.383. A monitoring plan is sufficient, for purposes of interim review, if the plan appears to contain information demonstrating that the NO X emissions rate and heat input of the unit and all other applicable parameters are monitored and reported in accordance with subpart HHHH of this part. A determination of sufficiency shall not be construed as acceptance or approval of the monitoring plan.
(b) Monitoring and reporting. (1)(i) If the permitting authority and the Administrator determine that the monitoring plan is sufficient under paragraph (a) of this section, the owner or operator shall monitor and report the NO X emissions rate and the heat input of the unit and all other applicable parameters, in accordance with subpart HHHH of this part, starting on the date of certification of the appropriate monitoring systems under subpart HHHH of this part and continuing until a CAIR opt-in permit is denied under § 97.384(f) or, if a CAIR opt-in permit is issued, the date and time when the unit is withdrawn from the CAIR NO X Ozone Season Trading Program in accordance with § 97.386.
(ii) The monitoring and reporting under paragraph (b)(1)(i) of this section shall include the entire control period immediately before the date on which the unit enters the CAIR NO X Ozone Season Trading Program under § 97.384(g), during which period monitoring system availability must not be less than 90 percent under subpart HHHH of this part and the unit must be in full compliance with any applicable State or Federal emissions or emissions-related requirements.
(2) To the extent the NO X emissions rate and the heat input of the unit are monitored and reported in accordance with subpart HHHH of this part for one or more control periods, in addition to the control period under paragraph (b)(1)(ii) of this section, during which control periods monitoring system availability is not less than 90 percent under subpart HHHH of this part and the unit is in full compliance with any applicable State or Federal emissions or emissions-related requirements and which control periods begin not more than 3 years before the unit enters the CAIR NO X Ozone Season Trading Program under § 97.384(g), such information shall be used as provided in paragraphs (c) and (d) of this section.
(c) Baseline heat input. The unit's baseline heat input shall equal:
(1) If the unit's NO X emissions rate and heat input are monitored and reported for only one control period, in accordance with paragraph (b)(1) of this section, the unit's total heat input (in mmBtu) for the control period; or
(2) If the unit's NO X emissions rate and heat input are monitored and reported for more than one control period, in accordance with paragraphs (b)(1) and (2) of this section, the average of the amounts of the unit's total heat input (in mmBtu) for the control periods under paragraphs (b)(1)(ii) and (2) of this section.
(d) Baseline NO X emission rate. The unit's baseline NO X emission rate shall equal:
(1) If the unit's NO X emissions rate and heat input are monitored and reported for only one control period, in accordance with paragraph (b)(1) of this section, the unit's NO X emissions rate (in lb/mmBtu) for the control period;
(2) If the unit's NO X emissions rate and heat input are monitored and reported for more than one control period, in accordance with paragraphs (b)(1) and (2) of this section, and the unit does not have add-on NO X emission controls during any such control periods, the average of the amounts of the unit's NO X emissions rate (in lb/mmBtu) for the control periods under paragraphs (b)(1)(ii) and (2) of this section; or
(3) If the unit's NO X emissions rate and heat input are monitored and reported for more than one control period, in accordance with paragraphs (b)(1) and (2) of this section, and the unit has add-on NO X emission controls during any such control periods, the average of the amounts of the unit's NO X emissions rate (in lb/mmBtu) for such control periods during which the unit has add-on NO X emission controls.
(e) Issuance of CAIR opt-in permit. After calculating the baseline heat input and the baseline NO X emissions rate for the unit under paragraphs (c) and (d) of this section and if the permitting authority determines that the CAIR designated representative shows that the unit meets the requirements for a CAIR NO X Ozone Season opt-in unit in § 97.380 and meets the elements certified in § 97.383(a)(2), the permitting authority will issue a CAIR opt-in permit. The permitting authority will provide a copy of the CAIR opt-in permit to the Administrator, who will then establish a compliance account for the source that includes the CAIR NO X Ozone Season opt-in unit unless the source already has a compliance account.
(f) Issuance of denial of CAIR opt-in permit. Notwithstanding paragraphs (a) through (e) of this section, if at any time before issuance of a CAIR opt-in permit for the unit, the permitting authority determines that the CAIR designated representative fails to show that the unit meets the requirements for a CAIR NO X Ozone Season opt-in unit in § 97.380 or meets the elements certified in § 97.383(a)(2), the permitting authority will issue a denial of a CAIR opt-in permit for the unit.
(g) Date of entry into CAIR NO X Ozone Season Trading Program. A unit for which an initial CAIR opt-in permit is issued by the permitting authority shall become a CAIR NO X Ozone Season opt-in unit, and a CAIR NO X Ozone Season unit, as of the later of May 1, 2009 or May 1 of the first control period during which such CAIR opt-in permit is issued.
(h) Repowered CAIR NO X Ozone Season opt-in unit. (1) If CAIR designated representative requests, and the permitting authority issues a CAIR opt-in permit providing for, allocation to a CAIR NO X Ozone Season opt-in unit of CAIR NO X Ozone Season allowances under § 97.388(c) and such unit is repowered after its date of entry into the CAIR NO X Ozone Season Trading Program under paragraph (g) of this section, the repowered unit shall be treated as a CAIR NO X Ozone Season opt-in unit replacing the original CAIR NO X Ozone Season opt-in unit, as of the date of start-up of the repowered unit's combustion chamber.
(2) Notwithstanding paragraphs (c) and (d) of this section, as of the date of start-up under paragraph (h)(1) of this section, the repowered unit shall be deemed to have the same date of commencement of operation, date of commencement of commercial operation, baseline heat input, and baseline NO X emission rate as the original CAIR NO X Ozone Season opt-in unit, and the original CAIR NO X Ozone Season opt-in unit shall no longer be treated as a CAIR NO X Ozone Season opt-in unit or a CAIR NO X Ozone Season unit.
§ 97.385   CAIR opt-in permit contents.
(a) Each CAIR opt-in permit will contain:
(1) All elements required for a complete CAIR permit application under § 97.322;
(2) The certification in § 97.383(a)(2);
(3) The unit's baseline heat input under § 97.384(c);
(4) The unit's baseline NO X emission rate under § 97.384(d);
(5) A statement whether the unit is to be allocated CAIR NO X Ozone Season allowances under § 97.388(b) or § 97.388(c) (subject to the conditions in §§ 97.384(h) and 97.386(g));
(6) A statement that the unit may withdraw from the CAIR NO X Ozone Season Trading Program only in accordance with § 97.386; and
(7) A statement that the unit is subject to, and the owners and operators of the unit must comply with, the requirements of § 97.387.
(b) Each CAIR opt-in permit is deemed to incorporate automatically the definitions of terms under § 97.302 and, upon recordation by the Administrator under subpart FFFF or GGGG of this part or this subpart, every allocation, transfer, or deduction of CAIR NO X Ozone Season allowances to or from the compliance account of the source that includes a CAIR NO X Ozone Season opt-in unit covered by the CAIR opt-in permit.
(c) The CAIR opt-in permit shall be included, in a format specified by the permitting authority, in the CAIR permit for the source where the CAIR NO X Ozone Season opt-in unit is located and in a title V operating permit or other federally enforceable permit for the source.
§ 97.386   Withdrawal from CAIR NOXOzone Season Trading Program.
Except as provided under paragraph (g) of this section, a CAIR NO X Ozone Season opt-in unit may withdraw from the CAIR NO X Ozone Season Trading Program, but only if the permitting authority issues a notification to the CAIR designated representative of the CAIR NO X Ozone Season opt-in unit of the acceptance of the withdrawal of the CAIR NO X Ozone Season opt-in unit in accordance with paragraph (d) of this section.
(a) Requesting withdrawal. In order to withdraw a CAIR NO X Ozone Season opt-in unit from the CAIR NO X Ozone Season Trading Program, the CAIR designated representative of the CAIR NO X Ozone Season opt-in unit shall submit to the permitting authority a request to withdraw effective as of midnight of September 30 of a specified calendar year, which date must be at least 4 years after September 30 of the year of entry into the CAIR NO X Ozone Season Trading Program under § 97.384(g). The request must be submitted no later than 90 days before the requested effective date of withdrawal.
(b) Conditions for withdrawal. Before a CAIR NO X Ozone Season opt-in unit covered by a request under paragraph (a) of this section may withdraw from the CAIR NO X Ozone Season Trading Program and the CAIR opt-in permit may be terminated under paragraph (e) of this section, the following conditions must be met:
(1) For the control period ending on the date on which the withdrawal is to be effective, the source that includes the CAIR NO X Ozone Season opt-in unit must meet the requirement to hold CAIR NO X Ozone Season allowances under § 97.306(c) and cannot have any excess emissions.
(2) After the requirement for withdrawal under paragraph (b)(1) of this section is met, the Administrator will deduct from the compliance account of the source that includes the CAIR NO X Ozone Season opt-in unit CAIR NO X Ozone Season allowances equal in amount to and allocated for the same or a prior control period as any CAIR NO X Ozone Season allowances allocated to the CAIR NO X Ozone Season opt-in unit under § 97.388 for any control period for which the withdrawal is to be effective. If there are no remaining CAIR NO X Ozone Season units at the source, the Administrator will close the compliance account, and the owners and operators of the CAIR NO X Ozone Season opt-in unit may submit a CAIR NO X Ozone Season allowance transfer for any remaining CAIR NO X Ozone Season allowances to another CAIR NO X Ozone Season Allowance Tracking System in accordance with subpart GGGG of this part.
(c) Notification. (1) After the requirements for withdrawal under paragraphs (a) and (b) of this section are met (including deduction of the full amount of CAIR NO X Ozone Season allowances required), the permitting authority will issue a notification to the CAIR designated representative of the CAIR NO X Ozone Season opt-in unit of the acceptance of the withdrawal of the CAIR NO X Ozone Season opt-in unit as of midnight on September 30 of the calendar year for which the withdrawal was requested.
(2) If the requirements for withdrawal under paragraphs (a) and (b) of this section are not met, the permitting authority will issue a notification to the CAIR designated representative of the CAIR NO X Ozone Season opt-in unit that the CAIR NO X Ozone Season opt-in unit's request to withdraw is denied. Such CAIR NO X Ozone Season opt-in unit shall continue to be a CAIR NO X Ozone Season opt-in unit.
(d) Permit amendment. After the permitting authority issues a notification under paragraph (c)(1) of this section that the requirements for withdrawal have been met, the permitting authority will revise the CAIR permit covering the CAIR NO X Ozone Season opt-in unit to terminate the CAIR opt-in permit for such unit as of the effective date specified under paragraph (c)(1) of this section. The unit shall continue to be a CAIR NO X Ozone Season opt-in unit until the effective date of the termination and shall comply with all requirements under the CAIR NO X Ozone Season Trading Program concerning any control periods for which the unit is a CAIR NO X Ozone Season opt-in unit, even if such requirements arise or must be complied with after the withdrawal takes effect.
(e) Reapplication upon failure to meet conditions of withdrawal. If the permitting authority denies the CAIR NO X Ozone Season opt-in unit's request to withdraw, the CAIR designated representative may submit another request to withdraw in accordance with paragraphs (a) and (b) of this section.
(f) Ability to reapply to the CAIR NO X Ozone Season Trading Program. Once a CAIR NO X Ozone Season opt-in unit withdraws from the CAIR NO X Ozone Season Trading Program and its CAIR opt-in permit is terminated under this section, the CAIR designated representative may not submit another application for a CAIR opt-in permit under § 97.383 for such CAIR NO X Ozone Season opt-in unit before the date that is 4 years after the date on which the withdrawal became effective. Such new application for a CAIR opt-in permit will be treated as an initial application for a CAIR opt-in permit under § 97.384.
(g) Inability to withdraw. Notwithstanding paragraphs (a) through (f) of this section, a CAIR NO X Ozone Season opt-in unit shall not be eligible to withdraw from the CAIR NO X Ozone Season Trading Program if the CAIR designated representative of the CAIR NO X Ozone Season opt-in unit requests, and the permitting authority issues a CAIR opt-in permit providing for, allocation to the CAIR NO X Ozone Season opt-in unit of CAIR NO X Ozone Season allowances under § 97.388(c).
§ 97.387   Change in regulatory status.
(a) Notification. If a CAIR NO X Ozone Season opt-in unit becomes a CAIR NO X Ozone Season unit under § 97.304, then the CAIR designated representative shall notify in writing the permitting authority and the Administrator of such change in the CAIR NO X Ozone Season opt-in unit's regulatory status, within 30 days of such change.
(b) Permitting authority's and Administrator's actions. (1) If a CAIR NO X Ozone Season opt-in unit becomes a CAIR NO X Ozone Season unit under § 97.304, the permitting authority will revise the CAIR NO X Ozone Season opt-in unit's CAIR opt-in permit to meet the requirements of a CAIR permit under § 97.323, and remove the CAIR opt-in permit provisions, as of the date on which the CAIR NO X Ozone Season opt-in unit becomes a CAIR NO X Ozone Season unit under § 97.304.
(2)(i) The Administrator will deduct from the compliance account of the source that includes the CAIR NO X Ozone Season opt-in unit that becomes a CAIR NO X Ozone Season unit under § 97.304, CAIR NO X Ozone Season allowances equal in amount to and allocated for the same or a prior control period as:
(A) Any CAIR NO X Ozone Season allowances allocated to the CAIR NO X Ozone Season opt-in unit under § 97.388 for any control period after the date on which the CAIR NO X Ozone Season opt-in unit becomes a CAIR NO X Ozone Season unit under § 97.304; and
(B) If the date on which the CAIR NO X Ozone Season opt-in unit becomes a CAIR NO X Ozone Season unit under § 97.304 is not September 30, the CAIR NO X Ozone Season allowances allocated to the CAIR NO X Ozone Season opt-in unit under § 97.388 for the control period that includes the date on which the CAIR NO X Ozone Season opt-in unit becomes a CAIR NO X Ozone Season unit under § 97.304, multiplied by the ratio of the number of days, in the control period, starting with the date on which the CAIR NO X Ozone Season opt-in unit becomes a CAIR NO X Ozone Season unit under § 97.304 divided by the total number of days in the control period and rounded to the nearest whole allowance as appropriate.
(ii) The CAIR designated representative shall ensure that the compliance account of the source that includes the CAIR NO X Ozone Season opt-in unit that becomes a CAIR NO X Ozone Season unit under § 97.304 contains the CAIR NO X Ozone Season allowances necessary for completion of the deduction under paragraph (b)(2)(i) of this section.
(3)(i) For every control period after the date on which the CAIR NO X Ozone Season opt-in unit becomes a CAIR NO X Ozone Season unit under § 97.304, the CAIR NO X Ozone Season opt-in unit will be allocated CAIR NO X Ozone Season allowances under § 97.342.
(ii) If the date on which the CAIR NO X Ozone Season opt-in unit becomes a CAIR NO X Ozone Season unit under § 97.304 is not September 30, the following amount of CAIR NO X Ozone Season allowances will be allocated to the CAIR NO X Ozone Season opt-in unit (as a CAIR NO X Ozone Season unit) under § 97.342 for the control period that includes the date on which the CAIR NO X Ozone Season opt-in unit becomes a CAIR NO X Ozone Season unit under § 97.304:
(A) The amount of CAIR NO X Ozone Season allowances otherwise allocated to the CAIR NO X Ozone Season opt-in unit (as a CAIR NO X Ozone Season unit) under § 97.342 for the control period multiplied by;
(B) The ratio of the number of days, in the control period, starting with the date on which the CAIR NO X Ozone Season opt-in unit becomes a CAIR NO X Ozone Season unit under § 97.304, divided by the total number of days in the control period; and
(C) Rounded to the nearest whole allowance as appropriate.
§ 97.388   CAIR NOXOzone Season allowance allocations to CAIR NOXOzone Season opt-in units.
(a) Timing requirements. (1) When the CAIR opt-in permit is issued under § 97.384(e), the permitting authority will allocate CAIR NO X Ozone Season allowances to the CAIR NO X Ozone Season opt-in unit, and submit to the Administrator the allocation for the control period in which a CAIR NO X Ozone Season opt-in unit enters the CAIR NO X Ozone Season Trading Program under § 97.384(g), in accordance with paragraph (b) or (c) of this section.
(2) By no later than July 31 of the control period after the control period in which a CAIR NO X Ozone Season opt-in unit enters the CAIR NO X Ozone Season Trading Program under § 97.384(g) and July 31 of each year thereafter, the permitting authority will allocate CAIR NO X Ozone Season allowances to the CAIR NO X Ozone Season opt-in unit, and submit to the Administrator the allocation for the control period that includes such submission deadline and in which the unit is a CAIR NO X Ozone Season opt-in unit, in accordance with paragraph (b) or (c) of this section.
(b) Calculation of allocation. For each control period for which a CAIR NO X Ozone Season opt-in unit is to be allocated CAIR NO X Ozone Season allowances, the permitting authority will allocate in accordance with the following procedures, if provided in a State implementation plan revision submitted in accordance with § 51.123(ee)(3)(i), (ii), or (iii) of this chapter and approved by the Administrator:
(1) The heat input (in mmBtu) used for calculating the CAIR NO X Ozone Season allowance allocation will be the lesser of:
(i) The CAIR NO X Ozone Season opt-in unit's baseline heat input determined under § 97.384(c); or
(ii) The CAIR NO X Ozone Season opt-in unit's heat input, as determined in accordance with subpart HHHH of this part, for the immediately prior control period, except when the allocation is being calculated for the control period in which the CAIR NO X Ozone Season opt-in unit enters the CAIR NO X Ozone Season Trading Program under § 97.384(g).
(2) The NO X emission rate (in lb/mmBtu) used for calculating CAIR NO X Ozone Season allowance allocations will be the lesser of:
(i) The CAIR NO X Ozone Season opt-in unit's baseline NO X emissions rate (in lb/mmBtu) determined under § 97.384(d) and multiplied by 70 percent; or
(ii) The most stringent State or Federal NO X emissions limitation applicable to the CAIR NO X Ozone Season opt-in unit at any time during the control period for which CAIR NO X Ozone Season allowances are to be allocated.
(3) The permitting authority will allocate CAIR NO X Ozone Season allowances to the CAIR NO X Ozone Season opt-in unit in an amount equaling the heat input under paragraph (b)(1) of this section, multiplied by the NO X emission rate under paragraph (b)(2) of this section, divided by 2,000 lb/ton, and rounded to the nearest whole allowance as appropriate.
(c) Notwithstanding paragraph (b) of this section and if the CAIR designated representative requests, and the permitting authority issues a CAIR opt-in permit (based on a demonstration of the intent to repower stated under § 97.383 (a)(5)) providing for, allocation to a CAIR NO X Ozone Season opt-in unit of CAIR NO X Ozone Season allowances under this paragraph (subject to the conditions in §§ 97.384(h) and 97.386(g)), the permitting authority will allocate to the CAIR NO X Ozone Season opt-in unit as follows, if provided in a State implementation plan revision submitted in accordance with § 51.123(ee)(3)(i), (ii), or (iii) of this chapter and approved by the Administrator:
(1) For each control period in 2009 through 2014 for which the CAIR NO X Ozone Season opt-in unit is to be allocated CAIR NO X Ozone Season allowances,
(i) The heat input (in mmBtu) used for calculating CAIR NO X Ozone Season allowance allocations will be determined as described in paragraph (b)(1) of this section.
(ii) The NO X emission rate (in lb/mmBtu) used for calculating CAIR NO X Ozone Season allowance allocations will be the lesser of:
(A) The CAIR NO X Ozone Season opt-in unit's baseline NO X emissions rate (in lb/mmBtu) determined under § 97.384(d); or
(B) The most stringent State or Federal NO X emissions limitation applicable to the CAIR NO X Ozone Season opt-in unit at any time during the control period in which the CAIR NO X Ozone Season opt-in unit enters the CAIR NO X Ozone Season Trading Program under § 97.384(g).
(iii) The permitting authority will allocate CAIR NO X Ozone Season allowances to the CAIR NO X Ozone Season opt-in unit in an amount equaling the heat input under paragraph (c)(1)(i) of this section, multiplied by the NO X emission rate under paragraph (c)(1)(ii) of this section, divided by 2,000 lb/ton, and rounded to the nearest whole allowance as appropriate.
(2) For each control period in 2015 and thereafter for which the CAIR NO X Ozone Season opt-in unit is to be allocated CAIR NO X Ozone Season allowances,
(i) The heat input (in mmBtu) used for calculating the CAIR NO X Ozone Season allowance allocations will be determined as described in paragraph (b)(1) of this section.
(ii) The NO X emission rate (in lb/mmBtu) used for calculating the CAIR NO X Ozone Season allowance allocation will be the lesser of:
(A) 0.15 lb/mmBtu;
(B) The CAIR NO X Ozone Season opt-in unit's baseline NO X emissions rate (in lb/mmBtu) determined under § 97.384(d); or
(C) The most stringent State or Federal NO X emissions limitation applicable to the CAIR NO X Ozone Season opt-in unit at any time during the control period for which CAIR NO X Ozone Season allowances are to be allocated.
(iii) The permitting authority will allocate CAIR NO X Ozone Season allowances to the CAIR NO X Ozone Season opt-in unit in an amount equaling the heat input under paragraph (c)(2)(i) of this section, multiplied by the NO X emission rate under paragraph (c)(2)(ii) of this section, divided by 2,000 lb/ton, and rounded to the nearest whole allowance as appropriate.
(d) Recordation. If provided in a State implementation plan revision submitted in accordance with § 51.123(ee)(3)(i), (ii), or (iii) of this chapter and approved by the Administrator:
(1) The Administrator will record, in the compliance account of the source that includes the CAIR NO X Ozone Season opt-in unit, the CAIR NO X Ozone Season allowances allocated by the permitting authority to the CAIR NO X Ozone Season opt-in unit under paragraph (a)(1) of this section.
(2) By September 1 of the control period in which a CAIR NO X Ozone Season opt-in unit enters the CAIR NO X Ozone Season Trading Program under § 97.384(g) and September 1 of each year thereafter, the Administrator will record, in the compliance account of the source that includes the CAIR NO X Ozone Season opt-in unit, the CAIR NO X Ozone Season allowances allocated by the permitting authority to the CAIR NO X Ozone Season opt-in unit under paragraph (a)(2) of this section.
§ 97.401   Purpose.
This subpart sets forth the general, designated representative, allowance, and monitoring provisions for the Cross-State Air Pollution Rule (CSAPR) NO X Annual Trading Program, under section 110 of the Clean Air Act and § 52.38 of this chapter, as a means of mitigating interstate transport of fine particulates and nitrogen oxides.
§ 97.402   Definitions.
The terms used in this subpart shall have the meanings set forth in this section as follows, provided that any term that includes the acronym “CSAPR” shall be considered synonymous with a term that is used in a SIP revision approved by the Administrator under § 52.38 or § 52.39 of this chapter and that is substantively identical except for the inclusion of the acronym “TR” in place of the acronym “CSAPR”:
Acid Rain Program means a multi-state SO 2 and NO X air pollution control and emission reduction program established by the Administrator under title IV of the Clean Air Act and parts 72 through 78 of this chapter.
Administrator means the Administrator of the United States Environmental Protection Agency or the Director of the Clean Air Markets Division (or its successor determined by the Administrator) of the United States Environmental Protection Agency, the Administrator's duly authorized representative under this subpart.
Allocate or allocation means, with regard to CSAPR NO X Annual allowances, the determination by the Administrator, State, or permitting authority, in accordance with this subpart and any SIP revision submitted by the State and approved by the Administrator under § 52.38(a)(3), (4), or (5) of this chapter, of the amount of such CSAPR NO X Annual allowances to be initially credited, at no cost to the recipient, to:
(1) A CSAPR NO X Annual unit;
(2) A new unit set-aside;
(3) An Indian country new unit set-aside; or
(4) An entity not listed in paragraphs (1) through (3) of this definition;
(5) Provided that, if the Administrator, State, or permitting authority initially credits, to a CSAPR NO X Annual unit qualifying for an initial credit, a credit in the amount of zero CSAPR NO X Annual allowances, the CSAPR NO X Annual unit will be treated as being allocated an amount ( i.e., zero) of CSAPR NO X Annual allowances.
Allowance Management System means the system by which the Administrator records allocations, auctions, transfers, and deductions of CSAPR NO X Annual allowances under the CSAPR NO X Annual Trading Program. Such allowances are allocated, auctioned, recorded, held, transferred, or deducted only as whole allowances.
Allowance Management System account means an account in the Allowance Management System established by the Administrator for purposes of recording the allocation, auction, holding, transfer, or deduction of CSAPR NO X Annual allowances.
Allowance transfer deadline means, for a control period before 2021, midnight of March 1 immediately after such control period or, for a control period in 2021 or thereafter, midnight of June 1 immediately after such control period (or if such March 1 or June 1 is not a business day, midnight of the first business day thereafter) and is the deadline by which a CSAPR NO X Annual allowance transfer must be submitted for recordation in a CSAPR NO X Annual source's compliance account in order to be available for use in complying with the source's CSAPR NO X Annual emissions limitation for such control period in accordance with §§ 97.406 and 97.424.
Alternate designated representative means, for a CSAPR NO X Annual source and each CSAPR NO X Annual unit at the source, the natural person who is authorized by the owners and operators of the source and all such units at the source, in accordance with this subpart, to act on behalf of the designated representative in matters pertaining to the CSAPR NO X Annual Trading Program. If the CSAPR NO X Annual source is also subject to the Acid Rain Program, CSAPR NO X Ozone Season Group 1 Trading Program, CSAPR NO X Ozone Season Group 2 Trading Program, CSAPR NO X Ozone Season Group 3 Trading Program, CSAPR SO 2 Group 1 Trading Program, or CSAPR SO 2 Group 2 Trading Program, then this natural person shall be the same natural person as the alternate designated representative as defined in the respective program.
Assurance account means an Allowance Management System account, established by the Administrator under § 97.425(b)(3) for certain owners and operators of a group of one or more CSAPR NO X Annual sources and units in a given State (and Indian country within the borders of such State), in which are held CSAPR NO X Annual allowances available for use for a control period in a given year in complying with the CSAPR NO X Annual assurance provisions in accordance with §§ 97.406 and 97.425.
Auction means, with regard to CSAPR NO X Annual allowances, the sale to any person by a State or permitting authority, in accordance with a SIP revision submitted by the State and approved by the Administrator under § 52.38(a)(4) or (5) of this chapter, of such CSAPR NO X Annual allowances to be initially recorded in an Allowance Management System account.
Authorized account representative means, for a general account, the natural person who is authorized, in accordance with this subpart, to transfer and otherwise dispose of CSAPR NO X Annual allowances held in the general account and, for a CSAPR NO X Annual source's compliance account, the designated representative of the source.
Automated data acquisition and handling system or DAHS means the component of the continuous emission monitoring system, or other emissions monitoring system approved for use under this subpart, designed to interpret and convert individual output signals from pollutant concentration monitors, flow monitors, diluent gas monitors, and other component parts of the monitoring system to produce a continuous record of the measured parameters in the measurement units required by this subpart.
Biomass means—
(1) Any organic material grown for the purpose of being converted to energy;
(2) Any organic byproduct of agriculture that can be converted into energy; or
(3) Any material that can be converted into energy and is nonmerchantable for other purposes, that is segregated from other material that is nonmerchantable for other purposes, and that is:
(i) A forest-related organic resource, including mill residues, precommercial thinnings, slash, brush, or byproduct from conversion of trees to merchantable material; or
(ii) A wood material, including pallets, crates, dunnage, manufacturing and construction materials (other than pressure-treated, chemically-treated, or painted wood products), and landscape or right-of-way tree trimmings.
Boiler means an enclosed fossil- or other-fuel-fired combustion device used to produce heat and to transfer heat to recirculating water, steam, or other medium.
Bottoming-cycle unit means a unit in which the energy input to the unit is first used to produce useful thermal energy, where at least some of the reject heat from the useful thermal energy application or process is then used for electricity production.
Business day means a day that does not fall on a weekend or a federal holiday.
Certifying official means a natural person who is:
(1) For a corporation, a president, secretary, treasurer, or vice-president of the corporation in charge of a principal business function or any other person who performs similar policy- or decision-making functions for the corporation;
(2) For a partnership or sole proprietorship, a general partner or the proprietor respectively; or
(3) For a local government entity or State, federal, or other public agency, a principal executive officer or ranking elected official.
Clean Air Act means the Clean Air Act, 42 U.S.C. 7401, et seq.
Coal means “coal” as defined in § 72.2 of this chapter.
Cogeneration system means an integrated group, at a source, of equipment (including a boiler, or combustion turbine, and a generator) designed to produce useful thermal energy for industrial, commercial, heating, or cooling purposes and electricity through the sequential use of energy.
Cogeneration unit means a stationary, fossil-fuel-fired boiler or stationary, fossil-fuel-fired combustion turbine that is a topping-cycle unit or a bottoming-cycle unit:
(1) Operating as part of a cogeneration system; and
(2) Producing on an annual average basis—
(i) For a topping-cycle unit,
(A) Useful thermal energy not less than 5 percent of total energy output; and
(B) Useful power that, when added to one-half of useful thermal energy produced, is not less than 42.5 percent of total energy input, if useful thermal energy produced is 15 percent or more of total energy output, or not less than 45 percent of total energy input, if useful thermal energy produced is less than 15 percent of total energy output; or
(ii) For a bottoming-cycle unit, useful power not less than 45 percent of total energy input;
(3) Provided that the requirements in paragraph (2) of this definition shall not apply to a calendar year referenced in paragraph (2) of this definition during which the unit did not operate at all;
(4) Provided that the total energy input under paragraphs (2)(i)(B) and (2)(ii) of this definition shall equal the unit's total energy input from all fuel, except biomass if the unit is a boiler; and
(5) Provided that, if, throughout its operation during the 12-month period or a calendar year referenced in paragraph (2) of this definition, a unit is operated as part of a cogeneration system and the cogeneration system meets on a system-wide basis the requirement in paragraph (2)(i)(B) or (2)(ii) of this definition, the unit shall be deemed to meet such requirement during that 12-month period or calendar year.
Combustion turbine means an enclosed device comprising:
(1) If the device is simple cycle, a compressor, a combustor, and a turbine and in which the flue gas resulting from the combustion of fuel in the combustor passes through the turbine, rotating the turbine; and
(2) If the device is combined cycle, the equipment described in paragraph (1) of this definition and any associated duct burner, heat recovery steam generator, and steam turbine.
Commence commercial operation means, with regard to a unit:
(1) To have begun to produce steam, gas, or other heated medium used to generate electricity for sale or use, including test generation, except as provided in § 97.405.
(i) For a unit that is a CSAPR NO X Annual unit under § 97.404 on the later of January 1, 2005 or the date the unit commences commercial operation as defined in the introductory text of paragraph (1) of this definition and that subsequently undergoes a physical change or is moved to a new location or source, such date shall remain the date of commencement of commercial operation of the unit, which shall continue to be treated as the same unit.
(ii) For a unit that is a CSAPR NO X Annual unit under § 97.404 on the later of January 1, 2005 or the date the unit commences commercial operation as defined in the introductory text of paragraph (1) of this definition and that is subsequently replaced by a unit at the same or a different source, such date shall remain the replaced unit's date of commencement of commercial operation, and the replacement unit shall be treated as a separate unit with a separate date for commencement of commercial operation as defined in paragraph (1) or (2) of this definition as appropriate.
(2) Notwithstanding paragraph (1) of this definition and except as provided in § 97.405, for a unit that is not a CSAPR NO X Annual unit under § 97.404 on the later of January 1, 2005 or the date the unit commences commercial operation as defined in the introductory text of paragraph (1) of this definition, the unit's date for commencement of commercial operation shall be the date on which the unit becomes a CSAPR NO X Annual unit under § 97.404.
(i) For a unit with a date for commencement of commercial operation as defined in the introductory text of paragraph (2) of this definition and that subsequently undergoes a physical change or is moved to a different location or source, such date shall remain the date of commencement of commercial operation of the unit, which shall continue to be treated as the same unit.
(ii) For a unit with a date for commencement of commercial operation as defined in the introductory text of paragraph (2) of this definition and that is subsequently replaced by a unit at the same or a different source, such date shall remain the replaced unit's date of commencement of commercial operation, and the replacement unit shall be treated as a separate unit with a separate date for commencement of commercial operation as defined in paragraph (1) or (2) of this definition as appropriate.
Common designated representative means, with regard to a control period in a given year, a designated representative where, as of April 1 immediately after the allowance transfer deadline for such a control period before 2021, or as of July 1 immediately after such deadline for such a control period in 2021 or thereafter, the same natural person is authorized under §§ 97.413(a) and 97.415(a) as the designated representative for a group of one or more CSAPR NO X Annual sources and units in a State (and Indian country within the borders of such State).
Common designated representative's assurance level means, with regard to a specific common designated representative and a State (and Indian country within the borders of such State) and control period in a given year for which the State assurance level is exceeded as described in § 97.406(c)(2)(iii), the amount (rounded to the nearest allowance) equal to the sum of the total amount of CSAPR NO X Annual allowances allocated for such control period to the group of one or more CSAPR NO X Annual units in such State (and such Indian country) having the common designated representative for such control period and the total amount of CSAPR NO X Annual allowances purchased by an owner or operator of such CSAPR NO X Annual units in an auction for such control period and submitted by the State or the permitting authority to the Administrator for recordation in the compliance accounts for such CSAPR NO X Annual units in accordance with the CSAPR NO X Annual allowance auction provisions in a SIP revision approved by the Administrator under § 52.38(a)(4) or (5) of this chapter, multiplied by the sum of the State NO X Annual trading budget under § 97.410(a) and the State's variability limit under § 97.410(b) for such control period, and divided by such State NO X Annual trading budget.
Common designated representative's share means, with regard to a specific common designated representative for a control period in a given year and a total amount of NO X emissions from all CSAPR NO X Annual units in a State (and Indian country within the borders of such State) during such control period, the total tonnage of NO X emissions during such control period from the group of one or more CSAPR NO X Annual units in such State (and such Indian country) having the common designated representative for such control period.
Common stack means a single flue through which emissions from 2 or more units are exhausted.
Compliance account means an Allowance Management System account, established by the Administrator for a CSAPR NO X Annual source under this subpart, in which any CSAPR NO X Annual allowance allocations to the CSAPR NO X Annual units at the source are recorded and in which are held any CSAPR NO X Annual allowances available for use for a control period in a given year in complying with the source's CSAPR NO X Annual emissions limitation in accordance with §§ 97.406 and 97.424.
Continuous emission monitoring system or CEMS means the equipment required under this subpart to sample, analyze, measure, and provide, by means of readings recorded at least once every 15 minutes and using an automated data acquisition and handling system (DAHS), a permanent record of NO X emissions, stack gas volumetric flow rate, stack gas moisture content, and O 2 or CO 2 concentration (as applicable), in a manner consistent with part 75 of this chapter and §§ 97.430 through 97.435. The following systems are the principal types of continuous emission monitoring systems:
(1) A flow monitoring system, consisting of a stack flow rate monitor and an automated data acquisition and handling system and providing a permanent, continuous record of stack gas volumetric flow rate, in standard cubic feet per hour (scfh);
(2) A NO X concentration monitoring system, consisting of a NO X pollutant concentration monitor and an automated data acquisition and handling system and providing a permanent, continuous record of NO X emissions, in parts per million (ppm);
(3) A NO X emission rate (or NO X -diluent) monitoring system, consisting of a NO X pollutant concentration monitor, a diluent gas (CO 2 or O 2 ) monitor, and an automated data acquisition and handling system and providing a permanent, continuous record of NO X concentration, in parts per million (ppm), diluent gas concentration, in percent CO 2 or O 2 , and NO X emission rate, in pounds per million British thermal units (lb/mmBtu);
(4) A moisture monitoring system, as defined in § 75.11(b)(2) of this chapter and providing a permanent, continuous record of the stack gas moisture content, in percent H 2 O;
(5) A CO 2 monitoring system, consisting of a CO 2 pollutant concentration monitor (or an O 2 monitor plus suitable mathematical equations from which the CO 2 concentration is derived) and an automated data acquisition and handling system and providing a permanent, continuous record of CO 2 emissions, in percent CO 2 ; and
(6) An O 2 monitoring system, consisting of an O 2 concentration monitor and an automated data acquisition and handling system and providing a permanent, continuous record of O 2 , in percent O 2 .
Control period means the period starting January 1 of a calendar year, except as provided in § 97.406(c)(3), and ending on December 31 of the same year, inclusive.
CSAPR NO X Annual allowance means a limited authorization issued and allocated or auctioned by the Administrator under this subpart, or by a State or permitting authority under a SIP revision approved by the Administrator under § 52.38(a)(3), (4), or (5) of this chapter, to emit one ton of NO X during a control period of the specified calendar year for which the authorization is allocated or auctioned or of any calendar year thereafter under the CSAPR NO X Annual Trading Program.
CSAPR NO X Annual allowance deduction or deduct CSAPR NO X Annual allowances means the permanent withdrawal of CSAPR NO X Annual allowances by the Administrator from a compliance account ( e.g. , in order to account for compliance with the CSAPR NO X Annual emissions limitation) or from an assurance account ( e.g. , in order to account for compliance with the assurance provisions under §§ 97.406 and 97.425).
CSAPR NO X Annual allowances held or hold CSAPR NO X Annual allowances means the CSAPR NO X Annual allowances treated as included in an Allowance Management System account as of a specified point in time because at that time they:
(1) Have been recorded by the Administrator in the account or transferred into the account by a correctly submitted, but not yet recorded, CSAPR NO X Annual allowance transfer in accordance with this subpart; and
(2) Have not been transferred out of the account by a correctly submitted, but not yet recorded, CSAPR NO X Annual allowance transfer in accordance with this subpart.
CSAPR NO X Annual emissions limitation means, for a CSAPR NO X Annual source, the tonnage of NO X emissions authorized in a control period in a given year by the CSAPR NO X Annual allowances available for deduction for the source under § 97.424(a) for such control period.
CSAPR NO X Annual source means a source that includes one or more CSAPR NO X Annual units.
CSAPR NO X Annual Trading Program means a multi-state NO X air pollution control and emission reduction program established in accordance with this subpart and § 52.38(a) of this chapter (including such a program that is revised in a SIP revision approved by the Administrator under § 52.38(a)(3) or (4) of this chapter or that is established in a SIP revision approved by the Administrator under § 52.38(a)(5) of this chapter), as a means of mitigating interstate transport of fine particulates and NO X .
CSAPR NO X Annual unit means a unit that is subject to the CSAPR NO X Annual Trading Program.
CSAPR NO X Ozone Season Group 1 Trading Program means a multi-state NO X air pollution control and emission reduction program established in accordance with subpart BBBBB of this part and § 52.38(b)(1), (b)(2)(i), and  (b)(3) through (5) and (13) through (15) of this chapter (including such a program that is revised in a SIP revision approved by the Administrator under § 52.38(b)(3) or (4) of this chapter or that is established in a SIP revision approved by the Administrator under § 52.38(b)(5) of this chapter), as a means of mitigating interstate transport of ozone and NO X .
CSAPR NO X Ozone Season Group 2 Trading Program means a multi-state NO X air pollution control and emission reduction program established in accordance with subpart EEEEE of this part and § 52.38(b)(1), (b)(2)(ii), and (b)(7) through (9), (13), (14), and (16) of this chapter (including such a program that is revised in a SIP revision approved by the Administrator under § 52.38(b)(7) or (8) of this chapter or that is established in a SIP revision approved by the Administrator under § 52.38(b)(9) of this chapter), as a means of mitigating interstate transport of ozone and NO X .
CSAPR NO X Ozone Season Group 3 Trading Program means a multi-state NO X air pollution control and emission reduction program established in accordance with subpart GGGGG of this part and § 52.38(b)(1), (b)(2)(iii), and (b)(10) through (14) and (17) of this chapter (including such a program that is revised in a SIP revision approved by the Administrator under § 52.38(b)(10) or (11) of this chapter or that is established in a SIP revision approved by the Administrator under § 52.38(b)(12) of this chapter), as a means of mitigating interstate transport of ozone and NO X.
CSAPR SO 2 Group 1 Trading Program means a multi-state SO 2 air pollution control and emission reduction program established in accordance with subpart CCCCC of this part and § 52.39(a), (b), (d) through (f), and (j) through (l) of this chapter (including such a program that is revised in a SIP revision approved by the Administrator under § 52.39(d) or (e) of this chapter or that is established in a SIP revision approved by the Administrator under § 52.39(f) of this chapter), as a means of mitigating interstate transport of fine particulates and SO 2 .
CSAPR SO 2 Group 2 Trading Program means a multi-state SO 2 air pollution control and emission reduction program established in accordance with subpart DDDDD of this part and § 52.39(a), (c), (g) through (k), and (m) of this chapter (including such a program that is revised in a SIP revision approved by the Administrator under § 52.39(g) or (h) of this chapter or that is established in a SIP revision approved by the Administrator under § 52.39(i) of this chapter), as a means of mitigating interstate transport of fine particulates and SO 2 .
Designated representative means, for a CSAPR NO X Annual source and each CSAPR NO X Annual unit at the source, the natural person who is authorized by the owners and operators of the source and all such units at the source, in accordance with this subpart, to represent and legally bind each owner and operator in matters pertaining to the CSAPR NO X Annual Trading Program. If the CSAPR NO X Annual source is also subject to the Acid Rain Program, CSAPR NO X Ozone Season Group 1 Trading Program, CSAPR NO X Ozone Season Group 2 Trading Program, CSAPR NO X Ozone Season Group 3 Trading Program, CSAPR SO 2 Group 1 Trading Program, or CSAPR SO 2 Group 2 Trading Program, then this natural person shall be the same natural person as the designated representative as defined in the respective program.
Emissions means air pollutants exhausted from a unit or source into the atmosphere, as measured, recorded, and reported to the Administrator by the designated representative, and as modified by the Administrator:
(1) In accordance with this subpart; and
(2) With regard to a period before the unit or source is required to measure, record, and report such air pollutants in accordance with this subpart, in accordance with part 75 of this chapter.
Excess emissions means any ton of emissions from the CSAPR NO X Annual units at a CSAPR NO X Annual source during a control period in a given year that exceeds the CSAPR NO X Annual emissions limitation for the source for such control period.
Fossil fuel means—
(1) Natural gas, petroleum, coal, or any form of solid, liquid, or gaseous fuel derived from such material; or
(2) For purposes of applying the limitation on “average annual fuel consumption of fossil fuel” in § 97.404(b)(2)(i)(B) and (b)(2)(ii), natural gas, petroleum, coal, or any form of solid, liquid, or gaseous fuel derived from such material for the purpose of creating useful heat.
Fossil-fuel-fired means, with regard to a unit, combusting any amount of fossil fuel in 2005 or any calendar year thereafter.
General account means an Allowance Management System account, established under this subpart, that is not a compliance account or an assurance account.
Generator means a device that produces electricity.
Heat input means, for a unit for a specified period of unit operating time, the product (in mmBtu) of the gross calorific value of the fuel (in mmBtu/lb) fed into the unit multiplied by the fuel feed rate (in lb of fuel/time) and unit operating time, as measured, recorded, and reported to the Administrator by the designated representative and as modified by the Administrator in accordance with this subpart and excluding the heat derived from preheated combustion air, recirculated flue gases, or exhaust.
Heat input rate means, for a unit, the quotient (in mmBtu/hr) of the amount of heat input for a specified period of unit operating time (in mmBtu) divided by unit operating time (in hr) or, for a unit and a specific fuel, the amount of heat input attributed to the fuel (in mmBtu) divided by the unit operating time (in hr) during which the unit combusts the fuel.
Indian country means “Indian country” as defined in 18 U.S.C. 1151.
Life-of-the-unit, firm power contractual arrangement means a unit participation power sales agreement under which a utility or industrial customer reserves, or is entitled to receive, a specified amount or percentage of nameplate capacity and associated energy generated by any specified unit and pays its proportional amount of such unit's total costs, pursuant to a contract:
(1) For the life of the unit;
(2) For a cumulative term of no less than 30 years, including contracts that permit an election for early termination; or
(3) For a period no less than 25 years or 70 percent of the economic useful life of the unit determined as of the time the unit is built, with option rights to purchase or release some portion of the nameplate capacity and associated energy generated by the unit at the end of the period.
Maximum design heat input rate means, for a unit, the maximum amount of fuel per hour (in Btu/hr) that the unit is capable of combusting on a steady state basis as of the initial installation of the unit as specified by the manufacturer of the unit.
Monitoring system means any monitoring system that meets the requirements of this subpart, including a continuous emission monitoring system, an alternative monitoring system, or an excepted monitoring system under part 75 of this chapter.
Nameplate capacity means, starting from the initial installation of a generator, the maximum electrical generating output (in MWe, rounded to the nearest tenth) that the generator is capable of producing on a steady state basis and during continuous operation (when not restricted by seasonal or other deratings) as of such installation as specified by the manufacturer of the generator or, starting from the completion of any subsequent physical change in the generator resulting in an increase in the maximum electrical generating output that the generator is capable of producing on a steady state basis and during continuous operation (when not restricted by seasonal or other deratings), such increased maximum amount (in MWe, rounded to the nearest tenth) as of such completion as specified by the person conducting the physical change.
Natural gas means “natural gas” as defined in § 72.2 of this chapter.
Newly affected CSAPR NO X Annual unit means a unit that was not a CSAPR NO X Annual unit when it began operating but that thereafter becomes a CSAPR NO X Annual unit.
Nitrogen oxides means all oxides of nitrogen except nitrous oxide (N 2 O), reported on an equivalent molecular weight basis as nitrogen dioxide (NO 2 ).
Operate or operation means, with regard to a unit, to combust fuel.
Operator means, for a CSAPR NO X Annual source or a CSAPR NO X Annual unit at a source respectively, any person who operates, controls, or supervises a CSAPR NO X Annual unit at the source or the CSAPR NO X Annual unit and shall include, but not be limited to, any holding company, utility system, or plant manager of such source or unit.
Owner means, for a CSAPR NO X Annual source or a CSAPR NO X Annual unit at a source respectively, any of the following persons:
(1) Any holder of any portion of the legal or equitable title in a CSAPR NO X Annual unit at the source or the CSAPR NO X Annual unit;
(2) Any holder of a leasehold interest in a CSAPR NO X Annual unit at the source or the CSAPR NO X Annual unit, provided that, unless expressly provided for in a leasehold agreement, “owner” shall not include a passive lessor, or a person who has an equitable interest through such lessor, whose rental payments are not based (either directly or indirectly) on the revenues or income from such CSAPR NO X Annual unit; and
(3) Any purchaser of power from a CSAPR NO X Annual unit at the source or the CSAPR NO X Annual unit under a life-of-the-unit, firm power contractual arrangement.
Permanently retired means, with regard to a unit, a unit that is unavailable for service and that the unit's owners and operators do not expect to return to service in the future.
Permitting authority means “permitting authority” as defined in §§ 70.2 and 71.2 of this chapter.
Potential electrical output capacity means, for a unit (in MWh/yr), 33 percent of the unit's maximum design heat input rate (in Btu/hr), divided by 3,413 Btu/kWh, divided by 1,000 kWh/MWh, and multiplied by 8,760 hr/yr.
Receive or receipt of means, when referring to the Administrator, to come into possession of a document, information, or correspondence (whether sent in hard copy or by authorized electronic transmission), as indicated in an official log, or by a notation made on the document, information, or correspondence, by the Administrator in the regular course of business.
Recordation, record, or recorded means, with regard to CSAPR NO X Annual allowances, the moving of CSAPR NO X Annual allowances by the Administrator into, out of, or between Allowance Management System accounts, for purposes of allocation, auction, transfer, or deduction.
Reference method means any direct test method of sampling and analyzing for an air pollutant as specified in § 75.22 of this chapter.
Replacement, replace, or replaced means, with regard to a unit, the demolishing of a unit, or the permanent retirement and permanent disabling of a unit, and the construction of another unit (the replacement unit) to be used instead of the demolished or retired unit (the replaced unit).
Sequential use of energy means:
(1) The use of reject heat from electricity production in a useful thermal energy application or process; or
(2) The use of reject heat from a useful thermal energy application or process in electricity production.
Serial number means, for a CSAPR NO X Annual allowance, the unique identification number assigned to each CSAPR NO X Annual allowance by the Administrator.
Solid waste incineration unit means a stationary, fossil-fuel-fired boiler or stationary, fossil-fuel-fired combustion turbine that is a “solid waste incineration unit” as defined in section 129(g)(1) of the Clean Air Act.
Source means all buildings, structures, or installations located in one or more contiguous or adjacent properties under common control of the same person or persons. This definition does not change or otherwise affect the definition of “major source”, “stationary source”, or “source” as set forth and implemented in a title V operating permit program or any other program under the Clean Air Act.
State means one of the States that is subject to the CSAPR NO X Annual Trading Program pursuant to § 52.38(a) of this chapter.
Submit or serve means to send or transmit a document, information, or correspondence to the person specified in accordance with the applicable regulation:
(1) In person;
(2) By United States Postal Service; or
(3) By other means of dispatch or transmission and delivery;
(4) Provided that compliance with any “submission” or “service” deadline shall be determined by the date of dispatch, transmission, or mailing and not the date of receipt.
Topping-cycle unit means a unit in which the energy input to the unit is first used to produce useful power, including electricity, where at least some of the reject heat from the electricity production is then used to provide useful thermal energy.
Total energy input means, for a unit, total energy of all forms supplied to the unit, excluding energy produced by the unit. Each form of energy supplied shall be measured by the lower heating value of that form of energy calculated as follows:
Total energy output means, for a unit, the sum of useful power and useful thermal energy produced by the unit.
Unit means a stationary, fossil-fuel-fired boiler, stationary, fossil-fuel-fired combustion turbine, or other stationary, fossil-fuel-fired combustion device. A unit that undergoes a physical change or is moved to a different location or source shall continue to be treated as the same unit. A unit (the replaced unit) that is replaced by another unit (the replacement unit) at the same or a different source shall continue to be treated as the same unit, and the replacement unit shall be treated as a separate unit.
Unit operating day means, with regard to a unit, a calendar day in which the unit combusts any fuel.
Unit operating hour or hour of unit operation means, with regard to a unit, an hour in which the unit combusts any fuel.
Useful power means, with regard to a unit, electricity or mechanical energy that the unit makes available for use, excluding any such energy used in the power production process (which process includes, but is not limited to, any on-site processing or treatment of fuel combusted at the unit and any on-site emission controls).
Useful thermal energy means thermal energy that is:
(1) Made available to an industrial or commercial process (not a power production process), excluding any heat contained in condensate return or makeup water;
(2) Used in a heating application ( e.g., space heating or domestic hot water heating); or
(3) Used in a space cooling application ( i.e., in an absorption chiller).
Utility power distribution system means the portion of an electricity grid owned or operated by a utility and dedicated to delivering electricity to customers.
§ 97.403   Measurements, abbreviations, and acronyms.
Measurements, abbreviations, and acronyms used in this subpart are defined as follows:
§ 97.404   Applicability.
(a) Except as provided in paragraph (b) of this section:
(1) The following units in a State (and Indian country within the borders of such State) shall be CSAPR NO X Annual units, and any source that includes one or more such units shall be a CSAPR NO X Annual source, subject to the requirements of this subpart: Any stationary, fossil-fuel-fired boiler or stationary, fossil-fuel-fired combustion turbine serving at any time, on or after January 1, 2005, a generator with nameplate capacity of more than 25 MWe producing electricity for sale.
(2) If a stationary boiler or stationary combustion turbine that, under paragraph (a)(1) of this section, is not a CSAPR NO X Annual unit begins to combust fossil fuel or to serve a generator with nameplate capacity of more than 25 MWe producing electricity for sale, the unit shall become a CSAPR NO X Annual unit as provided in paragraph (a)(1) of this section on the first date on which it both combusts fossil fuel and serves such generator.
(b) Any unit in a State (and Indian country within the borders of such State) that otherwise is a CSAPR NO X Annual unit under paragraph (a) of this section and that meets the requirements set forth in paragraph (b)(1)(i) or (b)(2)(i) of this section shall not be a CSAPR NO X Annual unit:
(1)(i) Any unit:
(A) Qualifying as a cogeneration unit throughout the later of 2005 or the 12-month period starting on the date the unit first produces electricity and continuing to qualify as a cogeneration unit throughout each calendar year ending after the later of 2005 or such 12-month period; and
(B) Not supplying in 2005 or any calendar year thereafter more than one-third of the unit's potential electrical output capacity or 219,000 MWh, whichever is greater, to any utility power distribution system for sale.
(ii) If, after qualifying under paragraph (b)(1)(i) of this section as not being a CSAPR NO X Annual unit, a unit subsequently no longer meets all the requirements of paragraph (b)(1)(i) of this section, the unit shall become a CSAPR NO X Annual unit starting on the earlier of January 1 after the first calendar year during which the unit first no longer qualifies as a cogeneration unit or January 1 after the first calendar year during which the unit no longer meets the requirements of paragraph (b)(1)(i)(B) of this section. The unit shall thereafter continue to be a CSAPR NO X Annual unit.
(2)(i) Any unit:
(A) Qualifying as a solid waste incineration unit throughout the later of 2005 or the 12-month period starting on the date the unit first produces electricity and continuing to qualify as a solid waste incineration unit throughout each calendar year ending after the later of 2005 or such 12-month period; and
(B) With an average annual fuel consumption of fossil fuel for the first 3 consecutive calendar years of operation starting no earlier than 2005 of less than 20 percent (on a Btu basis) and an average annual fuel consumption of fossil fuel for any 3 consecutive calendar years thereafter of less than 20 percent (on a Btu basis).
(ii) If, after qualifying under paragraph (b)(2)(i) of this section as not being a CSAPR NO X Annual unit, a unit subsequently no longer meets all the requirements of paragraph (b)(2)(i) of this section, the unit shall become a CSAPR NO X Annual unit starting on the earlier of January 1 after the first calendar year during which the unit first no longer qualifies as a solid waste incineration unit or January 1 after the first 3 consecutive calendar years after 2005 for which the unit has an average annual fuel consumption of fossil fuel of 20 percent or more. The unit shall thereafter continue to be a CSAPR NO X Annual unit.
(c) A certifying official of an owner or operator of any unit or other equipment may submit a petition (including any supporting documents) to the Administrator at any time for a determination concerning the applicability, under paragraphs (a) and (b) of this section or a SIP revision approved under § 52.38(a)(4) or (5) of this chapter, of the CSAPR NO X Annual Trading Program to the unit or other equipment.
(1) Petition content. The petition shall be in writing and include the identification of the unit or other equipment and the relevant facts about the unit or other equipment. The petition and any other documents provided to the Administrator in connection with the petition shall include the following certification statement, signed by the certifying official: “I am authorized to make this submission on behalf of the owners and operators of the unit or other equipment for which the submission is made. I certify under penalty of law that I have personally examined, and am familiar with, the statements and information submitted in this document and all its attachments. Based on my inquiry of those individuals with primary responsibility for obtaining the information, I certify that the statements and information are to the best of my knowledge and belief true, accurate, and complete. I am aware that there are significant penalties for submitting false statements and information or omitting required statements and information, including the possibility of fine or imprisonment.”
(2) Response. The Administrator will issue a written response to the petition and may request supplemental information determined by the Administrator to be relevant to such petition. The Administrator's determination concerning the applicability, under paragraphs (a) and (b) of this section, of the CSAPR NO X Annual Trading Program to the unit or other equipment shall be binding on any State or permitting authority unless the Administrator determines that the petition or other documents or information provided in connection with the petition contained significant, relevant errors or omissions.
§ 97.405   Retired unit exemption.
(a)(1) Any CSAPR NO X Annual unit that is permanently retired shall be exempt from § 97.406(b) and (c)(1), § 97.424, and §§ 97.430 through 97.435.
(2) The exemption under paragraph (a)(1) of this section shall become effective the day on which the CSAPR NO X Annual unit is permanently retired. Within 30 days of the unit's permanent retirement, the designated representative shall submit a statement to the Administrator. The statement shall state, in a format prescribed by the Administrator, that the unit was permanently retired on a specified date and will comply with the requirements of paragraph (b) of this section.
(b)(1) A unit exempt under paragraph (a) of this section shall not emit any NO X , starting on the date that the exemption takes effect.
(2) For a period of 5 years from the date the records are created, the owners and operators of a unit exempt under paragraph (a) of this section shall retain, at the source that includes the unit, records demonstrating that the unit is permanently retired. The 5-year period for keeping records may be extended for cause, at any time before the end of the period, in writing by the Administrator. The owners and operators bear the burden of proof that the unit is permanently retired.
(3) The owners and operators and, to the extent applicable, the designated representative of a unit exempt under paragraph (a) of this section shall comply with the requirements of the CSAPR NO X Annual Trading Program concerning all periods for which the exemption is not in effect, even if such requirements arise, or must be complied with, after the exemption takes effect.
(4) A unit exempt under paragraph (a) of this section shall lose its exemption on the first date on which the unit resumes operation. Such unit shall be treated, for purposes of applying allocation, monitoring, reporting, and recordkeeping requirements under this subpart, as a unit that commences commercial operation on the first date on which the unit resumes operation.
§ 97.406   Standard requirements.
(a) Designated representative requirements. The owners and operators shall comply with the requirement to have a designated representative, and may have an alternate designated representative, in accordance with §§ 97.413 through 97.418.
(b) Emissions monitoring, reporting, and recordkeeping requirements. (1) The owners and operators, and the designated representative, of each CSAPR NO X Annual source and each CSAPR NO X Annual unit at the source shall comply with the monitoring, reporting, and recordkeeping requirements of §§ 97.430 through 97.435.
(2) The emissions data determined in accordance with §§ 97.430 through 97.435 shall be used to calculate allocations of CSAPR NO X Annual allowances under §§ 97.411(a)(2) and (b) and 97.412 and to determine compliance with the CSAPR NO X Annual emissions limitation and assurance provisions under paragraph (c) of this section, provided that, for each monitoring location from which mass emissions are reported, the mass emissions amount used in calculating such allocations and determining such compliance shall be the mass emissions amount for the monitoring location determined in accordance with §§ 97.430 through 97.435 and rounded to the nearest ton, with any fraction of a ton less than 0.50 being deemed to be zero.
(c) NO X emissions requirements —(1) CSAPR NO X Annual emissions limitation. (i) As of the allowance transfer deadline for a control period in a given year, the owners and operators of each CSAPR NO X Annual source and each CSAPR NO X Annual unit at the source shall hold, in the source's compliance account, CSAPR NO X Annual allowances available for deduction for such control period under § 97.424(a) in an amount not less than the tons of total NO X emissions for such control period from all CSAPR NO X Annual units at the source.
(ii) If total NO X emissions during a control period in a given year from the CSAPR NO X Annual units at a CSAPR NO X Annual source are in excess of the CSAPR NO X Annual emissions limitation set forth in paragraph (c)(1)(i) of this section, then:
(A) The owners and operators of the source and each CSAPR NO X Annual unit at the source shall hold the CSAPR NO X Annual allowances required for deduction under § 97.424(d); and
(B) The owners and operators of the source and each CSAPR NO X Annual unit at the source shall pay any fine, penalty, or assessment or comply with any other remedy imposed, for the same violations, under the Clean Air Act, and each ton of such excess emissions and each day of such control period shall constitute a separate violation of this subpart and the Clean Air Act.
(2) CSAPR NO X Annual assurance provisions. (i) If total NO X emissions during a control period in a given year from all CSAPR NO X Annual units at CSAPR NO X Annual sources in a State (and Indian country within the borders of such State) exceed the State assurance level, then the owners and operators of such sources and units in each group of one or more sources and units having a common designated representative for such control period, where the common designated representative's share of such NO X emissions during such control period exceeds the common designated representative's assurance level for the State and such control period, shall hold (in the assurance account established for the owners and operators of such group) CSAPR NO X Annual allowances available for deduction for such control period under § 97.425(a) in an amount equal to two times the product (rounded to the nearest whole number), as determined by the Administrator in accordance with § 97.425(b), of multiplying—
(A) The quotient of the amount by which the common designated representative's share of such NO X emissions exceeds the common designated representative's assurance level divided by the sum of the amounts, determined for all common designated representatives for such sources and units in the State (and Indian country within the borders of such State) for such control period, by which each common designated representative's share of such NO X emissions exceeds the respective common designated representative's assurance level; and
(B) The amount by which total NO X emissions from all CSAPR NO X Annual units at CSAPR NO X Annual sources in the State (and Indian country within the borders of such State) for such control period exceed the State assurance level.
(ii) The owners and operators shall hold the CSAPR NO X Annual allowances required under paragraph (c)(2)(i) of this section, as of midnight of November 1 (if it is a business day), or midnight of the first business day thereafter (if November 1 is not a business day), immediately after the year of such control period.
(iii) Total NO X emissions from all CSAPR NO X Annual units at CSAPR NO X Annual sources in a State (and Indian country within the borders of such State) during a control period in a given year exceed the State assurance level if such total NO X emissions exceed the sum, for such control period, of the State NO X Annual trading budget under § 97.410(a) and the State's variability limit under § 97.410(b).
(iv) It shall not be a violation of this subpart or of the Clean Air Act if total NO X emissions from all CSAPR NO X Annual units at CSAPR NO X Annual sources in a State (and Indian country within the borders of such State) during a control period exceed the State assurance level or if a common designated representative's share of total NO X emissions from the CSAPR NO X Annual units at CSAPR NO X Annual sources in a State (and Indian country within the borders of such State) during a control period exceeds the common designated representative's assurance level.
(v) To the extent the owners and operators fail to hold CSAPR NO X Annual allowances for a control period in a given year in accordance with paragraphs (c)(2)(i) through (iii) of this section,
(A) The owners and operators shall pay any fine, penalty, or assessment or comply with any other remedy imposed under the Clean Air Act; and
(B) Each CSAPR NO X Annual allowance that the owners and operators fail to hold for such control period in accordance with paragraphs (c)(2)(i) through (iii) of this section and each day of such control period shall constitute a separate violation of this subpart and the Clean Air Act.
(3) Compliance periods. (i) A CSAPR NO X Annual unit shall be subject to the requirements under paragraph (c)(1) of this section for the control period starting on the later of January 1, 2015 or the deadline for meeting the unit's monitor certification requirements under § 97.430(b) and for each control period thereafter.
(ii) A CSAPR NO X Annual unit shall be subject to the requirements under paragraph (c)(2) of this section for the control period starting on the later of January 1, 2017 or the deadline for meeting the unit's monitor certification requirements under § 97.430(b) and for each control period thereafter.
(4) Vintage of CSAPR NO X Annual allowances held for compliance. (i) A CSAPR NO X Annual allowance held for compliance with the requirements under paragraph (c)(1)(i) of this section for a control period in a given year must be a CSAPR NO X Annual allowance that was allocated or auctioned for such control period or a control period in a prior year.
(ii) A CSAPR NO X Annual allowance held for compliance with the requirements under paragraphs (c)(1)(ii)(A) and (c)(2)(i) through (iii) of this section for a control period in a given year must be a CSAPR NO X Annual allowance that was allocated or auctioned for a control period in a prior year or the control period in the given year or in the immediately following year.
(5) Allowance Management System requirements. Each CSAPR NO X Annual allowance shall be held in, deducted from, or transferred into, out of, or between Allowance Management System accounts in accordance with this subpart.
(6) Limited authorization. A CSAPR NO X Annual allowance is a limited authorization to emit one ton of NO X during the control period in one year. Such authorization is limited in its use and duration as follows:
(i) Such authorization shall only be used in accordance with the CSAPR NO X Annual Trading Program; and
(ii) Notwithstanding any other provision of this subpart, the Administrator has the authority to terminate or limit the use and duration of such authorization to the extent the Administrator determines is necessary or appropriate to implement any provision of the Clean Air Act.
(7) Property right. A CSAPR NO X Annual allowance does not constitute a property right.
(d) Title V permit requirements. (1) No title V permit revision shall be required for any allocation, holding, deduction, or transfer of CSAPR NO X Annual allowances in accordance with this subpart.
(2) A description of whether a unit is required to monitor and report NO X emissions using a continuous emission monitoring system (under subpart H of part 75 of this chapter), an excepted monitoring system (under appendices D and E to part 75 of this chapter), a low mass emissions excepted monitoring methodology (under § 75.19 of this chapter), or an alternative monitoring system (under subpart E of part 75 of this chapter) in accordance with §§ 97.430 through 97.435 may be added to, or changed in, a title V permit using minor permit modification procedures in accordance with §§ 70.7(e)(2) and 71.7(e)(1) of this chapter, provided that the requirements applicable to the described monitoring and reporting (as added or changed, respectively) are already incorporated in such permit. This paragraph explicitly provides that the addition of, or change to, a unit's description as described in the prior sentence is eligible for minor permit modification procedures in accordance with §§ 70.7(e)(2)(i)(B) and 71.7(e)(1)(i)(B) of this chapter.
(e) Additional recordkeeping and reporting requirements. (1) Unless otherwise provided, the owners and operators of each CSAPR NO X Annual source and each CSAPR NO X Annual unit at the source shall keep on site at the source each of the following documents (in hardcopy or electronic format) for a period of 5 years from the date the document is created. This period may be extended for cause, at any time before the end of 5 years, in writing by the Administrator.
(i) The certificate of representation under § 97.416 for the designated representative for the source and each CSAPR NO X Annual unit at the source and all documents that demonstrate the truth of the statements in the certificate of representation; provided that the certificate and documents shall be retained on site at the source beyond such 5-year period until such certificate of representation and documents are superseded because of the submission of a new certificate of representation under § 97.416 changing the designated representative.
(ii) All emissions monitoring information, in accordance with this subpart.
(iii) Copies of all reports, compliance certifications, and other submissions and all records made or required under, or to demonstrate compliance with the requirements of, the CSAPR NO X Annual Trading Program.
(2) The designated representative of a CSAPR NO X Annual source and each CSAPR NO X Annual unit at the source shall make all submissions required under the CSAPR NO X Annual Trading Program, except as provided in § 97.418. This requirement does not change, create an exemption from, or otherwise affect the responsible official submission requirements under a title V operating permit program in parts 70 and 71 of this chapter.
(f) Liability. (1) Any provision of the CSAPR NO X Annual Trading Program that applies to a CSAPR NO X Annual source or the designated representative of a CSAPR NO X Annual source shall also apply to the owners and operators of such source and of the CSAPR NO X Annual units at the source.
(2) Any provision of the CSAPR NO X Annual Trading Program that applies to a CSAPR NO X Annual unit or the designated representative of a CSAPR NO X Annual unit shall also apply to the owners and operators of such unit.
(g) Effect on other authorities. No provision of the CSAPR NO X Annual Trading Program or exemption under § 97.405 shall be construed as exempting or excluding the owners and operators, and the designated representative, of a CSAPR NO X Annual source or CSAPR NO X Annual unit from compliance with any other provision of the applicable, approved State implementation plan, a federally enforceable permit, or the Clean Air Act.
§ 97.407   Computation of time.
(a) Unless otherwise stated, any time period scheduled, under the CSAPR NO X Annual Trading Program, to begin on the occurrence of an act or event shall begin on the day the act or event occurs.
(b) Unless otherwise stated, any time period scheduled, under the CSAPR NO X Annual Trading Program, to begin before the occurrence of an act or event shall be computed so that the period ends the day before the act or event occurs.
(c) Unless otherwise stated, if the final day of any time period, under the CSAPR NO X Annual Trading Program, is not a business day, the time period shall be extended to the next business day.
§ 97.408   Administrative appeal procedures.
The administrative appeal procedures for decisions of the Administrator under the CSAPR NO X Annual Trading Program are set forth in part 78 of this chapter.
§ 97.409   [Reserved]
§ 97.410   State NOXAnnual trading budgets, new unit set-asides, Indian country new unit set-asides, and variability limits.
(a) The State NO X Annual trading budgets, new unit set-asides, and Indian country new unit set-asides for allocations of CSAPR NO X Annual allowances for the control periods in the years indicated are as follows:
(1) Alabama. (i) The NO X Annual trading budget for 2015 and 2016 is 72,691 tons.
(ii) The new unit set-aside for 2015 and 2016 is 1,454 tons.
(iii) [Reserved]
(iv) The NO X Annual trading budget for 2017 and thereafter is 71,962 tons.
(v) The new unit set-aside for 2017 and thereafter is 1,441 tons.
(vi) [Reserved]
(2) Georgia. (i) The NO X Annual trading budget for 2015 and 2016 is 62,010 tons.
(ii) The new unit set-aside for 2015 and 2016 is 1,240 tons.
(iii) [Reserved]
(iv) The NO X Annual trading budget for 2017 and thereafter is 53,738 tons.
(v) The new unit set-aside for 2017 and thereafter is 1,074 tons.
(vi) [Reserved]
(3) Illinois. (i) The NO X Annual trading budget for 2015 and 2016 is 47,872 tons.
(ii) The new unit set-aside for 2015 and 2016 is 3,830 tons.
(iii) [Reserved]
(iv) The NO X Annual trading budget for 2017 and thereafter is 47,872 tons.
(v) The new unit set-aside for 2017 and thereafter is 3,831 tons.
(vi) [Reserved]
(4) Indiana. (i) The NO X Annual trading budget for 2015 and 2016 is 109,726 tons.
(ii) The new unit set-aside for 2015 and 2016 is 3,292 tons.
(iii) [Reserved]
(iv) The NO X Annual trading budget for 2017 and thereafter is 108,424 tons.
(v) The new unit set-aside for 2017 and thereafter is 3,256 tons.
(vi) [Reserved]
(5) Iowa. (i) The NO X Annual trading budget for 2015 and 2016 is 38,335 tons.
(ii) The new unit set-aside for 2015 and 2016 is 729 tons.
(iii) The Indian country new unit set-aside for 2015 and 2016 is 38 tons.
(iv) The NO X Annual trading budget for 2017 and thereafter is 37,498 tons.
(v) The new unit set-aside for 2017 and thereafter is 715 tons.
(vi) The Indian country new unit set-aside for 2017 and thereafter is 38 tons.
(6) Kansas. (i) The NO X Annual trading budget for 2015 and 2016 is 31,354 tons.
(ii) The new unit set-aside for 2015 and 2016 is 596 tons.
(iii) The Indian country new unit set-aside for 2015 and 2016 is 31 tons.
(iv) The NO X Annual trading budget for 2017 and thereafter is 31,354 tons.
(v) The new unit set-aside for 2017 and thereafter is 596 tons.
(vi) The Indian country new unit set-aside for 2017 and thereafter is 31 tons.
(7) Kentucky. (i) The NO X Annual trading budget for 2015 and 2016 is 85,086 tons.
(ii) The new unit set-aside for 2015 and 2016 is 3,403 tons.
(iii) [Reserved]
(iv) The NO X Annual trading budget for 2017 and thereafter is 77,238 tons.
(v) The new unit set-aside for 2017 and thereafter is 3,090 tons.
(vi) [Reserved]
(8) Maryland. (i) The NO X Annual trading budget for 2015 and 2016 is 16,633 tons.
(ii) The new unit set-aside for 2015 and 2016 is 333 tons.
(iii) [Reserved]
(iv) The NO X Annual trading budget for 2017 and thereafter is 16,574 tons.
(v) The new unit set-aside for 2017 and thereafter is 333 tons.
(vi) [Reserved]
(9) Michigan. (i) The NO X Annual trading budget for 2015 and 2016 is 65,421 tons.
(ii) The new unit set-aside for 2015 and 2016 is 1,243 tons.
(iii) The Indian country new unit set-aside for 2015 and 2016 is 65 tons.
(iv) The NO X Annual trading budget for 2017 and thereafter is 63,040 tons.
(v) The new unit set-aside for 2017 and thereafter is 1,201 tons.
(vi) The Indian country new unit set-aside for 2017 and thereafter is 63 tons.
(10) Minnesota. (i) The NO X Annual trading budget for 2015 and 2016 is 29,572 tons.
(ii) The new unit set-aside for 2015 and 2016 is 561 tons.
(iii) The Indian country new unit set-aside for 2015 and 2016 is 30 tons.
(iv) The NO X Annual trading budget for 2017 and thereafter is 29,572 tons.
(v) The new unit set-aside for 2017 and thereafter is 565 tons.
(vi) The Indian country new unit set-aside for 2017 and thereafter is 30 tons.
(11) Missouri. (i) The NO X Annual trading budget for 2015 and 2016 is 52,400 tons.
(ii) The new unit set-aside for 2015 is 1,572 tons and for 2016 is 3,144 tons.
(iii) [Reserved]
(iv) The NO X Annual trading budget for 2017 and thereafter is 48,743 tons.
(v) The new unit set-aside for 2017 and thereafter is 2,929 tons.
(vi) [Reserved]
(12) Nebraska. (i) The NO X Annual trading budget for 2015 and 2016 is 30,039 tons.
(ii) The new unit set-aside for 2015 and 2016 is 1,772 tons.
(iii) The Indian country new unit set-aside for 2015 and 2016 is 30 tons.
(iv) The NO X Annual trading budget for 2017 and thereafter is 30,039 tons.
(v) The new unit set-aside for 2017 and thereafter is 1,771 tons.
(vi) The Indian country new unit set-aside for 2017 and thereafter is 30 tons.
(13) New Jersey. (i) The NO X Annual trading budget for 2015 and 2016 is 8,218 tons.
(ii) The new unit set-aside for 2015 and 2016 is 164 tons.
(iii) [Reserved]
(iv) The NO X Annual trading budget for 2017 and thereafter is 7,945 tons.
(v) The new unit set-aside for 2017 and thereafter is 155 tons.
(vi) [Reserved]
(14) New York. (i) The NO X Annual trading budget for 2015 and 2016 is 21,722 tons.
(ii) The new unit set-aside for 2015 and 2016 is 412 tons.
(iii) The Indian country new unit set-aside for 2015 and 2016 is 22 tons.
(iv) The NO X Annual trading budget for 2017 and thereafter is 21,722 tons.
(v) The new unit set-aside for 2017 and thereafter is 410 tons.
(vi) The Indian country new unit set-aside for 2017 and thereafter is 22 tons.
(15) North Carolina. (i) The NO X Annual trading budget for 2015 and 2016 is 50,587 tons.
(ii) The new unit set-aside for 2015 and 2016 is 2,984 tons.
(iii) The Indian country new unit set-aside for 2015 and 2016 is 51 tons.
(iv) The NO X Annual trading budget for 2017 and thereafter is 41,553 tons.
(v) The new unit set-aside for 2017 and thereafter is 2,451 tons.
(vi) The Indian country new unit set-aside for 2017 and thereafter is 42 tons.
(16) Ohio. (i) The NO X Annual trading budget for 2015 and 2016 is 95,468 tons.
(ii) The new unit set-aside for 2015 and 2016 is 1,909 tons.
(iii) [Reserved]
(iv) The NO X Annual trading budget for 2017 and thereafter is 90,258 tons.
(v) The new unit set-aside for 2017 and thereafter is 1,805 tons.
(vi) [Reserved]
(17) Pennsylvania. (i) The NO X Annual trading budget for 2015 and 2016 is 119,986 tons.
(ii) The new unit set-aside for 2015 and 2016 is 2,400 tons.
(iii) [Reserved]
(iv) The NO X Annual trading budget for 2017 and thereafter is 119,194 tons.
(v) The new unit set-aside for 2017 and thereafter is 2,383 tons.
(vi) [Reserved]
(18) South Carolina. (i) The NO X Annual trading budget for 2015 and 2016 is 32,498 tons.
(ii) The new unit set-aside for 2015 and 2016 is 617 tons.
(iii) The Indian country new unit set-aside for 2015 and 2016 is 33 tons.
(iv) The NO X Annual trading budget for 2017 and thereafter is 32,498 tons.
(v) The new unit set-aside for 2017 and thereafter is 620 tons.
(vi) The Indian country new unit set-aside for 2017 and thereafter is 33 tons.
(19) Tennessee. (i) The NO X Annual trading budget for 2015 and 2016 is 35,703 tons.
(ii) The new unit set-aside for 2015 and 2016 is 714 tons.
(iii) [Reserved]
(iv) The NO X Annual trading budget for 2017 and thereafter is 19,337 tons.
(v) The new unit set-aside for 2017 and thereafter is 381 tons.
(vi) [Reserved]
(20) Texas. (i) The NO X Annual trading budget for 2015 and 2016 is 137,701 tons.
(ii) The new unit set-aside for 2015 and 2016 is 5,370 tons.
(iii) The Indian country new unit set-aside for 2015 and 2016 is 138 tons.
(iv)-(vi) [Reserved]
(21) Virginia. (i) The NO X Annual trading budget for 2015 and 2016 is 33,242 tons.
(ii) The new unit set-aside for 2015 and 2016 is 1,662 tons.
(iii) [Reserved]
(iv) The NO X Annual trading budget for 2017 and thereafter is 33,242 tons.
(v) The new unit set-aside for 2017 and thereafter is 1,663 tons.
(vi) [Reserved]
(22) West Virginia. (i) The NO X Annual trading budget for 2015 and 2016 is 59,472 tons.
(ii) The new unit set-aside for 2015 and 2016 is 2,974 tons.
(iii) [Reserved]
(iv) The NO X Annual trading budget for 2017 and thereafter is 54,582 tons.
(v) The new unit set-aside for 2017 and thereafter is 2,730 tons.
(vi) [Reserved]
(23) Wisconsin. (i) The NO X Annual trading budget for 2015 and 2016 is 34,101 tons.
(ii) The new unit set-aside for 2015 and 2016 is 2,012 tons.
(iii) The Indian country new unit set-aside for 2015 and 2016 is 34 tons.
(iv) The NO X Annual trading budget for 2017 and thereafter is 32,871 tons.
(v) The new unit set-aside for 2017 and thereafter is 1,939 tons.
(vi) The Indian country new unit set-aside for 2017 and thereafter is 33 tons.
(b) The States' variability limits for the State NO X Annual trading budgets for the control periods in 2017 and thereafter are as follows:
(1) The variability limit for Alabama is 12,953 tons.
(2) The variability limit for Georgia is 9,673 tons.
(3) The variability limit for Illinois is 8,617 tons.
(4) The variability limit for Indiana is 19,516 tons.
(5) The variability limit for Iowa is 6,750 tons.
(6) The variability limit for Kansas is 5,644 tons.
(7) The variability limit for Kentucky is 13,903 tons.
(8) The variability limit for Maryland is 2,983 tons.
(9) The variability limit for Michigan is 11,347 tons.
(10) The variability limit for Minnesota is 5,323 tons.
(11) The variability limit for Missouri is 8,774 tons.
(12) The variability limit for Nebraska is 5,407 tons.
(13) The variability limit for New Jersey is 1,430 tons.
(14) The variability limit for New York is 3,910 tons.
(15) The variability limit for North Carolina is 7,480 tons.
(16) The variability limit for Ohio is 16,246 tons.
(17) The variability limit for Pennsylvania is 21,455 tons.
(18) The variability limit for South Carolina is 5,850 tons.
(19) The variability limit for Tennessee is 3,481 tons.
(20) [Reserved]
(21) The variability limit for Virginia is 5,984 tons.
(22) The variability limit for West Virginia is 9,825 tons.
(23) The variability limit for Wisconsin is 5,917 tons.
(c) Each State NO X Annual trading budget in this section includes any tons in a new unit set-aside or Indian country new unit set-aside but does not include any tons in a variability limit.