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
§ 97.1004   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 Ozone Season Group 3 units, and any source that includes one or more such units shall be a CSAPR NO X Ozone Season Group 3 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 Ozone Season Group 3 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 Ozone Season Group 3 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 Ozone Season Group 3 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 Ozone Season Group 3 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 Ozone Season Group 3 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 Ozone Season Group 3 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 Ozone Season Group 3 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 Ozone Season Group 3 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 Ozone Season Group 3 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 Ozone Season Group 3 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(b)(11) or (12) of this chapter, of the CSAPR NO X Ozone Season Group 3 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 Ozone Season Group 3 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.
§ 97.1005   Retired unit exemption.
(a)(1) Any CSAPR NO X Ozone Season Group 3 unit that is permanently retired shall be exempt from § 97.1006(b) and (c)(1), § 97.1024, and §§ 97.1030 through 97.1035.
(2) The exemption under paragraph (a)(1) of this section shall become effective the day on which the CSAPR NO X Ozone Season Group 3 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 Ozone Season Group 3 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.
§ 97.1006   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 §§ 97.1013 through 97.1018.
(b) Emissions monitoring, reporting, and recordkeeping requirements. (1) The owners and operators, and the designated representative, of each CSAPR NO X Ozone Season Group 3 source and each CSAPR NO X Ozone Season Group 3 unit at the source shall comply with the monitoring, reporting, and recordkeeping requirements of §§ 97.1030 through 97.1035.
(2) The emissions and heat input data determined in accordance with §§ 97.1030 through 97.1035 shall be used to calculate allocations of CSAPR NO X Ozone Season Group 3 allowances under §§ 97.1011 and 97.1012 and to determine compliance with the CSAPR NO X Ozone Season Group 3 primary and secondary emissions limitations 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 §§ 97.1030 through 97.1035 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 Ozone Season Group 3 primary and secondary emissions limitations —(i) Primary emissions limitation. As of the allowance transfer deadline for a control period in a given year, the owners and operators of each CSAPR NO X Ozone Season Group 3 source and each CSAPR NO X Ozone Season Group 3 unit at the source shall hold, in the source's compliance account, CSAPR NO X Ozone Season Group 3 allowances available for deduction for such control period under § 97.1024(a) in an amount not less than the amount determined under § 97.1024(b), comprising the sum of—
(A) The tons of total NO X emissions for such control period from all CSAPR NO X Ozone Season Group 3 units at the source; plus
(B) Two times the excess, if any, over 50 tons of the sum, for all CSAPR NO X Ozone Season Group 3 units at the source and all calendar days of the control period, of any NO X emissions from such a unit on any calendar day of the control period exceeding the NO X emissions that would have occurred on that calendar day if the unit had combusted the same daily heat input and emitted at any backstop daily NO X emissions rate applicable to the unit for that control period.
(ii) Exceedances of primary emissions limitation. If total NO X emissions during a control period in a given year from the CSAPR NO X Ozone Season Group 3 units at a CSAPR NO X Ozone Season Group 3 source are in excess of the CSAPR NO X Ozone Season Group 3 primary 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 Ozone Season Group 3 unit at the source shall hold the CSAPR 

NO X Ozone Season Group 3 allowances required for deduction under § 97.1024(d); and
(B) The owners and operators of the source and each CSAPR NO X Ozone Season Group 3 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.
(iii) Secondary emissions limitation. The owner or operator of a CSAPR NO X Ozone Season Group 3 unit subject to an emissions limitation under § 97.1025(c)(1) shall not discharge, or allow to be discharged, emissions of NO X to the atmosphere during a control period in excess of the tonnage amount calculated in accordance with § 97.1025(c)(2).
(iv) Exceedances of secondary emissions limitation. If total NO X emissions during a control period in a given year from a CSAPR NO X Ozone Season Group 3 unit are in excess of the amount of a CSAPR NO X Ozone Season Group 3 secondary emissions limitation applicable to the unit for the control period under paragraph (c)(1)(iii) of this section, then the owners and operators of the unit and the source at which the unit is located 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 Ozone Season Group 3 assurance provisions. (i) If total NO X emissions during a control period in a given year from all CSAPR NO X Ozone Season Group 3 units at CSAPR NO X Ozone Season Group 3 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 Ozone Season Group 3 allowances available for deduction for such control period under § 97.1025(a) in an amount equal to two times the product (rounded to the nearest whole number), as determined by the Administrator in accordance with § 97.1025(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 Ozone Season Group 3 units at CSAPR NO X Ozone Season Group 3 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 Ozone Season Group 3 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 Ozone Season Group 3 units at CSAPR NO X Ozone Season Group 3 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 Ozone Season Group 3 trading budget under § 97.1010(a) and the State's variability limit under § 97.1010(e).
(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 Ozone Season Group 3 units at CSAPR NO X Ozone Season Group 3 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 Ozone Season Group 3 units at CSAPR NO X Ozone Season Group 3 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 Ozone Season Group 3 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 Ozone Season Group 3 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 Ozone Season Group 3 unit shall be subject to the requirements under paragraphs (c)(1)(i) and (ii) and (c)(2) of this section for the control period starting on the later of the applicable date in paragraph (c)(3)(i)(A), (B), or (C) of this section or the deadline for meeting the unit's monitor certification requirements under § 97.1030(b) and for each control period thereafter:
(A) May 1, 2021, for a unit in a State (and Indian country within the borders of such State) listed in § 52.38(b)(2)(iii)(A) of this chapter;
(B) May 1, 2023, for a unit in a State (and Indian country within the borders of such State) listed in § 52.38(b)(2)(iii)(B) of this chapter; or
(C) August 4, 2023, for a unit in a State (and Indian country within the borders of such State) listed in § 52.38(b)(2)(iii)(C) of this chapter.
(ii) A CSAPR NO X Ozone Season Group 3 unit shall be subject to the requirements under paragraphs (c)(1)(iii) and (iv) of this section for the control period starting on the later of May 1, 2024, or the deadline for meeting the unit's monitor certification requirements under § 97.1030(b) and for each control period thereafter.
(4) Vintage of CSAPR NO X Ozone Season Group 3 allowances held for compliance. (i) A CSAPR NO X Ozone Season Group 3 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 Ozone Season Group 3 allowance that was allocated or auctioned for such control period or a control period in a prior year.
(ii) A CSAPR NO X Ozone Season Group 3 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 Ozone Season Group 3 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 Ozone Season Group 3 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 Ozone Season Group 3 allowance is a limited authorization to emit one ton or less 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 Ozone Season Group 3 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 Ozone Season Group 3 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 Ozone Season Group 3 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 §§ 97.1030 through 97.1035 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 Ozone Season Group 3 source and each CSAPR NO X Ozone Season Group 3 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 § 97.1016 for the designated representative for the source and each CSAPR NO X Ozone Season Group 3 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 § 97.1016 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 Ozone Season Group 3 Trading Program.
(2) The designated representative of a CSAPR NO X Ozone Season Group 3 source and each CSAPR NO X Ozone Season Group 3 unit at the source shall make all submissions required under the CSAPR NO X Ozone Season Group 3 Trading Program, except as provided in § 97.1018. 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 Ozone Season Group 3 Trading Program that applies to a CSAPR NO X Ozone Season Group 3 source or the designated representative of a CSAPR NO X Ozone Season Group 3 source shall also apply to the owners and operators of such source and of the CSAPR NO X Ozone Season Group 3 units at the source.
(2) Any provision of the CSAPR NO X Ozone Season Group 3 Trading Program that applies to a CSAPR NO X Ozone Season Group 3 unit or the designated representative of a CSAPR NO X Ozone Season Group 3 unit shall also apply to the owners and operators of such unit.
(g) Effect on other authorities. No provision of the CSAPR NO X Ozone Season Group 3 Trading Program or exemption under § 97.1005 shall be construed as exempting or excluding the owners and operators, and the designated representative, of a CSAPR NO X Ozone Season Group 3 source or CSAPR NO X Ozone Season Group 3 unit from compliance with any other provision of the applicable, approved State implementation plan, a federally enforceable permit, or the Clean Air Act.
§ 97.1007   Computation of time.
(a) Unless otherwise stated, any time period scheduled, under the CSAPR NO X Ozone Season Group 3 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 Ozone Season Group 3 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 Ozone Season Group 3 Trading Program, is not a business day, the time period shall be extended to the next business day.
§ 97.1008   Administrative appeal procedures.
The administrative appeal procedures for decisions of the Administrator under the CSAPR NO X Ozone Season Group 3 Trading Program are set forth in part 78 of this chapter.
§ 97.1009   [Reserved]
§ 97.1010   State NOXOzone Season Group 3 trading budgets, set-asides, and variability limits.
(a) State NO X Ozone Season Group 3 trading budgets. (1)(i) The State NO X Ozone Season Group 3 trading budgets for allocations of CSAPR NO X Ozone Season Group 3 allowances for the control periods in 2021 through 2025 shall be as indicated in table 1 to this paragraph (a)(1)(i), subject to prorating for the control period in 2023 as provided in paragraph (a)(1)(ii) of this section:
Table 1 to Paragraph (a)(1)(i) —State NO X Ozone Season Group 3 Trading Budgets by Control Period, 2021-2025
[Tons]
(ii) For the control period in 2023, the State NO X Ozone Season Group 3 trading budget for each State shall be calculated as the sum, rounded to the nearest allowance, of the following prorated amounts:
(A) The product of the non-prorated trading budget for the portion of the 2023 control period before August 4, 2023, shown for the State in table 1 to paragraph (a)(1)(i) of this section (or zero if table 1 to paragraph (a)(1)(i) shows no amount for such portion of the 2023 control period for the State) multiplied by a fraction whose numerator is the number of days from May 1, 2023, through the day before August 4, 2023, inclusive, and whose denominator is 153; plus
(B) The product of the non-prorated trading budget for the portion of the 2023 control period on and after August 4, 2023, shown for the State in table 1 to paragraph (a)(1)(i) of this section multiplied by a fraction whose numerator is the number of days from August 4, 2023, through September 30, 2023, inclusive, and whose denominator is 153.
(2)(i) The State NO X Ozone Season Group 3 trading budget for each State and each control period in 2026 through 2029 shall be the preset trading budget indicated for the State and control period in table 2 to this paragraph (a)(2)(i), except as provided in paragraph (a)(2)(ii) of this section.
Table 2 to Paragraph (a)(2)(i) —Preset Trading Budgets by Control Period, 2026-2029
[Tons]
(ii) If the preset trading budget indicated for a given State and control period in table 2 to paragraph (a)(2)(i) of this section is less than the dynamic trading budget for the State and control period referenced in the applicable notice promulgated under paragraph (a)(4)(v)(C) of this section, then the State NO X Ozone Season Group 3 trading budget for the State and control period shall be the dynamic trading budget for the State and control period referenced in the applicable notice promulgated under paragraph (a)(4)(v)(C) of this section.
(3) The State NO X Ozone Season Group 3 trading budget for each State and each control period in 2030 and thereafter shall be the dynamic trading budget for the State and control period referenced in the applicable notice promulgated under paragraph (a)(4)(v)(C) of this section.
(4) The Administrator will calculate the dynamic trading budget for each State and each control period in 2026 and thereafter in the year before the year of the control period as follows:
(i) The Administrator will include a unit in a State (and Indian country within the borders of the State) in the calculation of the State's dynamic trading budget for a control period if—
(A) To the best of the Administrator's knowledge, the unit qualifies as a CSAPR NO X Ozone Season Group 3 unit under § 97.1004, without regard to whether the unit has permanently retired, provided that including a unit in the calculation of a dynamic trading budget does not constitute a determination that the unit is a CSAPR NO X Ozone Season Group 3 unit, and not including a unit in the calculation of a dynamic trading budget does not constitute a determination that the unit is not a CSAPR NO X Ozone Season Group 3 unit;
(B) The unit's deadline for certification of monitoring systems under § 97.1030(b) is on or before May 1 of the year two years before the year of the control period for which the dynamic trading budget is being calculated; and
(C) The owner or operator reported heat input greater than zero for the unit in accordance with part 75 of this chapter for the historical control period in the year two years before the year of the control period for which the dynamic trading budget is being calculated.
(ii) For each unit identified for inclusion in the calculation of the State's dynamic trading budget for a control period under paragraph (a)(4)(i) of this section, the Administrator will calculate the heat input amount in mmBtu to be used in the budget calculation as follows:
(A) For each such unit, the Administrator will determine the following unit-level amounts:
( 1 ) The total heat input amounts reported in accordance with part 75 of this chapter for the unit for the historical control periods in the years two, three, four, five, and six years before the year of the control period for which the dynamic trading budget is being calculated, except any historical control period that commenced before the unit's first deadline under any regulatory program to begin recording and reporting heat input in accordance with part 75 of this chapter; and
( 2 ) The average of the three highest unit-level total heat input amounts identified for the unit under paragraph (a)(4)(iv)(A)( 1 ) of this section or, if fewer than three non-zero amounts are identified for the unit, the average of all such non-zero total heat input amounts.
(B) For the State, the Administrator will determine the following state-level amounts:
( 1 ) The sum for all units in the State meeting the criterion under paragraph (a)(4)(i)(A) of this section, without regard to whether such units also meet the criteria under paragraphs (a)(4)(i)(B) and (C) of this section, of the total heat input amounts reported in accordance with part 75 of this chapter for the historical control periods in the years two, three, and four years before the year of the control period for which the dynamic trading budget is being calculated, provided that for the historical control periods in 2022 and 2023, the total reported heat input amounts for Nevada and Utah as otherwise determined under this paragraph (a)(4)(ii)(B)( 1 ) shall be increased by 13,489,332 mmBtu for Nevada and by 1,888,174 mmBtu for Utah;
( 2 ) The average of the three state-level total heat input amounts calculated for the State under paragraph (a)(4)(ii)(B)( 1 ) of this section; and
( 3 ) The sum for all units identified for inclusion in the calculation of the State's dynamic trading budget for the control period under paragraph (a)(4)(i) of this section of the unit-level average heat input amounts calculated under paragraph (a)(4)(ii)(A)( 2 ) of this section.
(C) The heat input amount for a unit used in the calculation of the State's dynamic trading budget shall be the product of the unit-level average total heat input amount calculated for the unit under paragraph (a)(4)(ii)(A)( 2 ) of this section multiplied by a fraction whose numerator is the state-level average total heat input amount calculated under paragraph (a)(4)(ii)(B)( 2 ) of this section and whose denominator is the state-level sum of the unit-level average heat input amounts calculated under paragraph (a)(4)(ii)(B)( 3 ) of this section.
(iii) For each unit identified for inclusion in the calculation of the State's dynamic trading budget for a control period under paragraph (a)(4)(i) of this section, the Administrator will identify the NO X emissions rate in lb/mmBtu to be used in the calculation as follows:
(A) For a unit listed in the document entitled “Unit-Specific Ozone Season NO X Emissions Rates for Dynamic Budget Calculations” posted at www.regulations.gov in docket EPA-HQ-OAR-2021-0668, the NO X emissions rate used in the calculation for the control period shall be the NO X emissions rate shown for the unit and control period in that document.
(B) For a unit not listed in the document referenced in paragraph (a)(4)(iii)(A) of this section, the NO X emissions rate used in the calculation for the control period shall be identified according to the type of unit and the type of fuel combusted by the unit during the control period beginning May 1 on or immediately after the unit's deadline for certification of monitoring systems under § 97.1030(b) as follows:
( 1 ) 0.011 lb/mmBtu, for a simple cycle combustion turbine or a combined cycle combustion turbine other than an integrated coal gasification combined cycle unit;
( 2 ) 0.030 lb/mmBtu, for a boiler combusting only fuel oil or gaseous fuel (other than coal-derived fuel) during such control period; or
( 3 ) 0.050 lb/mmBtu, for a boiler combusting any amount of coal or coal-derived fuel during such control period or any other unit not covered by paragraph (a)(4)(iii)(B)( 1 ) or ( 2 ) of this section.
(iv) The Administrator will calculate the State's dynamic trading budget for the control period as the sum (converted to tons at a conversion factor of 2,000 lb/ton and rounded to the nearest ton), for all units identified for inclusion in the calculation under paragraph (a)(4)(i) of this section, of the product for each such unit of the heat input amount in mmBtu calculated for the unit under paragraph (a)(4)(ii) of this section multiplied by the NO X emissions rate in lb/mmBtu identified for the unit under paragraph (a)(4)(iii) of this section.
(v)(A) By March 1, 2025 and March 1 of each year thereafter, the Administrator will calculate the dynamic trading budget for each State, in accordance with paragraphs (a)(4)(i) through (iv) of this section and §§ 97.1006(b)(2) and 97.1030 through 97.1035, for the control period in the year after the year of the applicable calculation deadline under this paragraph (a)(4)(v)(A) and will promulgate a notice of data availability of the results of the calculations.
(B) For each notice of data availability required in paragraph (a)(4)(v)(A) of this section, the Administrator will provide an opportunity for submission of objections to the calculations referenced in such notice. Objections shall be submitted by the deadline specified in such notice and shall be limited to addressing whether the calculations (including the identification of the units included in the calculations) are in accordance with the provisions referenced in paragraph (a)(4)(v)(A) of this section.
(C) The Administrator will adjust the calculations to the extent necessary to ensure that they are in accordance with the provisions referenced in paragraph (a)(4)(v)(A) of this section. By May 1 immediately after the promulgation of each notice of data availability required in paragraph (a)(4)(v)(A) of this section, the Administrator will promulgate a notice of data availability of the results of the calculations incorporating any adjustments that the Administrator determines to be necessary and the reasons for accepting or rejecting any objections submitted in accordance with paragraph (a)(4)(v)(B) of this section.
(b) Indian country existing unit set-asides for the control periods in 2023 and thereafter. The Indian country existing unit set-aside for allocations of CSAPR NO X Ozone Season Group 3 allowances for each State for each control period in 2023 and thereafter shall be calculated as the sum of all allowance allocations to units in areas of Indian country within the borders of the State not subject to the State's SIP authority as provided in the applicable notice of data availability for the control period referenced in § 97.1011(a)(2).
(c) New unit set-asides. (1) The new unit set-asides for allocations of CSAPR NO X Ozone Season Group 3 allowances for the control periods in 2021 and 2022 for each State with CSAPR NO X Ozone Season Group 3 trading budgets for such control periods shall be as indicated in table 3 to this paragraph (c)(1):
Table 3 to Paragraph (c)(1) —New Unit Set-Asides by Control Period
[2021-2022 (tons)]
(2) The new unit set-aside for allocations of CSAPR NO X Ozone Season Group 3 allowances for each State for each control period in 2023 and thereafter shall be calculated as the product (rounded to the nearest allowance) of the State NO X Ozone Season Group 3 trading budget for the State and control period established in accordance with paragraph (a) of this section multiplied by—
(i) 0.09, for Nevada for the control periods in 2023 through 2025;
(ii) 0.06, for Ohio for the control periods in 2023 through 2025;
(iii) 0.05, for each State other than Nevada and Ohio for the control periods in 2023 through 2025; or
(iv) 0.05, for each State for each control period in 2026 and thereafter.
(d) Indian country new unit set-asides for the control periods in 2021 and 2022. The Indian country new unit set-asides for allocations of CSAPR NO X Ozone Season Group 3 allowances for the control periods in 2021 and 2022 for each State with CSAPR NO X Ozone Season Group 3 trading budgets for such control periods shall be as indicated in table 4 to this paragraph (d):
Table 4 to Paragraph (d) —Indian Country New Unit Set-Asides by Control Period
[2021-2022 (tons)]
(e) Variability limits. (1) The variability limits for the State NO X Ozone Season Group 3 trading budgets for the control periods in 2021 and 2022 for each State with such trading budgets for such control periods shall be as indicated in table 5 to this paragraph (e)(1).
Table 5 to Paragraph (e)(1) —Variability Limits by Control Period
[2021-2022 (tons)]
(2) The variability limit for the State NO X Ozone Season Group 3 trading budget for each State for each control period in 2023 and thereafter shall be calculated as the product (rounded to the nearest ton) of the State NO X Ozone Season Group 3 trading budget for the State and control period established in accordance with paragraph (a) of this section multiplied by the greater of—
(i) 0.21; or
(ii) Any excess over 1.00 of the quotient (rounded to two decimal places) of—
(A) The sum for all CSAPR NO X Ozone Season Group 3 units in the State and Indian country within the borders of the State of the total heat input reported for the control period in mmBtu, provided that, for purposes of this paragraph (e)(2)(ii)(A), the 2023 control period for all States shall be deemed to be the period from May 1, 2023 through September 30, 2023, inclusive; divided by
(B) The state-level total heat input amount used in the calculation of the State NO X Ozone Season Group 3 trading budget for the State and control period in mmBtu, as identified in accordance with paragraph (e)(3) of this section.
(3) For purposes of paragraph (e)(2)(ii)(B) of this section, the state-level total heat input amount used in the calculation of a State NO X Ozone Season Group 3 trading budget for a given control period shall be identified as follows:
(i) For a control period in 2023 through 2025, and for a control period in 2026 through 2029 if the State NO X Ozone Season Group 3 trading budget for the State and control period under paragraph (a)(2) of this section is the preset trading budget set forth for the State and control period in table 2 to paragraph (a)(2)(i) of this section, the state-level total heat input amounts shall be as indicated in table 6 to this paragraph (e)(3)(i).
Table 6 to Paragraph (e)(3)(i) —State-Level Total Heat Input Used in Calculations of Preset Trading Budgets by Control Period
[2023-2029 (mmBtu)]
(ii) For a control period in 2026 through 2029 if the State NO X Ozone Season Group 3 trading budget for the State and control period under paragraph (a)(2) of this section is the dynamic trading budget for the State and control period referenced in the applicable notice promulgated under paragraph (a)(4)(v)(C) of this section, and for a control period in 2030 and thereafter, the state-level total heat input amount shall be the amount for the State and control period calculated under paragraph (a)(4)(ii)(B)( 2 ) of this section.
(f) Relationship of trading budgets, set-asides, and variability limits. Each State NO X Ozone Season Group 3 trading budget in this section includes any tons in an Indian country existing unit set-aside, a new unit set-aside, or an Indian country new unit set-aside but does not include any tons in a variability limit.
§ 97.1011   CSAPR NOXOzone Season Group 3 allowance allocations to existing units.
(a) Allocations to existing units in general. (1) For the control periods in 2021 and each year thereafter, CSAPR NO X Ozone Season Group 3 allowances will be allocated to units in each State and areas of Indian country within the borders of the State subject to the State's SIP authority as provided in notices of data availability issued by the Administrator. Starting with the control period in 2026, the notices of data availability will be the notices issued under paragraph (b)(11)(iii) of this section.
(2) For the control periods in 2023 and each year thereafter, CSAPR NO X Ozone Season Group 3 allowances will be allocated to units in areas of Indian country within the borders of each State not subject to the State's SIP authority as provided in notices of data availability issued by the Administrator. Starting with the control period in 2026, the notices of data availability will be the notices issued under paragraph (b)(11)(iii) of this section.
(3) Providing an allocation to a unit in a notice of data availability does not constitute a determination that the unit is a CSAPR NO X Ozone Season Group 3 unit, and not providing an allocation to a unit in such notice does not constitute a determination that the unit is not a CSAPR NO X Ozone Season Group 3 unit.
(b) Calculation of default allocations to existing units for control periods in 2026 and thereafter. For each control period in 2026 and thereafter, and for the CSAPR NO X Ozone Season Group 3 units in each State and areas of Indian country within the borders of the State, the Administrator will calculate default allocations of CSAPR NO X Ozone Season Group 3 allowances to the CSAPR NO X Ozone Season Group 3 units as follows:
(1) For each State and control period, the total amount of CSAPR NO X Ozone Season Group 3 allowances for which the Administrator will calculate default allocations shall be the remainder of the State NO X Ozone Season Group 3 trading budget for the control period under § 97.1010(a) minus the new unit set-aside for the control period under § 97.1010(c).
(2) The Administrator will calculate a default allocation of CSAPR NO X Ozone Season Group 3 allowances for each CSAPR NO X Ozone Season Group 3 unit in the State and Indian country within the borders of the State meeting the following criteria:
(i) To the best of the Administrator's knowledge, the unit qualifies as a CSAPR NO X Ozone Season Group 3 unit under § 97.1004, without regard to whether the unit has permanently retired;
(ii) The unit's deadline for certification of monitoring systems under § 97.1030(b) is on or before May 1 of the year two years before the year of the control period for which the allowances are being allocated; and
(iii) The owner or operator reported heat input greater than zero for the unit in accordance with part 75 of this chapter for the historical control period in the year two years before the year of the control period for which the allowances are being allocated.
(3) For each CSAPR NO X Ozone Season Group 3 unit for which a default allocation is being calculated for a control period, the Administrator will calculate an average heat input amount to be used in the allocation calculations as follows:
(i) The Administrator will identify the total heat input amounts reported for the unit in accordance with part 75 of this chapter for the historical control periods in the years two, three, four, five, and six years before the year of the control period for which the allowances are being allocated, except any historical control period that commenced before the unit's first deadline under any regulatory program to begin recording and reporting heat input in accordance with part 75 of this chapter.
(ii) The average heat input amount used in the allocation calculations shall be the average of the three highest total heat input amounts identified for the unit under paragraph (b)(3)(i) of this section or, if fewer than three non-zero amounts are identified for the unit, the average of all such non-zero total heat input amounts.
(4) For each CSAPR NO X Ozone Season Group 3 unit for which a default allocation is being calculated for a control period, the Administrator will calculate a tentative maximum allocation amount to be used in the allocation calculations as follows:
(i) The Administrator will identify the total NO X emissions amounts reported for the unit in accordance with part 75 of this chapter for the historical control periods in the years two, three, four, five, and six years before the year of the control period for which the allowances are being allocated.
(ii) The tentative maximum allocation amount used in the allocation calculations shall be the highest of the total NO X emissions amounts identified for the unit under paragraph (b)(4)(i) of this section or, if less, any applicable amount calculated under paragraph (b)(4)(iii) of this section.
(iii)(A) The tentative maximum allocation amount under paragraph (b)(4)(ii) of this section for a unit described in paragraph (b)(4)(iii)(B) or (C) of this section may not exceed a maximum controlled baseline calculated as the product (converted to tons at a conversion factor of 2,000 lb/ton and rounded to the nearest ton) of the highest total heat input amount identified for the unit under paragraph (b)(3)(i) of this section in mmBtu multiplied by a NO X emissions rate of 0.08 lb/mmBtu.
(B) For the control period in 2026, a maximum controlled baseline under paragraph (b)(4)(iii)(A) of this section shall apply to any unit that combusted any coal or solid coal-derived fuel during the historical control period for which the unit's heat input was most recently reported, that serves a generator with nameplate capacity of 100 MW or more, and that is equipped with selective catalytic reduction controls, except a circulating fluidized bed boiler.
(C) For each control period in 2027 and thereafter, a maximum controlled baseline under paragraph (b)(4)(iii)(A) of this section shall apply to any unit that combusted any coal or solid coal-derived fuel during the historical control period for which the unit's heat input was most recently reported and that serves a generator with nameplate capacity of 100 MW or more, except a circulating fluidized bed boiler.
(5) The Administrator will calculate the initial unrounded default allocations for each CSAPR NO X Ozone Season Group 3 unit according to the procedure in paragraph (b)(6) of this section and will recalculate the unrounded default allocations according to the procedures in paragraph (b)(7) or (8) of this section, as applicable, iterating the recalculations as necessary until the total of the unrounded default allocations to all eligible units equals the amount of allowances determined for the State under paragraph (b)(1) of this section.
(6) The Administrator will calculate the initial unrounded default allocations to CSAPR NO X Ozone Season Group 3 units as follows:
(i) The Administrator will calculate the sum, for all units determined under paragraph (b)(2) of this section to be eligible to receive default allocations, of the units' average heat input amounts determined under paragraph (b)(3)(ii) of this section.
(ii) For each unit determined under paragraph (b)(2) of this section to be eligible to receive a default allocation, the Administrator will calculate the unit's unrounded default allocation as the lesser of—
(A) The product of the total amount of allowances determined for the State and control period under paragraph (b)(1) of this section multiplied by a fraction whose numerator is the unit's average heat input amount determined under paragraph (b)(3)(ii) of this section and whose denominator is the sum determined under paragraph (b)(6)(i) of this section; and
(B) The unit's tentative maximum allocation amount determined under paragraph (b)(4)(ii) of this section.
(iii) If the sum of the unrounded default allocations determined under paragraph (b)(6)(ii) of this section is less than the total amount of allowances determined for the State and control period under paragraph (b)(1) of this section, the Administrator will follow the procedures in paragraph (b)(7) or (8) of this section, as applicable.
(iv) If the sum of the unrounded default allocations determined under paragraph (b)(6)(ii) of this section equals the total amount of allowances determined for the State and control period under paragraph (b)(1) of this section, the Administrator will determine the rounded default allocations according to the procedures in paragraphs (b)(9) and (10) of this section.
(7) If the unrounded default allocation determined in the previous round of the calculation procedure for at least one CSAPR NO X Ozone Season Group 3 unit is less than the unit's tentative maximum allocation amount determined under paragraph (b)(4)(ii) of this section, the Administrator will recalculate the unrounded default allocations as follows:
(i) The Administrator will calculate the additional pool of allowances to be allocated as the remainder of the total amount of allowances determined for the State and control period under paragraph (b)(1) of this section minus the sum of the unrounded default allocations from the previous round of the calculation procedure for all units determined under paragraph (b)(2) of this section to be eligible to receive default allocations.
(ii) The Administrator will calculate the sum, for all units whose unrounded default allocations determined in the previous round of the calculation procedure were less than the respective units' tentative maximum allocation amounts determined under paragraph (b)(4)(ii) of this section, of the units' average heat input amounts determined under paragraph (b)(3)(ii) of this section.
(iii) For each unit whose unrounded default allocation determined in the previous round of the calculation procedure was less than the unit's tentative maximum allocation amount determined under paragraph (b)(4)(ii) of this section, the Administrator will recalculate the unit's unrounded default allocation as the lesser of—
(A) The sum of the unit's unrounded default allocation determined in the previous round of the calculation procedure plus the product of the additional pool of allowances determined under paragraph (b)(7)(i) of this section multiplied by a fraction whose numerator is the unit's average heat input amount determined under paragraph (b)(3)(ii) of this section and whose denominator is the sum determined under paragraph (b)(7)(ii) of this section; and
(B) The unit's tentative maximum allocation amount determined under paragraph (b)(4)(ii) of this section.
(iv) Except as provided in paragraph (b)(7)(iii) of this section, a unit's unrounded default allocation shall equal the amount determined in the previous round of the calculation procedure.
(v) If the sum of the unrounded default allocations determined under paragraphs (b)(7)(iii) and (iv) of this section is less than the total amount of allowances determined for the State and control period under paragraph (b)(1) of this section, the Administrator will iterate the procedures in paragraph (b)(7) of this section or follow the procedures in paragraph (b)(8) of this section, as applicable.
(vi) If the sum of the unrounded default allocations determined under paragraphs (b)(7)(iii) and (iv) of this section equals the total amount of allowances determined for the State and control period under paragraph (b)(1) of this section, the Administrator will determine the rounded default allocations according to the procedures in paragraphs (b)(9) and (10) of this section.
(8) If the unrounded default allocation determined in the previous round of the calculation procedure for every CSAPR NO X Ozone Season Group 3 unit equals the unit's tentative maximum allocation amount determined under paragraph (b)(4)(ii) of this section, the Administrator will recalculate the unrounded default allocations as follows:
(i) The Administrator will calculate the additional pool of allowances to be allocated as the remainder of the total amount of allowances determined for the State and control period under paragraph (b)(1) of this section minus the sum of the unrounded default allocations from the previous round of the calculation procedure for all units determined under paragraph (b)(2) of this section to be eligible to receive default allocations.
(ii) The Administrator will recalculate the unrounded default allocation for each eligible unit as the sum of—
(A) The unit's unrounded default allocation as determined in the previous round of the calculation procedure; plus
(B) The product of the additional pool of allowances determined under paragraph (b)(8)(i) of this section multiplied by a fraction whose numerator is the unit's average heat input amount determined under paragraph (b)(3)(ii) of this section and whose denominator is the sum determined under paragraph (b)(6)(i) of this section.
(9) The Administrator will round the default allocation for each eligible unit determined under paragraph (b)(6), (7), or (8) of this section to the nearest allowance and make any adjustments required under paragraph (b)(10) of this section.
(10) If the sum of the default allocations after rounding under paragraph (b)(9) of this section does not equal the total amount of allowances determined for the State and control period under paragraph (b)(1) of this section, the Administrator will adjust the default allocations as follows. The Administrator will list the CSAPR NO X Ozone Season Group 3 units in descending order based on such units' allocation amounts under paragraph (b)(9) of this section and, in cases of equal allocation amounts, in alphabetical order of the relevant sources' names and numerical order of the relevant units' identification numbers, and will adjust each unit's allocation amount upward or downward by one CSAPR NO X Ozone Season Group 3 allowance (but not below zero) in the order in which the units are listed, and will repeat this adjustment process as necessary, until the total of the adjusted default allocations equals the total amount of allowances determined for the State and control period under paragraph (b)(1) of this section.
(11)(i) By March 1, 2025 and March 1 of each year thereafter, the Administrator will calculate the default allocation of CSAPR NO X Ozone Season Group 3 allowances to each CSAPR NO X Ozone Season Group 3 unit in a State and Indian country within the borders of the State, in accordance with paragraphs (b)(1) through (10) of this section and §§ 97.1006(b)(2) and 97.1030 through 97.1035, for the control period in the year after the year of the applicable calculation deadline under this paragraph (b)(11)(i) and will promulgate a notice of data availability of the results of the calculations.
(ii) For each notice of data availability required in paragraph (b)(11)(i) of this section, the Administrator will provide an opportunity for submission of objections to the calculations referenced in such notice. Objections shall be submitted by the deadline specified in such notice and shall be limited to addressing whether the calculations (including the identification of the CSAPR NO X Ozone Season Group 3 units) are in accordance with the provisions referenced in paragraph (b)(11)(i) of this section.
(iii) The Administrator will adjust the calculations to the extent necessary to ensure that they are in accordance with the provisions referenced in paragraph (b)(11)(i) of this section. By May 1 immediately after the promulgation of each notice of data availability required in paragraph (b)(11)(i) of this section, the Administrator will promulgate a notice of data availability of the results of the calculations incorporating any adjustments that the Administrator determines to be necessary and the reasons for accepting or rejecting any objections submitted in accordance with paragraph (b)(11)(ii) of this section.
(c) Incorrect allocations of CSAPR NO X Ozone Season Group 3 allowances to existing units. (1) For each control period in 2021 and thereafter, if the Administrator determines that CSAPR NO X Ozone Season Group 3 allowances were allocated for the control period to a recipient covered by the provisions of paragraph (c)(1)(i), (ii), or (iii) of this section, then the Administrator will notify the designated representative of the recipient and will act in accordance with the procedures set forth in paragraphs (c)(2) through (5) of this section:
(i) The recipient is not actually a CSAPR NO X Ozone Season Group 3 unit under § 97.1004 as of the first day of the control period and is allocated CSAPR NO X Ozone Season Group 3 allowances for such control period under paragraph (a)(1) or (2) of this section;
(ii) The recipient is not actually a CSAPR NO X Ozone Season Group 3 unit under § 97.1004 as of the first day of the control period and is allocated CSAPR NO X Ozone Season Group 3 allowances for such control period under a provision of a SIP revision approved under § 52.38(b)(10), (11), or (12) of this chapter that the SIP revision provides should be allocated only to recipients that are CSAPR NO X Ozone Season Group 3 units as of the first day of such control period; or
(iii) The recipient is not located as of the first day of the control period in the State (and Indian country within the borders of the State) from whose NO X Ozone Season Group 3 trading budget CSAPR NO X Ozone Season Group 3 allowances were allocated to the recipient for such control period under paragraph (a)(1) or (2) of this section or under a provision of a SIP revision approved under § 52.38(b)(10), (11), or (12) of this chapter.
(2) Except as provided in paragraph (c)(3) or (4) of this section, the Administrator will not record such CSAPR NO X Ozone Season Group 3 allowances under § 97.1021.
(3) If the Administrator already recorded such CSAPR NO X Ozone Season Group 3 allowances under § 97.1021 and if the Administrator makes the determination under paragraph (c)(1) of this section before making deductions for the source that includes such recipient under § 97.1024(b) for such control period, then the Administrator will deduct from the account in which such CSAPR NO X Ozone Season Group 3 allowances were recorded an amount of CSAPR NO X Ozone Season Group 3 allowances allocated for the same or a prior control period equal to the amount of such already recorded CSAPR NO X Ozone Season Group 3 allowances. The authorized account representative shall ensure that there are sufficient CSAPR NO X Ozone Season Group 3 allowances in such account for completion of the deduction.
(4) If the Administrator already recorded such CSAPR NO X Ozone Season Group 3 allowances under § 97.1021 and if the Administrator makes the determination under paragraph (c)(1) of this section after making deductions for the source that includes such recipient under § 97.1024(b) for such control period, then the Administrator will not make any deduction to take account of such already recorded CSAPR NO X Ozone Season Group 3 allowances.
(5) With regard to any CSAPR NO X Ozone Season Group 3 allowances that are not recorded, or that are deducted as an incorrect allocation, in accordance with paragraphs (c)(2) and (3) of this section:
(i) If the non-recordation decision under paragraph (c)(2) of this section or the deduction under paragraph (c)(3) of this section occurs on or before May 1, 2024, the Administrator will transfer the CSAPR NO X Ozone Season Group 3 allowances to the new unit set-aside for 2021, 2022, or 2023 for the State from whose NO X Ozone Season Group 3 trading budget the CSAPR NO X Ozone Season Group 3 allowances were allocated.
(ii) If the non-recordation decision under paragraph (c)(2) of this section or the deduction under paragraph (c)(3) of this section occurs after May 1, 2024, and on or before May 1 of the year following the year of the control period for which the CSAPR NO X Ozone Season Group 3 allowances were allocated, the Administrator will transfer the CSAPR NO X Ozone Season Group 3 allowances to the new unit set-aside for such control period for the State from whose NO X Ozone Season Group 3 trading budget the CSAPR NO X Ozone Season Group 3 allowances were allocated.
(iii) If the non-recordation decision under paragraph (c)(2) of this section or the deduction under paragraph (c)(3) of this section occurs after May 1, 2024, and after May 1 of the year following the year of the control period for which the CSAPR NO X Ozone Season Group 3 allowances were allocated, the Administrator will transfer the CSAPR NO X Ozone Season Group 3 allowances to a surrender account.
(d) Recall of CSAPR NO X Ozone Season Group 3 allowances allocated for the control period in 2024 . As soon as practicable on or after November 21, 2024, the Administrator will deduct from every general account and compliance account all CSAPR NO X Ozone Season Group 3 allowances allocated for the control period in 2024 and will record the deductions in each such account.
§ 97.1012   CSAPR NOXOzone Season Group 3 allowance allocations to new units.
(a) Allocations from new unit set-asides. For each control period in 2021 and thereafter for a State listed in § 52.38(b)(2)(iii)(A) of this chapter, or 2023 and thereafter for a State listed in § 52.38(b)(2)(iii)(B) or (C) of this chapter, and for the CSAPR NO X Ozone Season Group 3 units in each State and areas of Indian country within the borders of the State (except, for the control periods in 2021 and 2022, areas of Indian country within the borders of the State not subject to the State's SIP authority), the Administrator will allocate CSAPR NO X Ozone Season Group 3 allowances to the CSAPR NO X Ozone Season Group 3 units as follows:
(1) The CSAPR NO X Ozone Season Group 3 allowances will be allocated to the following CSAPR NO X Ozone Season Group 3 units, except as provided in paragraph (a)(10) of this section:
(i) CSAPR NO X Ozone Season Group 3 units that are not allocated an amount of CSAPR NO X Ozone Season Group 3 allowances for such control period in the applicable notice of data availability referenced in § 97.1011(a)(1) or (2) and that have deadlines for certification of monitoring systems under § 97.1030(b) not later than September 30 of the year of the control period; or
(ii) CSAPR NO X Ozone Season Group 3 units whose allocation of an amount of CSAPR NO X Ozone Season Group 3 allowances for such control period in the applicable notice of data availability referenced in § 97.1011(a)(1) or (2) is covered by § 97.1011(c)(2) or (3).
(2) The Administrator will establish a separate new unit set-aside for the State for each such control period. Each such new unit set-aside will be allocated CSAPR NO X Ozone Season Group 3 allowances in an amount equal to the applicable amount of tons of NO X emissions as set forth in § 97.1010(c) and will be allocated additional CSAPR NO X Ozone Season Group 3 allowances (if any) in accordance with § 97.1011(c)(5) and paragraphs (b)(10) and (c)(5) of this section.
(3) The Administrator will determine, for each CSAPR NO X Ozone Season Group 3 unit described in paragraph (a)(1) of this section, an allocation of CSAPR NO X Ozone Season Group 3 allowances for the latest of the following control periods and for each subsequent control period:
(i) The control period in 2021, for a State listed in § 52.38(b)(2)(iii)(A) of this chapter, or the control period in 2023, for a State listed in § 52.38(b)(2)(iii)(B) or (C) of this chapter;
(ii) The control period containing the deadline for certification of the CSAPR NO X Ozone Season Group 3 unit's monitoring systems under § 97.1030(b); and
(iii) For a unit described in paragraph (a)(1)(ii) of this section, the first control period in which the CSAPR NO X Ozone Season Group 3 unit operates in the State and Indian country within the borders of the State (except, for the control periods in 2021 and 2022, areas of Indian country within the borders of the State not subject to the State's SIP authority) after operating in another jurisdiction and for which the unit is not already allocated one or more CSAPR NO X Ozone Season Group 3 allowances.
(4)(i) The allocation to each CSAPR NO X Ozone Season Group 3 unit described in paragraphs (a)(1)(i) through (iii) of this section and for each control period described in paragraph (a)(3) of this section will be an amount equal to the unit's total tons of NO X emissions during the control period or, if less, any applicable amount calculated under paragraph (a)(4)(ii) of this section.
(ii)(A) The allocation under paragraph (a)(4)(i) of this section to a unit described in paragraph (a)(4)(ii)(B) or (C) of this section may not exceed a maximum controlled baseline calculated as the product (converted to tons at a conversion factor of 2,000 lb/ton and rounded to the nearest ton) of the unit's total heat input during the control period in mmBtu multiplied by a NO X emissions rate of 0.08 lb/mmBtu.
(B) For a control period in 2024 through 2026, a maximum controlled baseline under paragraph (a)(4)(ii)(A) of this section shall apply to any unit combusting any coal or solid coal-derived fuel during the control period, serving a generator with nameplate capacity of 100 MW or more, and equipped with selective catalytic reduction controls on or before September 30 of the preceding control period, except a circulating fluidized bed boiler.
(C) For a control period in 2027 and thereafter, a maximum controlled baseline under paragraph (a)(4)(ii)(A) of this section shall apply to any unit combusting any coal or solid coal-derived fuel during the control period and serving a generator with nameplate capacity of 100 MW or more, except a circulating fluidized bed boiler.
(iii) The Administrator will adjust the allocation amount in paragraph (a)(4)(i) of this section in accordance with paragraphs (a)(5) through (7) and (12) of this section.
(5) The Administrator will calculate the sum of the allocation amounts of CSAPR NO X Ozone Season Group 3 allowances determined for all such CSAPR NO X Ozone Season Group 3 units under paragraph (a)(4)(i) of this section in the State and Indian country within the borders of the State (except, for the control periods in 2021 and 2022, areas of Indian country within the borders of the State not subject to the State's SIP authority) for such control period.
(6) If the amount of CSAPR NO X Ozone Season Group 3 allowances in the new unit set-aside for the State for such control period is greater than or equal to the sum under paragraph (a)(5) of this section, then the Administrator will allocate the amount of CSAPR NO X Ozone Season Group 3 allowances determined for each such CSAPR NO X Ozone Season Group 3 unit under paragraph (a)(4)(i) of this section.
(7) If the amount of CSAPR NO X Ozone Season Group 3 allowances in the new unit set-aside for the State for such control period is less than the sum under paragraph (a)(5) of this section, then the Administrator will allocate to each such CSAPR NO X Ozone Season Group 3 unit the amount of the CSAPR NO X Ozone Season Group 3 allowances determined under paragraph (a)(4)(i) of this section for the unit, multiplied by the amount of CSAPR NO X Ozone Season Group 3 allowances in the new unit set-aside for such control period, divided by the sum under paragraph (a)(5) of this section, and rounded to the nearest allowance.
(8)-(9) [Reserved]
(10)(i) For a control period in 2021 or 2022, if, after completion of the procedures under paragraphs (a)(2) through (7) and (12) of this section for a control period, any unallocated CSAPR NO X Ozone Season Group 3 allowances remain in the new unit set-aside for the State for such control period, the Administrator will allocate to each CSAPR NO X Ozone Season Group 3 unit that is in the State and areas of Indian country within the borders of the State subject to the State's SIP authority and is allocated an amount of CSAPR NO X Ozone Season Group 3 allowances for the control period in the applicable notice of data availability referenced in § 97.1011(a)(1) an amount of CSAPR NO X Ozone Season Group 3 allowances equal to the following: The total amount of such remaining unallocated CSAPR NO X Ozone Season Group 3 allowances in such new unit set-aside, multiplied by the unit's allocation under § 97.1011(a)(1) for such control period, divided by the remainder of the amount of tons in the applicable State NO X Ozone Season Group 3 trading budget minus the sum of the amounts of tons in such new unit set-aside and the Indian country new unit set-aside for the State for such control period, and rounded to the nearest allowance.
(ii) For a control period in 2023 or thereafter, if, after completion of the procedures under paragraphs (a)(2) through (7) and (12) of this section for a control period, any unallocated CSAPR NO X Ozone Season Group 3 allowances remain in the new unit set-aside for the State for such control period, the Administrator will allocate to each CSAPR NO X Ozone Season Group 3 unit that is in the State and Indian country within the borders of the State and is allocated an amount of CSAPR NO X Ozone Season Group 3 allowances for the control period by the Administrator in the applicable notice of data availability referenced in § 97.1011(a)(1) or (2), or under a provision of a SIP revision approved under § 52.38(b)(10), (11), or (12) of this chapter, an amount of CSAPR NO X Ozone Season Group 3 allowances equal to the following: The total amount of such remaining unallocated CSAPR NO X Ozone Season Group 3 allowances in such new unit set-aside, multiplied by the unit's allocation under § 97.1011(a)(1) or (2) or a provision of a SIP revision approved under § 52.38(b)(10), (11), or (12) of this chapter for such control period, divided by the remainder of the amount of tons in the applicable State NO X Ozone Season Group 3 trading budget minus the amount of tons in such new unit set-aside for the State for such control period, and rounded to the nearest allowance.
(11) The Administrator will notify the public, through the promulgation of the notices of data availability described in paragraph (a)(13) of this section, of the amount of CSAPR NO X Ozone Season Group 3 allowances allocated under paragraphs (a)(2) through (7), (10), and (12) of this section for such control period to each CSAPR NO X Ozone Season Group 3 unit eligible for such allocation.
(12) Notwithstanding the requirements of paragraphs (a)(2) through (11) of this section, if the calculations of allocations from a new unit set-aside for a control period in a given year under paragraph (a)(7) of this section or paragraphs (a)(6) and (10) of this section would otherwise result in total allocations from such new unit set-aside unequal to the total amount of such new unit set-aside, then the Administrator will adjust the results of such calculations as follows. The Administrator will list the CSAPR NO X Ozone Season Group 3 units in descending order based on such units' allocation amounts under paragraph (a)(7) or (10) of this section, as applicable, and, in cases of equal allocation amounts, in alphabetical order of the relevant sources' names and numerical order of the relevant units' identification numbers, and will adjust each unit's allocation amount under such paragraph upward or downward by one CSAPR NO X Ozone Season Group 3 allowance (but not below zero) in the order in which the units are listed, and will repeat this adjustment process as necessary, until the total allocations from such new unit set-aside equal the total amount of such new unit set-aside.
(13)(i) By March 1, 2022, and March 1 of each year thereafter, the Administrator will calculate the CSAPR NO X Ozone Season Group 3 allowance allocation to each CSAPR NO X Ozone Season Group 3 unit in a State and Indian country within the borders of the State (except, for the control periods in 2021 and 2022, areas of Indian country within the State not subject to the State's SIP authority), in accordance with paragraphs (a)(2) through (7), (10), and (12) of this section and §§ 97.1006(b)(2) and 97.1030 through 97.1035, for the control period in the year before the year of the applicable calculation deadline under this paragraph (a)(13)(i) and will promulgate a notice of data availability of the results of the calculations.
(ii) For each notice of data availability required in paragraph (a)(13)(i) of this section, the Administrator will provide an opportunity for submission of objections to the calculations referenced in such notice. Objections shall be submitted by the deadline specified in such notice and shall be limited to addressing whether the calculations (including the identification of the CSAPR NO X Ozone Season Group 3 units) are in accordance with the provisions referenced in paragraph (a)(13)(i) of this section.
(iii) The Administrator will adjust the calculations to the extent necessary to ensure that they are in accordance with the provisions referenced in paragraph (a)(13)(i) of this section. By May 1 immediately after the promulgation of each notice of data availability required in paragraph (a)(13)(i) of this section, the Administrator will promulgate a notice of data availability of the results of the calculations incorporating any adjustments that the Administrator determines to be necessary and the reasons for accepting or rejecting any objections submitted in accordance with paragraph (a)(13)(ii) of this section.
(b) Allocations from Indian country new unit set-asides. For the control periods in 2021 and 2022, for a State listed in § 52.38(b)(2)(iii)(A) of this chapter, and for the CSAPR NO X Ozone Season Group 3 units in areas of Indian country within the borders of each such State not subject to the State's SIP authority, the Administrator will allocate CSAPR NO X Ozone Season Group 3 allowances to the CSAPR NO X Ozone Season Group 3 units as follows:
(1) The CSAPR NO X Ozone Season Group 3 allowances will be allocated to CSAPR NO X Ozone Season Group 3 units that are not allocated an amount of CSAPR NO X Ozone Season Group 3 allowances for such control period in the applicable notice of data availability referenced in § 97.1011(a)(1) and that have deadlines for certification of monitoring systems under § 97.1030(b) not later than September 30 of the year of the control period, except as provided in paragraph (b)(10) of this section.
(2) The Administrator will establish a separate Indian country new unit set-aside for the State for each such control period. Each such Indian country new unit set-aside will be allocated CSAPR NO X Ozone Season Group 3 allowances in an amount equal to the applicable amount of tons of NO X emissions as set forth in § 97.1010(d) and will be allocated additional CSAPR NO X Ozone Season Group 3 allowances (if any) in accordance with paragraph (c)(5) of this section.
(3) The Administrator will determine, for each CSAPR NO X Ozone Season Group 3 unit described in paragraph (b)(1) of this section, an allocation of CSAPR NO X Ozone Season Group 3 allowances for the later of the following control periods and for each subsequent control period:
(i) The control period in 2021; and
(ii) The control period containing the deadline for certification of the CSAPR NO X Ozone Season Group 3 unit's monitoring systems under § 97.1030(b).
(4)(i) The allocation to each CSAPR NO X Ozone Season Group 3 unit described in paragraph (b)(1)(i) of this section and for each control period described in paragraph (b)(3) of this section will be an amount equal to the unit's total tons of NO X emissions during the control period.
(ii) The Administrator will adjust the allocation amount in paragraph (b)(4)(i) of this section in accordance with paragraphs (b)(5) through (7) and (12) of this section.
(5) The Administrator will calculate the sum of the allocation amounts of CSAPR NO X Ozone Season Group 3 allowances determined for all such CSAPR NO X Ozone Season Group 3 units under paragraph (b)(4)(i) of this section in areas of Indian country within the borders of the State not subject to the State's SIP authority for such control period.
(6) If the amount of CSAPR NO X Ozone Season Group 3 allowances in the Indian country new unit set-aside for the State for such control period is greater than or equal to the sum under paragraph (b)(5) of this section, then the Administrator will allocate the amount of CSAPR NO X Ozone Season Group 3 allowances determined for each such CSAPR NO X Ozone Season Group 3 unit under paragraph (b)(4)(i) of this section.
(7) If the amount of CSAPR NO X Ozone Season Group 3 allowances in the Indian country new unit set-aside for the State for such control period is less than the sum under paragraph (b)(5) of this section, then the Administrator will allocate to each such CSAPR NO X Ozone Season Group 3 unit the amount of the CSAPR NO X Ozone Season Group 3 allowances determined under paragraph (b)(4)(i) of this section for the unit, multiplied by the amount of CSAPR NO X Ozone Season Group 3 allowances in the Indian country new unit set-aside for such control period, divided by the sum under paragraph (b)(5) of this section, and rounded to the nearest allowance.
(8) [Reserved]
(9) [Reserved]
(10) If, after completion of the procedures under paragraphs (b)(2) through (7) and (12) of this section for a control period, any unallocated CSAPR NO X Ozone Season Group 3 allowances remain in the Indian country new unit set-aside for the State for such control period, the Administrator will transfer such unallocated CSAPR NO X Ozone Season Group 3 allowances to the new unit set-aside for the State for such control period.
(11) The Administrator will notify the public, through the promulgation of the notices of data availability described in paragraph (b)(13) of this section, of the amount of CSAPR NO X Ozone Season Group 3 allowances allocated under paragraphs (b)(2) through (7), (10), and (12) of this section for such control period to each CSAPR NO X Ozone Season Group 3 unit eligible for such allocation.
(12) Notwithstanding the requirements of paragraphs (b)(2) through (11) of this section, if the calculations of allocations from an Indian country new unit set-aside for a control period in a given year under paragraph (b)(7) of this section would otherwise result in total allocations from such Indian country new unit set-aside unequal to the total amount of such Indian country new unit set-aside, then the Administrator will adjust the results of such calculations as follows. The Administrator will list the CSAPR NO X Ozone Season Group 3 units in descending order based on such units' allocation amounts under paragraph (b)(7) of this section and, in cases of equal allocation amounts, in alphabetical order of the relevant sources' names and numerical order of the relevant units' identification numbers, and will adjust each unit's allocation amount under such paragraph upward or downward by one CSAPR NO X Ozone Season Group 3 allowance (but not below zero) in the order in which the units are listed, and will repeat this adjustment process as necessary, until the total allocations from such Indian country new unit set-aside equal the total amount of such Indian country new unit set-aside.
(13)(i) By March 1, 2022, and March 1, 2023, the Administrator will calculate the CSAPR NO X Ozone Season Group 3 allowance allocation to each CSAPR NO X Ozone Season Group 3 unit in areas of Indian country within the borders of a State not subject to the State's SIP authority, in accordance with paragraphs (b)(2) through (7), (10), and (12) of this section and §§ 97.1006(b)(2) and 97.1030 through 97.1035, for the control period in the year before the year of the applicable calculation deadline under this paragraph (b)(13)(i) and will promulgate a notice of data availability of the results of the calculations.
(ii) For each notice of data availability required in paragraph (b)(13)(i) of this section, the Administrator will provide an opportunity for submission of objections to the calculations referenced in such notice. Objections shall be submitted by the deadline specified in such notice and shall be limited to addressing whether the calculations (including the identification of the CSAPR NO X Ozone Season Group 3 units) are in accordance with the provisions referenced in paragraph (b)(13)(i) of this section.
(iii) The Administrator will adjust the calculations to the extent necessary to ensure that they are in accordance with the provisions referenced in paragraph (b)(13)(i) of this section. By May 1 immediately after the promulgation of each notice of data availability required in paragraph (b)(13)(i) of this section, the Administrator will promulgate a notice of data availability of the results of the calculations incorporating any adjustments that the Administrator determines to be necessary and the reasons for accepting or rejecting any objections submitted in accordance with paragraph (b)(13)(ii) of this section.
(c) Incorrect allocations of CSAPR NO X Ozone Season Group 3 allowances to new units. (1) For each control period in 2021 and thereafter, if the Administrator determines that CSAPR NO X Ozone Season Group 3 allowances were allocated for the control period under paragraphs (a)(2) through (7) and (12) of this section or paragraphs (b)(2) through (7) and (12) of this section to a recipient that is not actually a CSAPR NO X Ozone Season Group 3 unit under § 97.1004 as of the first day of such control period, then the Administrator will notify the designated representative of the recipient and will act in accordance with the procedures set forth in paragraphs (c)(2) through (5) of this section.
(2) Except as provided in paragraph (c)(3) or (4) of this section, the Administrator will not record such CSAPR NO X Ozone Season Group 3 allowances under § 97.1021.
(3) If the Administrator already recorded such CSAPR NO X Ozone Season Group 3 allowances under § 97.1021 and if the Administrator makes the determination under paragraph (c)(1) of this section before making deductions for the source that includes such recipient under § 97.1024(b) for such control period, then the Administrator will deduct from the account in which such CSAPR NO X Ozone Season Group 3 allowances were recorded an amount of CSAPR NO X Ozone Season Group 3 allowances allocated for the same or a prior control period equal to the amount of such already recorded CSAPR NO X Ozone Season Group 3 allowances. The authorized account representative shall ensure that there are sufficient CSAPR NO X Ozone Season Group 3 allowances in such account for completion of the deduction.
(4) If the Administrator already recorded such CSAPR NO X Ozone Season Group 3 allowances under § 97.1021 and if the Administrator makes the determination under paragraph (c)(1) of this section after making deductions for the source that includes such recipient under § 97.1024(b) for such control period, then the Administrator will not make any deduction to take account of such already recorded CSAPR NO X Ozone Season Group 3 allowances.
(5) With regard to any CSAPR NO X Ozone Season Group 3 allowances that are not recorded, or that are deducted as an incorrect allocation, in accordance with paragraphs (c)(2) and (3) of this section:
(i) If the non-recordation decision under paragraph (c)(2) of this section or the deduction under paragraph (c)(3) of this section occurs on or before May 1, 2023, the Administrator will transfer the CSAPR NO X Ozone Season Group 3 allowances to the new unit set-aside, in the case of allowances allocated under paragraph (a) of this section, or the Indian country new unit set-aside, in the case of allowances allocated under paragraph (b) of this section, for the control period in 2021 or 2022 for the State from whose NO X Ozone Season Group 3 trading budget the CSAPR NO X Ozone Season Group 3 allowances were allocated.
(ii) If the non-recordation decision under paragraph (c)(2) of this section or the deduction under paragraph (c)(3) of this section occurs after May 1, 2023, and on or before May 1, 2024, the Administrator will transfer the CSAPR NO X Ozone Season Group 3 allowances to the new unit set-aside for the control period in 2023 for the State from whose NO X Ozone Season Group 3 trading budget the CSAPR NO X Ozone Season Group 3 allowances were allocated.
(iii) If the non-recordation decision under paragraph (c)(2) of this section or the deduction under paragraph (c)(3) of this section occurs after May 1, 2024, the Administrator will transfer the CSAPR NO X Ozone Season Group 3 allowances to a surrender account.
§ 97.1013   Authorization of designated representative and alternate designated representative.
(a) Except as provided under § 97.1015, each CSAPR NO X Ozone Season Group 3 source, including all CSAPR NO X Ozone Season Group 3 units at the source, shall have one and only one designated representative, with regard to all matters under the CSAPR NO X Ozone Season Group 3 Trading Program.
(1) The designated representative shall be selected by an agreement binding on the owners and operators of the source and all CSAPR NO X Ozone Season Group 3 units at the source and shall act in accordance with the certification statement in § 97.1016(a)(4)(iii).
(2) Upon and after receipt by the Administrator of a complete certificate of representation under § 97.1016:
(i) The designated representative shall be authorized and shall represent and, by his or her representations, actions, inactions, or submissions, legally bind each owner and operator of the source and each CSAPR NO X Ozone Season Group 3 unit at the source in all matters pertaining to the CSAPR NO X Ozone Season Group 3 Trading Program, notwithstanding any agreement between the designated representative and such owners and operators; and
(ii) The owners and operators of the source and each CSAPR NO X Ozone Season Group 3 unit at the source shall be bound by any decision or order issued to the designated representative by the Administrator regarding the source or any such unit.
(b) Except as provided under § 97.1015, each CSAPR NO X Ozone Season Group 3 source may have one and only one alternate designated representative, who may act on behalf of the designated representative. The agreement by which the alternate designated representative is selected shall include a procedure for authorizing the alternate designated representative to act in lieu of the designated representative.
(1) The alternate designated representative shall be selected by an agreement binding on the owners and operators of the source and all CSAPR NO X Ozone Season Group 3 units at the source and shall act in accordance with the certification statement in § 97.1016(a)(4)(iii).
(2) Upon and after receipt by the Administrator of a complete certificate of representation under § 97.1016:
(i) The alternate designated representative shall be authorized;
(ii) Any representation, action, inaction, or submission by the alternate designated representative shall be deemed to be a representation, action, inaction, or submission by the designated representative; and
(iii) The owners and operators of the source and each CSAPR NO X Ozone Season Group 3 unit at the source shall be bound by any decision or order issued to the alternate designated representative by the Administrator regarding the source or any such unit.
(c) Except in this section, § 97.1002, and §§ 97.1014 through 97.1018, whenever the term “designated representative” (as distinguished from the term “common designated representative”) is used in this subpart, the term shall be construed to include the designated representative or any alternate designated representative.
§ 97.1014   Responsibilities of designated representative and alternate designated representative.
(a) Except as provided under § 97.1018 concerning delegation of authority to make submissions, each submission under the CSAPR NO X Ozone Season Group 3 Trading Program shall be made, signed, and certified by the designated representative or alternate designated representative for each CSAPR NO X Ozone Season Group 3 source and CSAPR NO X Ozone Season Group 3 unit for which the submission is made. Each such submission shall include the following certification statement by the designated representative or alternate 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.”
(b) The Administrator will accept or act on a submission made for a CSAPR NO X Ozone Season Group 3 source or a CSAPR NO X Ozone Season Group 3 unit only if the submission has been made, signed, and certified in accordance with paragraph (a) of this section and § 97.1018.
§ 97.1015   Changing designated representative and alternate designated representative; changes in owners and operators; changes in units at the source.
(a) Changing designated representative. The designated representative may be changed at any time upon receipt by the Administrator of a superseding complete certificate of representation under § 97.1016. Notwithstanding any such change, all representations, actions, inactions, and submissions by the previous designated representative before the time and date when the Administrator receives the superseding certificate of representation shall be binding on the new designated representative and the owners and operators of the CSAPR NO X Ozone Season Group 3 source and the CSAPR NO X Ozone Season Group 3 units at the source.
(b) Changing alternate designated representative. The alternate designated representative may be changed at any time upon receipt by the Administrator of a superseding complete certificate of representation under § 97.1016. Notwithstanding any such change, all representations, actions, inactions, and submissions by the previous alternate designated representative before the time and date when the Administrator receives the superseding certificate of representation shall be binding on the new alternate designated representative, the designated representative, and the owners and operators of the CSAPR NO X Ozone Season Group 3 source and the CSAPR NO X Ozone Season Group 3 units at the source.
(c) Changes in owners and operators. (1) In the event an owner or operator of a CSAPR NO X Ozone Season Group 3 source or a CSAPR NO X Ozone Season Group 3 unit at the source is not included in the list of owners and operators in the certificate of representation under § 97.1016, 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 designated representative and any alternate designated representative of the source or unit, and the decisions and orders of the Administrator, as if the owner or operator were included in such list.
(2) Within 30 days after any change in the owners and operators of a CSAPR NO X Ozone Season Group 3 source or a CSAPR NO X Ozone Season Group 3 unit at the source, including the addition or removal of an owner or operator, the designated representative or any alternate designated representative shall submit a revision to the certificate of representation under § 97.1016 amending the list of owners and operators to reflect the change.
(d) Changes in units at the source. Within 30 days of any change in which units are located at a CSAPR NO X Ozone Season Group 3 source (including the addition or removal of a unit), the designated representative or any alternate designated representative shall submit a certificate of representation under § 97.1016 amending the list of units to reflect the change.
(1) If the change is the addition of a unit that operated (other than for purposes of testing by the manufacturer before initial installation) before being located at the source, then the certificate of representation shall identify, in a format prescribed by the Administrator, the entity from whom the unit was purchased or otherwise obtained (including name, address, telephone number, and facsimile number (if any)), the date on which the unit was purchased or otherwise obtained, and the date on which the unit became located at the source.
(2) If the change is the removal of a unit, then the certificate of representation shall identify, in a format prescribed by the Administrator, the entity to which the unit was sold or that otherwise obtained the unit (including name, address, telephone number, and facsimile number (if any)), the date on which the unit was sold or otherwise obtained, and the date on which the unit became no longer located at the source.
§ 97.1016   Certificate of representation.
(a) A complete certificate of representation for a designated representative or an alternate designated representative shall include the following elements in a format prescribed by the Administrator:
(1) Identification of the CSAPR NO X Ozone Season Group 3 source, and each CSAPR NO X Ozone Season Group 3 unit at the source, for which the certificate of representation is submitted, including source name, source category and NAICS code (or, in the absence of a NAICS code, an equivalent code), State, plant code, county, latitude and longitude, unit identification number and type, identification number and nameplate capacity (in MWe, rounded to the nearest tenth) of each generator served by each such unit, actual or projected date of commencement of commercial operation, and a statement of whether such source is located in Indian country. If a projected date of commencement of commercial operation is provided, the actual date of commencement of commercial operation shall be provided when such information becomes available;
(2) The name, address, email address (if any), telephone number, and facsimile transmission number (if any) of the designated representative and any alternate designated representative;
(3) A list of the owners and operators of the CSAPR NO X Ozone Season Group 3 source and of each CSAPR NO X Ozone Season Group 3 unit at the source;
(4) The following certification statements by the designated representative and any alternate designated representative—
(i) “I certify that I was selected as the designated representative or alternate designated representative, as applicable, by an agreement binding on the owners and operators of the source and each CSAPR NO X Ozone Season Group 3 unit at the source.”;
(ii) “I certify that I have all the necessary authority to carry out my duties and responsibilities under the CSAPR NO X Ozone Season Group 3 Trading Program on behalf of the owners and operators of the source and of each CSAPR NO X Ozone Season Group 3 unit at the source and that each such owner and operator shall be fully bound by my representations, actions, inactions, or submissions and by any decision or order issued to me by the Administrator regarding the source or unit.”; and
(iii) “Where there are multiple holders of a legal or equitable title to, or a leasehold interest in, a CSAPR NO X Ozone Season Group 3 unit, or where a utility or industrial customer purchases power from a CSAPR NO X Ozone Season Group 3 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 `designated representative' or `alternate designated representative', as applicable, and of the agreement by which I was selected to each owner and operator of the source and of each CSAPR NO X Ozone Season Group 3 unit at the source; and CSAPR NO X Ozone Season Group 3 allowances and proceeds of transactions involving CSAPR NO X Ozone Season Group 3 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 CSAPR NO X Ozone Season Group 3 allowances by contract, CSAPR NO X Ozone Season Group 3 allowances and proceeds of transactions involving CSAPR NO X Ozone Season Group 3 allowances will be deemed to be held or distributed in accordance with the contract.”; and
(5) The signature of the designated representative and any alternate designated representative and the dates signed.
(b) Unless otherwise required by the Administrator, documents of agreement referred to in the certificate of representation shall not be submitted to the Administrator. The Administrator shall not be under any obligation to review or evaluate the sufficiency of such documents, if submitted.
(c) A certificate of representation under this section, § 97.516, or § 97.816 that complies with the provisions of paragraph (a) of this section except that it contains the phrase “TR NO X Ozone Season” or the phrase “CSAPR NO X Ozone Season Group 2” in place of the phrase “CSAPR NO X Ozone Season Group 3” in the required certification statements will be considered a complete certificate of representation under this section, and the certification statements included in such certificate of representation will be interpreted for purposes of this subpart as if the phrase “CSAPR NO X Ozone Season Group 3” appeared in place of the phrase “TR NO X Ozone Season” or the phrase “CSAPR NO X Ozone Season Group 2”.
§ 97.1017   Objections concerning designated representative and alternate designated representative.
(a) Once a complete certificate of representation under § 97.1016 has been submitted and received, the Administrator will rely on the certificate of representation unless and until a superseding complete certificate of representation under § 97.1016 is received by the Administrator.
(b) Except as provided in paragraph (a) of this section, no objection or other communication submitted to the Administrator concerning the authorization, or any representation, action, inaction, or submission, of a designated representative or alternate designated representative shall affect any representation, action, inaction, or submission of the designated representative or alternate designated representative or the finality of any decision or order by the Administrator under the CSAPR NO X Ozone Season Group 3 Trading Program.
(c) The Administrator will not adjudicate any private legal dispute concerning the authorization or any representation, action, inaction, or submission of any designated representative or alternate designated representative, including private legal disputes concerning the proceeds of CSAPR NO X Ozone Season Group 3 allowance transfers.
§ 97.1018   Delegation by designated representative and alternate designated representative.
(a) A 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 subpart.
(b) An alternate 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 subpart.
(c) In order to delegate authority to a natural person to make an electronic submission to the Administrator in accordance with paragraph (a) or (b) of this section, the designated representative or alternate 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, email address, telephone number, and facsimile transmission number (if any) of such designated representative or alternate designated representative;
(2) The name, address, email address, telephone number, and facsimile transmission number (if any) of each such natural person (referred to in this section 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 designated representative or alternate designated representative:
(i) “I agree that any electronic submission to the Administrator that is made 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 designated representative or alternate designated representative, as appropriate, and before this notice of delegation is superseded by another notice of delegation under 40 CFR 97.1018(d) shall be deemed to be an electronic submission by me.”; and
(ii) “Until this notice of delegation is superseded by another notice of delegation under 40 CFR 97.1018(d), I agree to maintain an email account and to notify the Administrator immediately of any change in my email address unless all delegation of authority by me under 40 CFR 97.1018 is terminated.”
(d) A notice of delegation submitted under paragraph (c) of this section shall be effective, with regard to the designated representative or alternate 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 designated representative or alternate 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 designated representative or alternate designated representative submitting such notice of delegation.
(f) A notice of delegation submitted under paragraph (c) of this section, § 97.518(c), or § 97.818(c) that complies with the provisions of paragraph (c) of this section except that it contains the terms “40 CFR 97.518(d)” and “40 CFR 97.518” or the terms “40 CFR 97.818(d)” and “40 CFR 97.818” in place of the terms “40 CFR 97.1018(d)” and “40 CFR 97.1018”, respectively, in the required certification statements will be considered a valid notice of delegation submitted under paragraph (c) of this section, and the certification statements included in such notice of delegation will be interpreted for purposes of this subpart as if the terms “40 CFR 97.1018(d)” and “40 CFR 97.1018” appeared in place of the terms “40 CFR 97.518(d)” and “40 CFR 97.518” or the terms “40 CFR 97.818(d)” and “40 CFR 97.818”, respectively.
§ 97.1019   [Reserved]
§ 97.1020   Establishment of compliance accounts, assurance accounts, and general accounts.
(a) Compliance accounts. Upon receipt of a complete certificate of representation under § 97.1016, the Administrator will establish a compliance account for the CSAPR NO X Ozone Season Group 3 source for which the certificate of representation was submitted, unless the source already has a compliance account. The designated representative and any alternate designated representative of the source shall be the authorized account representative and the alternate authorized account representative respectively of the compliance account.
(b) Assurance accounts. The Administrator will establish assurance accounts for certain owners and operators and States in accordance with § 97.1025(b)(3).
(c) General accounts —(1) Application for general account. (i) Any person may apply to open a general account, for the purpose of holding and transferring CSAPR NO X Ozone Season Group 3 allowances, by submitting to the Administrator a complete application for a general account. Such application shall designate one and only one authorized account representative and may designate one and only one alternate authorized account representative who may act on behalf of the authorized account representative.
(A) The authorized account representative and alternate authorized account representative shall be selected by an agreement binding on the persons who have an ownership interest with respect to CSAPR NO X Ozone Season Group 3 allowances held in the general account.
(B) The agreement by which the alternate authorized account representative is selected shall include a procedure for authorizing the alternate authorized account representative to act in lieu of the authorized account representative.
(ii) A complete application for a general account shall include the following elements in a format prescribed by the Administrator:
(A) Name, mailing address, email address (if any), telephone number, and facsimile transmission number (if any) of the authorized account representative and any alternate authorized account representative;
(B) An identifying name for the general account;
(C) A list of all persons subject to a binding agreement for the authorized account representative and any alternate authorized account representative to represent their ownership interest with respect to the CSAPR NO X Ozone Season Group 3 allowances held in the general account;
(D) The following certification statement by the authorized account representative and any alternate authorized account representative: “I certify that I was selected as the authorized account representative or the alternate authorized account representative, as applicable, by an agreement that is binding on all persons who have an ownership interest with respect to CSAPR NO X Ozone Season Group 3 allowances held in the general account. I certify that I have all the necessary authority to carry out my duties and responsibilities under the CSAPR NO X Ozone Season Group 3 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 decision or order issued to me by the Administrator regarding the general account.”; and
(E) The signature of the authorized account representative and any alternate authorized account representative and the dates signed.
(iii) Unless otherwise required by the Administrator, documents of agreement referred to in the application for a general account shall not be submitted to the Administrator. The Administrator shall not be under any obligation to review or evaluate the sufficiency of such documents, if submitted.
(iv) An application for a general account under paragraph (c)(1) of this section, § 97.520(c)(1), or § 97.820(c)(1) that complies with the provisions of paragraph (c)(1) of this section except that it contains the phrase “TR NO X Ozone Season” or the phrase “CSAPR NO X Ozone Season Group 2” in place of the phrase “CSAPR NO X Ozone Season Group 3” in the required certification statement will be considered a complete application for a general account under paragraph (c)(1) of this section, and the certification statement included in such application for a general account will be interpreted for purposes of this subpart as if the phrase “CSAPR NO X Ozone Season Group 3” appeared in place of the phrase “TR NO X Ozone Season” or the phrase “CSAPR NO X Ozone Season Group 2”.
(2) Authorization of authorized account representative and alternate authorized account representative. (i) Upon receipt by the Administrator of a complete application for a general account under paragraph (c)(1) of this section, the Administrator will establish a general account for the person or persons for whom the application is submitted, and upon and after such receipt by the Administrator:
(A) The authorized account representative of the general account shall be authorized and shall represent and, by his or her representations, actions, inactions, or submissions, legally bind each person who has an ownership interest with respect to CSAPR NO X Ozone Season Group 3 allowances held in the general account in all matters pertaining to the CSAPR NO X Ozone Season Group 3 Trading Program, notwithstanding any agreement between the authorized account representative and such person.
(B) Any alternate authorized account representative shall be authorized, and any representation, action, inaction, or submission by any alternate authorized account representative shall be deemed to be a representation, action, inaction, or submission by the authorized account representative.
(C) Each person who has an ownership interest with respect to CSAPR NO X Ozone Season Group 3 allowances held in the general account shall be bound by any decision or order issued to the authorized account representative or alternate authorized account representative by the Administrator regarding the general account.
(ii) Except as provided in paragraph (c)(5) of this section concerning delegation of authority to make submissions, each submission concerning the general account shall be made, signed, and certified by the authorized account representative or any alternate authorized account representative for the persons having an ownership interest with respect to CSAPR NO X Ozone Season Group 3 allowances held in the general account. Each such submission shall include the following certification statement by the authorized account representative or any alternate authorized account representative: “I am authorized to make this submission on behalf of the persons having an ownership interest with respect to the CSAPR NO X Ozone Season Group 3 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) Except in this section, whenever the term “authorized account representative” is used in this subpart, the term shall be construed to include the authorized account representative or any alternate authorized account representative.
(iv) A certification statement submitted in accordance with paragraph (c)(2)(ii) of this section that contains the phrase “TR NO X Ozone Season” or the phrase “CSAPR NO X Ozone Season Group 2” will be interpreted for purposes of this subpart as if the phrase “CSAPR NO X Ozone Season Group 3” appeared in place of the phrase “TR NO X Ozone Season” or the phrase “CSAPR NO X Ozone Season Group 2”.
(3) Changing authorized account representative and alternate authorized account representative; changes in persons with ownership interest. (i) The authorized account representative of 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 (c)(1) of this section. Notwithstanding any such change, all representations, actions, inactions, and submissions by the previous 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 authorized account representative and the persons with an ownership interest with respect to the CSAPR NO X Ozone Season Group 3 allowances in the general account.
(ii) The alternate authorized account representative of 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 (c)(1) of this section. Notwithstanding any such change, all representations, actions, inactions, and submissions by the previous alternate 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 authorized account representative, the authorized account representative, and the persons with an ownership interest with respect to the CSAPR NO X Ozone Season Group 3 allowances in the general account.
(iii)(A) In the event a person having an ownership interest with respect to CSAPR NO X Ozone Season Group 3 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 authorized account representative and any alternate authorized account representative of the account, and the decisions and orders of the Administrator, as if the person were included in such list.
(B) Within 30 days after any change in the persons having an ownership interest with respect to CSAPR NO X Ozone Season Group 3 allowances in the general account, including the addition or removal of a person, the authorized account representative or any alternate 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 CSAPR NO X Ozone Season Group 3 allowances in the general account to include the change.
(4) Objections concerning authorized account representative and alternate authorized account representative. (i) Once a complete application for a general account under paragraph (c)(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 (c)(1) of this section is received by the Administrator.
(ii) Except as provided in paragraph (c)(4)(i) of this section, no objection or other communication submitted to the Administrator concerning the authorization, or any representation, action, inaction, or submission of the authorized account representative or any alternate authorized account representative of a general account shall affect any representation, action, inaction, or submission of the authorized account representative or any alternate authorized account representative or the finality of any decision or order by the Administrator under the CSAPR NO X Ozone Season Group 3 Trading Program.
(iii) The Administrator will not adjudicate any private legal dispute concerning the authorization or any representation, action, inaction, or submission of the authorized account representative or any alternate authorized account representative of a general account, including private legal disputes concerning the proceeds of CSAPR NO X Ozone Season Group 3 allowance transfers.
(5) Delegation by authorized account representative and alternate authorized account representative. (i) An authorized account representative of a general account 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 subpart.
(ii) An alternate authorized account representative of a general account 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 subpart.
(iii) In order to delegate authority to a natural person to make an electronic submission to the Administrator in accordance with paragraph (c)(5)(i) or (ii) of this section, the authorized account representative or alternate 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, email address, telephone number, and facsimile transmission number (if any) of such authorized account representative or alternate authorized account representative;
(B) The name, address, email address, telephone number, and facsimile transmission number (if any) of each such natural person (referred to in this section as an “agent”);
(C) For each such natural person, a list of the type or types of electronic submissions under paragraph (c)(5)(i) or (ii) of this section for which authority is delegated to him or her;
(D) The following certification statement by such authorized account representative or alternate authorized account representative: “I agree that any electronic submission to the Administrator that is made 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 an authorized account representative or alternate authorized account representative, as appropriate, and before this notice of delegation is superseded by another notice of delegation under 40 CFR 97.1020(c)(5)(iv) shall be deemed to be an electronic submission by me.”; and
(E) The following certification statement by such authorized account representative or alternate authorized account representative: “Until this notice of delegation is superseded by another notice of delegation under 40 CFR 97.1020(c)(5)(iv), I agree to maintain an email account and to notify the Administrator immediately of any change in my email address unless all delegation of authority by me under 40 CFR 97.1020(c)(5) is terminated.”
(iv) A notice of delegation submitted under paragraph (c)(5)(iii) of this section shall be effective, with regard to the authorized account representative or alternate 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 authorized account representative or alternate 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 (c)(5)(iii)(D) of this section and made in accordance with a notice of delegation effective under paragraph (c)(5)(iv) of this section shall be deemed to be an electronic submission by the authorized account representative or alternate authorized account representative submitting such notice of delegation.
(vi) A notice of delegation submitted under paragraph (c)(5)(iii) of this section, § 97.520(c)(5)(iii), or § 97.820(c)(5)(iii) that complies with the provisions of paragraph (c)(5)(iii) of this section except that it contains the terms “40 CFR 97.520(c)(5)(iv)” and “40 CFR 97.520(c)(5)” or the terms “40 CFR 97.820(c)(5)(iv)” and “40 CFR 97.820(c)(5)” in place of the terms “40 CFR 97.1020(c)(5)(iv)” and “40 CFR 97.1020(c)(5)”, respectively, in the required certification statements will be considered a valid notice of delegation submitted under paragraph (c)(5)(iii) of this section, and the certification statements included in such notice of delegation will be interpreted for purposes of this subpart as if the terms “40 CFR 97.1020(c)(5)(iv)” and “40 CFR 97.1020(c)(5)” appeared in place of the terms “40 CFR 97.520(c)(5)(iv)” and “40 CFR 97.520(c)(5)” or the terms “40 CFR 97.820(c)(5)(iv)” and “40 CFR 97.820(c)(5)”, respectively.
(6) Closing a general account. (i) The authorized account representative or alternate authorized account representative of a general account may submit to the Administrator a request to close the account. Such request shall include a correctly submitted CSAPR NO X Ozone Season Group 3 allowance transfer under § 97.1022 for any CSAPR NO X Ozone Season Group 3 allowances in the account to one or more other Allowance Management System accounts.
(ii) If a general account has no CSAPR NO X Ozone Season Group 3 allowance transfers to or from the account for a 12-month period or longer and does not contain any CSAPR NO X Ozone Season Group 3 allowances, the Administrator may notify the authorized account representative for the account that the account will be closed after 30 days after the notice is sent. The account will be closed after the 30-day period unless, before the end of the 30-day period, the Administrator receives a correctly submitted CSAPR NO X Ozone Season Group 3 allowance transfer under § 97.1022 to the account or a statement submitted by the authorized account representative or alternate authorized account representative demonstrating to the satisfaction of the Administrator good cause as to why the account should not be closed.
(d) Account identification. The Administrator will assign a unique identifying number to each account established under paragraph (a), (b), or (c) of this section.
(e) Responsibilities of authorized account representative and alternate authorized account representative. After the establishment of a compliance account or general account, the Administrator will accept or act on a submission pertaining to the account, including, but not limited to, submissions concerning the deduction or transfer of CSAPR NO X Ozone Season Group 3 allowances in the account, only if the submission has been made, signed, and certified in accordance with §§ 97.1014(a) and 97.1018 or paragraphs (c)(2)(ii) and (c)(5) of this section.
§ 97.1021   Recordation of CSAPR NOXOzone Season Group 3 allowance allocations and auction results.
(a) By July 29, 2021, the Administrator will record in each CSAPR NO X Ozone Season Group 3 source's compliance account the CSAPR NO X Ozone Season Group 3 allowances allocated to the CSAPR NO X Ozone Season Group 3 units at the source in accordance with § 97.1011(a)(1) for the control period in 2021.
(b) By July 29, 2021, the Administrator will record in each CSAPR NO X Ozone Season Group 3 source's compliance account the CSAPR NO X Ozone Season Group 3 allowances allocated to the CSAPR NO X Ozone Season Group 3 units at the source in accordance with § 97.1011(a)(1) for the control period in 2022.
(c) [Reserved]
(d) By September 5, 2023, the Administrator will record in each CSAPR NO X Ozone Season Group 3 source's compliance account the CSAPR NO X Ozone Season Group 3 allowances allocated to the CSAPR NO X Ozone Season Group 3 units at the source in accordance with § 97.1011(a)(1) for the control period in 2023.
(e) By September 5, 2023, the Administrator will record in each CSAPR NO X Ozone Season Group 3 source's compliance account the CSAPR NO X Ozone Season Group 3 allowances allocated to the CSAPR NO X Ozone Season Group 3 units at the source in accordance with § 97.1011(a)(1) for the control period in 2024, unless the State in which the source is located notifies the Administrator in writing by August 4, 2023, of the State's intent to submit to the Administrator a complete SIP revision by September 1, 2023, meeting the requirements of § 52.38(b)(10)(i) through (iv) of this chapter.
(1) If, by September 1, 2023, the State does not submit to the Administrator such complete SIP revision, the Administrator will record by September 15, 2023, in each CSAPR NO X Ozone Season Group 3 source's compliance account the CSAPR NO X Ozone Season Group 3 allowances allocated to the CSAPR NO X Ozone Season Group 3 units at the source in accordance with § 97.1011(a)(1) for the control period in 2024.
(2) If the State submits to the Administrator by September 1, 2023, and the Administrator approves by March 1, 2024, such complete SIP revision, the Administrator will record by March 1, 2024, in each CSAPR NO X Ozone Season Group 3 source's compliance account the CSAPR NO X Ozone Season Group 3 allowances allocated to the CSAPR NO X Ozone Season Group 3 units at the source as provided in such approved, complete SIP revision for the control period in 2024.
(3) If the State submits to the Administrator by September 1, 2023, and the Administrator does not approve by March 1, 2024, such complete SIP revision, the Administrator will record by March 1, 2024, in each CSAPR NO X Ozone Season Group 3 source's compliance account the CSAPR NO X Ozone Season Group 3 allowances allocated to the CSAPR NO X Ozone Season Group 3 units at the source in accordance with § 97.1011(a)(1) for the control period in 2024.
(f) By July 1, 2024 and July 1 of each year thereafter, the Administrator will record in each CSAPR NO X Ozone Season Group 3 source's compliance account the CSAPR NO X Ozone Season Group 3 allowances allocated to the CSAPR NO X Ozone Season Group 3 units at the source, or in each appropriate Allowance Management System account the CSAPR NO X Ozone Season Group 3 allowances auctioned to CSAPR NO X Ozone Season Group 3 units, in accordance with § 97.1011(a)(1), or  with a SIP revision approved under § 52.38(b)(11) or (12) of this chapter, for the control period in the year after the year of the applicable recordation deadline under this paragraph.
(g) By September 5, 2023, the Administrator will record in each CSAPR NO X Ozone Season Group 3 source's compliance account the CSAPR NO X Ozone Season Group 3 allowances allocated to the CSAPR NO X Ozone Season Group 3 units at the source in accordance with § 97.1011(a)(2) for the control periods in 2023 and 2024.
(h) By July 1, 2024, and July 1 of each year thereafter, the Administrator will record in each CSAPR NO X Ozone Season Group 3 source's compliance account the CSAPR NO X Ozone Season Group 3 allowances allocated to the CSAPR NO X Ozone Season Group 3 units at the source in accordance with § 97.1011(a)(2) for the control period in the year after the year of the applicable recordation deadline under this paragraph (h).
(i) By May 1, 2022, and May 1 of each year thereafter, the Administrator will record in each CSAPR NO X Ozone Season Group 3 source's compliance account the CSAPR NO X Ozone Season Group 3 allowances allocated to the CSAPR NO X Ozone Season Group 3 units at the source in accordance with § 97.1012(a) for the control period in the year before the year of the applicable recordation deadline under this paragraph (i).
(j) By May 1, 2022, and May 1, 2023, the Administrator will record in each CSAPR NO X Ozone Season Group 3 source's compliance account the CSAPR NO X Ozone Season Group 3 allowances allocated to the CSAPR NO X Ozone Season Group 3 units at the source in accordance with § 97.1012(b) for the control period in the year before the year of the applicable recordation deadline under this paragraph.
(k) By the date 15 days after the date on which any allocation or auction results, other than an allocation or auction results described in paragraphs (a) through (h) of this section, of CSAPR NO X Ozone Season Group 3 allowances to a recipient is made by or are submitted to the Administrator in accordance with § 97.1011 or § 97.1012 or with a SIP revision approved under § 52.38(b)(11) or (12) of this chapter, the Administrator will record such allocation or auction results in the appropriate Allowance Management System account.
(l) When recording the allocation or auction of CSAPR NO X Ozone Season Group 3 allowances to a CSAPR NO X Ozone Season Group 3 unit or other entity in an Allowance Management System account, the Administrator will assign each CSAPR NO X Ozone Season Group 3 allowance a unique identification number that will include digits identifying the year of the control period for which the CSAPR NO X Ozone Season Group 3 allowance is allocated or auctioned.
(m) Notwithstanding any other provision of this subpart, if, as of the otherwise applicable deadline for recording any CSAPR NO X Ozone Season Group 3 allowances in any CSAPR NO X Ozone Season Group 3 source's compliance account under any other provision of this section, the Administrator has not completed all deductions of CSAPR NO X Ozone Season Group 2 allowances required for the source under § 97.811(d) or (e), such otherwise applicable deadline shall not apply, and the Administrator instead will record such CSAPR NO X Ozone Season Group 3 allowances in the source's compliance account as expeditiously as practicable after the Administrator has completed all deductions of CSAPR NO X Ozone Season Group 2 allowances required for the source under § 97.811(d) or (e).
§ 97.1022   Submission of CSAPR NOXOzone Season Group 3 allowance transfers.
(a) An authorized account representative seeking recordation of a CSAPR NO X Ozone Season Group 3 allowance transfer shall submit the transfer to the Administrator.
(b) A CSAPR NO X Ozone Season Group 3 allowance transfer shall be correctly submitted if:
(1) The transfer includes the following elements, in a format prescribed by the Administrator:
(i) The account numbers established by the Administrator for both the transferor and transferee accounts;
(ii) The serial number of each CSAPR NO X Ozone Season Group 3 allowance that is in the transferor account and is to be transferred; and
(iii) The name and signature of the authorized account representative of the transferor account and the date signed; and
(2) When the Administrator attempts to record the transfer, the transferor account includes each CSAPR NO X Ozone Season Group 3 allowance identified by serial number in the transfer.
§ 97.1023   Recordation of CSAPR NOXOzone Season Group 3 allowance transfers.
(a) Within 5 business days (except as provided in paragraph (b) of this section) of receiving a CSAPR NO X Ozone Season Group 3 allowance transfer that is correctly submitted under § 97.1022, the Administrator will record a CSAPR NO X Ozone Season Group 3 allowance transfer by moving each CSAPR NO X Ozone Season Group 3 allowance from the transferor account to the transferee account as specified in the transfer.
(b) A CSAPR NO X Ozone Season Group 3 allowance transfer to or from a compliance account that is submitted for recordation after the allowance transfer deadline for a control period and that includes any CSAPR NO X Ozone Season Group 3 allowances allocated or auctioned for any control period before such allowance transfer deadline will not be recorded until after the Administrator completes the deductions from such compliance account under § 97.1024 for the control period immediately before such allowance transfer deadline.
(c) Where a CSAPR NO X Ozone Season Group 3 allowance transfer is not correctly submitted under § 97.1022, the Administrator will not record such transfer.
(d) Within 5 business days of recordation of a CSAPR NO X Ozone Season Group 3 allowance transfer under paragraphs (a) and (b) of the section, the Administrator will notify the authorized account representatives of both the transferor and transferee accounts.
(e) Within 10 business days of receipt of a CSAPR NO X Ozone Season Group 3 allowance transfer that is not correctly submitted under § 97.1022, the Administrator will notify the 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.
§ 97.1024   Compliance with CSAPR NOXOzone Season Group 3 primary emissions limitation; backstop daily NOXemissions rate.
(a) Availability for deduction for compliance. CSAPR NO X Ozone Season Group 3 allowances are available to be deducted for compliance with a source's CSAPR NO X Ozone Season Group 3 primary emissions limitation for a control period in a given year only if the CSAPR NO X Ozone Season Group 3 allowances:
(1) Were allocated or auctioned for such control period or a control period in a prior year; and
(2) Are held in the source's compliance account as of the allowance transfer deadline for such control period.
(b) Deductions for compliance. After the recordation, in accordance with § 97.1023, of CSAPR NO X Ozone Season Group 3 allowance transfers submitted by the allowance transfer deadline for a control period in a given year, the Administrator will deduct from each source's compliance account CSAPR NO X Ozone Season Group 3 allowances available under paragraph (a) of this section in order to determine whether the source meets the CSAPR NO X Ozone Season Group 3 primary emissions limitation for such control period, as follows:
(1) Until the amount of CSAPR NO X Ozone Season Group 3 allowances deducted equals the sum of:
(i) The number of tons of total NO X emissions from all CSAPR NO X Ozone Season Group 3 units at the source for such control period; plus
(ii) Two times the excess, if any, over 50 tons of the sum (converted to tons at a conversion factor of 2,000 lb/ton and rounded to the nearest ton), for all calendar days in the control period and all CSAPR NO X Ozone Season Group 3 units at the source to which the backstop daily NO X emissions rate applies for the control period under paragraph (b)(3) of this section, of any amount by which a unit's NO X emissions for a given calendar day in pounds exceed the product in pounds of the unit's total heat input in mmBtu for that calendar day multiplied by 0.14 lb/mmBtu; or
(2) If there are insufficient CSAPR NO X Ozone Season Group 3 allowances to complete the deductions in paragraph (b)(1) of this section, until no more CSAPR NO X Ozone Season Group 3 allowances available under paragraph (a) of this section remain in the compliance account.
(3) The backstop daily NO X emissions rate of 0.14 lb/mmBtu applies as follows:
(i) For each control period in 2024 through 2029, the backstop daily NO X emissions rate shall apply to each CSAPR NO X Ozone Season Group 3 unit combusting any coal or solid coal-derived fuel during the control period, serving a generator with nameplate capacity of 100 MW or more, and equipped with selective catalytic reduction controls on or before September 30 of the preceding control period, except a circulating fluidized bed boiler.
(ii) For each control in 2030 and thereafter, the backstop daily NO X emissions rate shall apply to each CSAPR NO X Ozone Season Group 3 unit combusting any coal or solid coal-derived fuel during the control period and serving a generator with nameplate capacity of 100 MW or more, except a circulating fluidized bed boiler.
(c) Selection of CSAPR NO X Ozone Season Group 3 allowances for deduction —(1) Identification by serial number. The designated representative for a source may request that specific CSAPR NO X Ozone Season Group 3 allowances, identified by serial number, in the source's compliance account be deducted for emissions or excess emissions for a control period in a given year in accordance with paragraph (b) or (d) of this section. In order to be complete, such request shall be submitted to the Administrator by the allowance transfer deadline for such control period and include, in a format prescribed by the Administrator, the identification of the CSAPR NO X Ozone Season Group 3 source and the appropriate serial numbers.
(2) First-in, first-out. The Administrator will deduct CSAPR NO X Ozone Season Group 3 allowances under paragraph (b) or (d) of this section from the source's compliance account in accordance with a complete request under paragraph (c)(1) of this section or, in the absence of such request or in the case of identification of an insufficient amount of CSAPR NO X Ozone Season Group 3 allowances in such request, on a first-in, first-out accounting basis in the following order:
(i) Any CSAPR NO X Ozone Season Group 3 allowances that were recorded in the compliance account pursuant to § 97.1021 and not transferred out of the compliance account, in the order of recordation; and then
(ii) Any other CSAPR NO X Ozone Season Group 3 allowances that were transferred to and recorded in the compliance account pursuant to this subpart or that were recorded in the compliance account pursuant to § 97.826, in the order of recordation.
(d) Deductions for excess emissions. After making the deductions for compliance under paragraph (b) of this section for a control period in a year in which the CSAPR NO X Ozone Season Group 3 source has excess emissions, the Administrator will deduct from the source's compliance account an amount of CSAPR NO X Ozone Season Group 3 allowances, allocated or auctioned for a control period in a prior year or the control period in the year of the excess emissions or in the immediately following year, equal to two times the number of tons of the source's excess emissions.
(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.
§ 97.1025   Compliance with CSAPR NOXOzone Season Group 3 assurance provisions; CSAPR NOXOzone Season Group 3 secondary emissions limitation.
(a) Availability for deduction. CSAPR NO X Ozone Season Group 3 allowances are available to be deducted for compliance with the CSAPR NO X Ozone Season Group 3 assurance provisions for a control period in a given year by the owners and operators of a group of one or more CSAPR NO X Ozone Season Group 3 sources and units in a State (and Indian country within the borders of such State) only if the CSAPR NO X Ozone Season Group 3 allowances:
(1) Were 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; and
(2) Are held in the assurance account, established by the Administrator for such owners and operators of such group of CSAPR NO X Ozone Season Group 3 sources and units in such State (and Indian country within the borders of such State) under paragraph (b)(3) of this section, as of the deadline established in paragraph (b)(4) of this section.
(b) Deductions for compliance. The Administrator will deduct CSAPR NO X Ozone Season Group 3 allowances available under paragraph (a) of this section for compliance with the CSAPR NO X Ozone Season Group 3 assurance provisions for a State for a control period in a given year in accordance with the following procedures:
(1) By August 1, 2022 and August 1 of each year thereafter, the Administrator will:
(i) Calculate, for each State (and Indian country within the borders of such State), the total NO X emissions from all CSAPR NO X Ozone Season Group 3 units at CSAPR NO X Ozone Season Group 3 sources in the State (and Indian country within the borders of such State) during the control period in the year before the year of this calculation deadline and the amount, if any, by which such total NO X emissions exceed the State assurance level as described in § 97.1006(c)(2)(iii); and
(ii) For the set of any States (and Indian country within the borders of such States) for which the results of the calculations required in paragraph (b)(1)(i) of this section indicate that total NO X emissions exceed the respective State assurance levels for such control period—
(A) Calculate, for each such State (and Indian country within the borders of such State) and such control period and each common designated representative for such control period for a group of one or more CSAPR NO X Ozone Season Group 3 sources and units in such State (and such Indian country), the common designated representative's share of the total NO X emissions from all CSAPR NO X Ozone Season Group 3 units at CSAPR NO X Ozone Season Group 3 sources in such State (and such Indian country), the common designated representative's assurance level, and the amount (if any) of CSAPR NO X Ozone Season Group 3 allowances that the owners and operators of such group of sources and units must hold in accordance with the calculation formula in § 97.1006(c)(2)(i); and
(B) Promulgate a notice of data availability of the results of the calculations required in paragraphs (b)(1)(i) and (b)(1)(ii)(A) of this section, including separate calculations of the NO X emissions from each CSAPR NO X Ozone Season Group 3 source in each such State (and Indian country within the borders of such State).
(2) The Administrator will provide an opportunity for submission of objections to the calculations referenced by each notice of data availability required in paragraph (b)(1)(ii) of this section.
(i) Objections shall be submitted by the deadline specified in such notice and shall be limited to addressing whether the calculations referenced in such notice are in accordance with § 97.1006(c)(2)(iii), §§ 97.1006(b) and 97.1030 through 97.1035, the definitions of “common designated representative”, “common designated representative's assurance level”, and “common designated representative's share” in § 97.1002, and the calculation formula in § 97.1006(c)(2)(i).
(ii) The Administrator will adjust the calculations to the extent necessary to ensure that they are in accordance with the provisions referenced in paragraph (b)(2)(i) of this section. By October 1 immediately after the promulgation of such notice, the Administrator will promulgate a notice of data availability of the results of the calculations incorporating any adjustments that the Administrator determines to be necessary and the reasons for accepting or rejecting any objections submitted in accordance with paragraph (b)(2)(i) of this section.
(3) For any State (and Indian country within the borders of such State) referenced in each notice of data availability required in paragraph (b)(2)(ii) of this section as having CSAPR NO X Ozone Season Group 3 units with total NO X emissions exceeding the State assurance level for a control period in a given year, the Administrator will establish one assurance account for each set of owners and operators referenced, in the notice of data availability required under paragraph (b)(2)(ii) of this section, as all of the owners and operators of a group of CSAPR NO X Ozone Season Group 3 sources and units in the State (and Indian country within the borders of such State) having a common designated representative for such control period and as being required to hold CSAPR NO X Ozone Season Group 3 allowances.
(4)(i) As of midnight of November 1 immediately after the promulgation of each notice of data availability required in paragraph (b)(2)(ii) of this section, the owners and operators described in paragraph (b)(3) of this section shall hold in the assurance account established for them and for the appropriate CSAPR NO X Ozone Season Group 3 sources, CSAPR NO X Ozone Season Group 3 units, and State (and Indian country within the borders of such State) under paragraph (b)(3) of this section a total amount of CSAPR NO X Ozone Season Group 3 allowances, available for deduction under paragraph (a) of this section, equal to the amount such owners and operators are required to hold with regard to such sources, units and State (and Indian country within the borders of such State) as calculated by the Administrator and referenced in such notice.
(ii) Notwithstanding the allowance-holding deadline specified in paragraph (b)(4)(i) of this section, if November 1 is not a business day, then such allowance-holding deadline shall be midnight of the first business day thereafter.
(5) After November 1 (or the date described in paragraph (b)(4)(ii) of this section) immediately after the promulgation of each notice of data availability required in paragraph (b)(2)(ii) of this section and after the recordation, in accordance with § 97.1023, of CSAPR NO X Ozone Season Group 3 allowance transfers submitted by midnight of such date, the Administrator will determine whether the owners and operators described in paragraph (b)(3) of this section hold, in the assurance account for the appropriate CSAPR NO X Ozone Season Group 3 sources, CSAPR NO X Ozone Season Group 3 units, and State (and Indian country within the borders of such State) established under paragraph (b)(3) of this section, the amount of CSAPR NO X Ozone Season Group 3 allowances available under paragraph (a) of this section that the owners and operators are required to hold with regard to such sources, units, and State (and Indian country within the borders of such State) as calculated by the Administrator and referenced in the notice required in paragraph (b)(2)(ii) of this section.
(6) Notwithstanding any other provision of this subpart and any revision, made by or submitted to the Administrator after the promulgation of the notice of data availability required in paragraph (b)(2)(ii) of this section for a control period in a given year, of any data used in making the calculations referenced in such notice, the amounts of CSAPR NO X Ozone Season Group 3 allowances that the owners and operators are required to hold in accordance with § 97.1006(c)(2)(i) for such control period shall continue to be such amounts as calculated by the Administrator and referenced in such notice required in paragraph (b)(2)(ii) of this section, except as follows:
(i) If any such data are revised by the Administrator as a result of a decision in or settlement of litigation concerning such data on appeal under part 78 of this chapter of such notice, or on appeal under section 307 of the Clean Air Act of a decision rendered under part 78 of this chapter on appeal of such notice, then the Administrator will use the data as so revised to recalculate the amounts of CSAPR NO X Ozone Season Group 3 allowances that owners and operators are required to hold in accordance with the calculation formula in § 97.1006(c)(2)(i) for such control period with regard to the CSAPR NO X Ozone Season Group 3 sources, CSAPR NO X Ozone Season Group 3 units, and State (and Indian country within the borders of such State) involved, provided that such litigation under part 78 of this chapter, or the proceeding under part 78 of this chapter that resulted in the decision appealed in such litigation under section 307 of the Clean Air Act, was initiated no later than 30 days after promulgation of such notice required in paragraph (b)(2)(ii) of this section.
(ii) [Reserved]
(iii) If the revised data are used to recalculate, in accordance with paragraph (b)(6)(i) of this section, the amount of CSAPR NO X Ozone Season Group 3 allowances that the owners and operators are required to hold for such control period with regard to the CSAPR NO X Ozone Season Group 3 sources, CSAPR NO X Ozone Season Group 3 units, and State (and Indian country within the borders of such State) involved—
(A) Where the amount of CSAPR NO X Ozone Season Group 3 allowances that the owners and operators are required to hold increases as a result of the use of all such revised data, the Administrator will establish a new, reasonable deadline on which the owners and operators shall hold the additional amount of CSAPR NO X Ozone Season Group 3 allowances in the assurance account established by the Administrator for the appropriate CSAPR NO X Ozone Season Group 3 sources, CSAPR NO X Ozone Season Group 3 units, and State (and Indian country within the borders of such State) under paragraph (b)(3) of this section. The owners' and operators' failure to hold such additional amount, as required, before the new deadline shall not be a violation of the Clean Air Act. The owners' and operators' failure to hold such additional amount, as required, as of the new deadline shall be a violation of the Clean Air Act. Each CSAPR NO X Ozone Season Group 3 allowance that the owners and operators fail to hold as required as of the new deadline, and each day in such control period, shall be a separate violation of the Clean Air Act.
(B) For the owners and operators for which the amount of CSAPR NO X Ozone Season Group 3 allowances required to be held decreases as a result of the use of all such revised data, the Administrator will record, in all accounts from which CSAPR NO X Ozone Season Group 3 allowances were transferred by such owners and operators for such control period to the assurance account established by the Administrator for the appropriate CSAPR NO X Ozone Season Group 3 sources, CSAPR NO X Ozone Season Group 3 units, and State (and Indian country within the borders of such State) under paragraph (b)(3) of this section, a total amount of the CSAPR NO X Ozone Season Group 3 allowances held in such assurance account equal to the amount of the decrease. If CSAPR NO X Ozone Season Group 3 allowances were transferred to such assurance account from more than one account, the amount of CSAPR NO X Ozone Season Group 3 allowances recorded in each such transferor account will be in proportion to the percentage of the total amount of CSAPR NO X Ozone Season Group 3 allowances transferred to such assurance account for such control period from such transferor account.
(C) Each CSAPR NO X Ozone Season Group 3 allowance held under paragraph (b)(6)(iii)(A) of this section as a result of recalculation of requirements under the CSAPR NO X Ozone Season Group 3 assurance provisions for such control period must be a CSAPR NO X Ozone Season Group 3 allowance allocated for a control period in a year before or the year immediately following, or in the same year as, the year of such control period.
(c) CSAPR NO X Ozone Season Group 3 secondary emissions limitation. (1) The owner or operator of a CSAPR NO X Ozone Season Group 3 unit equipped with selective catalytic reduction controls or selective non-catalytic reduction controls shall not discharge, or allow to be discharged, emissions of NO X to the atmosphere during a control period in excess of the tonnage amount calculated in accordance with paragraph (c)(2) of this section, provided that the emissions limitation established under this paragraph (c)(1) shall apply to a unit for a control period only if:
(i) The unit is included for the control period in a group of CSAPR NO X Ozone Season Group 3 units at CSAPR NO X Ozone Season Group 3 sources in a State (and Indian country within the borders of such State) having a common designated representative and the owners and operators of such units and sources are subject to a requirement for such control period to hold one or more CSAPR NO X Ozone Season Group 3 allowances under § 97.1006(c)(2)(i) and paragraph (b) of this section with respect to such group; and
(ii) The unit was required to report NO X emissions and heat input data for all or portions of at least 367 operating hours during the control period and all or portions of at least 367 operating hours during at least one historical control period under the CSAPR NO X Ozone Season Group 1 Trading Program, CSAPR NO X Ozone Season Group 2 Trading Program, or CSAPR NO X Ozone Season Group 3 Trading Program.
(2) The amount of the emissions limitation applicable to a CSAPR NO X Ozone Season Group 3 unit for a control period under paragraph (c)(1) of this section, in tons of NO X , shall be calculated as the sum of 50 plus the product (converted to tons at a conversion factor of 2,000 lb/ton and rounded to the nearest ton) of multiplying—
(i) The total heat input in mmBtu reported for the unit for the control period in accordance with §§ 97.1030 through 97.1035; and
(ii) A NO X emission rate of 0.10 lb/mmBtu or, if higher, the product of 1.25 times the lowest seasonal average NO X emission rate in lb/mmBtu achieved by the unit in any historical control period for which the unit was required to report NO X emissions and heat input data for all or portions of at least 367 operating hours under the CSAPR NO X Ozone Season Group 1 Trading Program, CSAPR NO X Ozone Season Group 2 Trading Program, or CSAPR NO X Ozone Season Group 3 Trading Program, where the unit's seasonal average NO X emission rate for each such historical control period shall be calculated from such reported data as the quotient (converted to lb/mmBtu at a conversion factor of 2,000 lb/ton, and rounded to the nearest 0.0001 lb/mmBtu) of the unit's total NO X emissions in tons for the historical control period divided by the unit's total heat input in mmBtu for the historical control period.
§ 97.1026   Banking and conversion; bank recalibration.
(a) A CSAPR NO X Ozone Season Group 3 allowance 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 CSAPR NO X Ozone Season Group 3 allowance that is held in a compliance account or a general account will remain in such account unless and until the CSAPR NO X Ozone Season Group 3 allowance is deducted or transferred under § 97.1011(c) or (d), § 97.1012(c), § 97.1023, § 97.1024, § 97.1025, § 97.1027, or § 97.1028, or paragraph (c), (d), or (e) of this section.
(c) At any time after the allowance transfer deadline for the last control period for which a State NO X Ozone Season Group 3 trading budget is established under § 97.1010(a) for a given State, the Administrator may record a transfer of any CSAPR NO X Ozone Season Group 3 allowances held in the compliance account for a source in such State (and Indian country within the borders of such State) to a general account identified or established by the Administrator with the source's designated representative as the authorized account representative and with the owners and operators of the source (as indicated on the certificate of representation for the source) as the persons represented by the authorized account representative. The Administrator will notify the designated representative not less than 15 days before making such a transfer.
(d) Before the allowance transfer deadline for each control period in 2024 and thereafter, the Administrator will deduct amounts of CSAPR NO X Ozone Season Group 3 allowances issued for the control periods in previous years exceeding the CSAPR NO X Ozone Season Group 3 allowance bank ceiling target for the control period in accordance with paragraphs (d)(1) through (4) of this section.
(1) As soon as practicable on or after August 1, 2024, and August 1 of each year thereafter, the Administrator will temporarily suspend acceptance of CSAPR NO X Ozone Season Group 3 allowance transfers submitted under § 97.1022 and, before resuming acceptance of such transfers, will take the actions in paragraphs (d)(2) through (4) of this section.
(2) The Administrator will determine each of the following values:
(i) The total amount of CSAPR NO X Ozone Season Group 3 allowances issued for control periods in years before the year of the deadline under paragraph (d)(1) of this section and held in all compliance and general accounts.
(ii) The CSAPR NO X Ozone Season Group 3 allowance bank ceiling target for the control period in the year of the deadline under paragraph (d)(1) of this section, calculated as the product, rounded to the nearest allowance, of the sum for all States listed in § 52.38(b)(2)(iii)(A) through (C) of this chapter of the State NO X Ozone Season Group 3 trading budgets under § 97.1010(a) for such States for such control period multiplied by—
(A) 0.210, for a control period in 2024 through 2029; or
(B) 0.105, for a control period in 2030 and thereafter.
(3) If the total amount of CSAPR NO X Ozone Season Group 3 allowances determined under paragraph (d)(2)(i) of this section exceeds the CSAPR NO X Ozone Season Group 3 allowance bank ceiling target determined under paragraph (d)(2)(ii) of this section, then for each compliance account or general account holding CSAPR NO X Ozone Season Group 3 allowances issued for control periods in years before the year of the deadline under paragraph (d)(1) of this section, the Administrator will:
(i) Determine the total amount of CSAPR NO X Ozone Season Group 3 allowances issued for control periods in years before the year of the deadline under paragraph (d)(1) of this section and held in the account.
(ii) Determine the account's share of the CSAPR NO X Ozone Season Group 3 allowance bank ceiling target for the control period, calculated as the product, rounded up to the nearest allowance, of the CSAPR NO X Ozone Season Group 3 allowance bank ceiling target determined under paragraph (d)(2)(ii) of this section multiplied by a fraction whose numerator is the total amount of CSAPR NO X Ozone Season Group 3 allowances held in the account determined under paragraph (d)(3)(i) of this section and whose denominator is the total amount of CSAPR NO X Ozone Season Group 3 allowances held in all compliance and general accounts determined under paragraph (d)(2)(i) of this section.
(iii) Deduct an amount of CSAPR NO X Ozone Season Group 3 allowances issued for control periods in years before the year of the deadline under paragraph (d)(1) of this section equal to any positive remainder of the total amount of CSAPR NO X Ozone Season Group 3 allowances held in the account determined under paragraph (d)(3)(i) of this section minus the account's share of the CSAPR NO X Ozone Season Group 3 allowance bank ceiling target for the control period determined under paragraph (d)(3)(ii) of this section. The allowances will be deducted on a first-in, first-out basis in the order set forth in § 97.1024(c)(2)(i) and (ii).
(iv) Record the deductions under paragraph (d)(3)(iii) of this section in the account.
(4)(i) In computing any amounts of CSAPR NO X Ozone Season Group 3 allowances to be deducted from general accounts under paragraph (d)(3) of this section, the Administrator may group multiple general accounts whose ownership interests are held by the same or related persons or entities and treat the group of accounts as a single account for purposes of such computation.
(ii) Following a computation for a group of general accounts in accordance with paragraph (d)(4)(i) of this section, the Administrator will deduct from and record in each individual account in such group a proportional share of the quantity of CSAPR NO X Ozone Season Group 3 allowances computed for such group, basing such shares on the respective quantities of CSAPR NO X Ozone Season Group 3 allowances determined for such individual accounts under paragraph (d)(3)(i) of this section.
(iii) In determining the proportional shares under paragraph (d)(4)(ii) of this section, the Administrator may employ any reasonable adjustment methodology to truncate or round each such share up or down to a whole number and to cause the total of such whole numbers to equal the amount of CSAPR NO X Ozone Season Group 3 allowances computed for such group of accounts in accordance with paragraph (d)(4)(i) of this section, even where such adjustments cause the numbers of CSAPR NO X Ozone Season Group 3 allowances remaining in some individual accounts following the deductions to equal zero.
(e)(1) Notwithstanding any other provision of this subpart, by September 18, 2023, or, with regard to sources in West Virginia, as soon as practicable on or after September 29, 2023, the Administrator will temporarily suspend acceptance of CSAPR NO X Ozone Season Group 3 allowance transfers submitted under § 97.1022 and, before resuming acceptance of such transfers, will take the actions in paragraphs (e)(1)(i) and (ii) of this section with regard to every compliance account for a CSAPR NO X Ozone Season Group 3 source in a State listed in § 52.38(b)(2)(iii)(D)( 1 ) of this chapter (and Indian country within the borders of such a State):
(i) The Administrator will deduct all CSAPR NO X Ozone Season Group 3 allowances allocated for the control periods in 2021 and 2022 from each such compliance account.
(ii) For each CSAPR NO X Ozone Season Group 3 allowance deducted from a given source's compliance account under paragraph (e)(1)(i) of this section, the Administrator will allocate to the source and record in the source's compliance account one CSAPR NO X Ozone Season Expanded Group 2 allowance for the control period in 2023.
(2) Notwithstanding any other provision of this subpart, as soon as practicable on or after December 23, 2024, the Administrator will temporarily suspend acceptance of CSAPR NO X Ozone Season Group 3 allowance transfers submitted under § 97.1022 and, before resuming acceptance of such transfers, will take the actions in paragraphs (e)(2)(i) through (iii) of this section with regard to every compliance account for a source in a state listed in § 52.38(b)(2)(iii)(D)( 4 ) or ( 5 ) of this chapter (and Indian country within the borders of such a State):
(i) The Administrator will deduct all CSAPR NO X Ozone Season Group 3 allowances allocated for the control periods in 2021 through 2023 from each such compliance account.
(ii) For each CSAPR NO X Ozone Season Group 3 allowance deducted from the compliance account for a source in a State listed in § 52.38(b)(2)(iii)(D)( 4 ) of this chapter (and Indian country within the borders of such a State) under paragraph (e)(2)(i) of this section, the Administrator will allocate and record in the account one CSAPR NO X Ozone Season Expanded Group 2 allowance for the control period in 2024.
(iii) For each CSAPR NO X Ozone Season Group 3 allowance deducted from the compliance account for a source in a State listed in § 52.38(b)(2)(iii)(D)( 5 ) of this chapter (and Indian country within the borders of such a State) under paragraph (e)(2)(i) of this section, the Administrator will allocate and record in the account one CSAPR NO X Ozone Season Original Group 2 allowance for the control period in 2024.
(f) Notwithstanding any other provision of this subpart, CSAPR NO X Ozone Season Original Group 2 allowances or CSAPR NO X Ozone Season Expanded Group 2 allowances may be used to satisfy requirements to hold CSAPR NO X Ozone Season Group 3 allowances under this subpart as follows, provided that nothing in this paragraph (f) alters the time as of which any such allowance holding requirement must be met or limits any consequence of a failure to timely meet any such allowance holding requirement:
(1) After the Administrator has carried out the procedures set forth in paragraph (e)(1) of this section and before November 6, 2024, the owner or operator of a CSAPR NO X Ozone Season Group 3 source in a State listed in § 52.38(b)(2)(iii)(D)( 1 ) of this chapter (and Indian country within the borders of such a State) may satisfy a requirement to hold a given number of CSAPR NO X Ozone Season Group 3 allowances for the control period in 2021 or 2022 by holding instead, in a general account established for this sole purpose, an equal amount of CSAPR NO X Ozone Season Expanded Group 2 allowances for the control period in 2023 (or any later control period for which the allowance transfer deadline defined in § 97.802 has passed).
(2) On or after November 6, 2024, the owner or operator of a source subject to the requirements of the CSAPR NO X Ozone Season Group 2 Trading Program for the control period in the current year and required to demonstrate compliance under such program for such control period by holding CSAPR NO X Ozone Season Original Group 2 allowances may satisfy a requirement to hold a given number of CSAPR NO X Ozone Season Group 3 allowances for the control period in a previous year for which the allowance transfer deadline defined in § 97.1002 has passed by holding instead in the source's compliance account an equal number of CSAPR NO X Ozone Season Original Group 2 allowances for the control period in the current year.
(3) On or after November 6, 2024, the owner or operator of a source subject to the requirements of the CSAPR NO X Ozone Season Group 2 Trading Program for the control period in the current year and required to demonstrate compliance under such program for such control period by holding CSAPR NO X Ozone Season Expanded Group 2 allowances may satisfy a requirement to hold a given number of CSAPR NO X Ozone Season Group 3 allowances for the control period in a previous year for which the allowance transfer deadline defined in § 97.1002 has passed by holding instead in the source's compliance account an equal number of CSAPR NO X Ozone Season Expanded Group 2 allowances for the control period in the current year.
§ 97.1027   Account error.
The Administrator may, at his or her sole discretion and on his or her own motion, correct any error in any Allowance Management System account. Within 10 business days of making such correction, the Administrator will notify the authorized account representative for the account.
§ 97.1028   Administrator's action on submissions.
(a) The Administrator may review and conduct independent audits concerning any submission under the CSAPR NO X Ozone Season Group 3 Trading Program and make appropriate adjustments of the information in the submission.
(b) The Administrator may deduct CSAPR NO X Ozone Season Group 3 allowances from or transfer CSAPR NO X Ozone Season Group 3 allowances to a compliance account or an assurance account, based on the information in a submission, as adjusted under paragraph (a) of this section, and record such deductions and transfers.
§ 97.1029   [Reserved]
§ 97.1030   General monitoring, recordkeeping, and reporting requirements.
The owners and operators, and to the extent applicable, the designated representative, of a CSAPR NO X Ozone Season Group 3 unit, shall comply with the monitoring, recordkeeping, and reporting requirements as provided in this subpart and subpart H of part 75 of this chapter. For purposes of applying such requirements, the definitions in § 97.1002 and in § 72.2 of this chapter shall apply, 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 “CSAPR NO X Ozone Season Group 3 unit,” “designated representative,” and “continuous emission monitoring system” (or “CEMS”) respectively as defined in § 97.1002, and the term “newly affected unit” shall be deemed to mean “newly affected CSAPR NO X Ozone Season Group 3 unit”. The owner or operator of a unit that is not a CSAPR NO X Ozone Season Group 3 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 CSAPR NO X Ozone Season Group 3 unit.
(a) Requirements for installation, certification, and data accounting. The owner or operator of each CSAPR NO X Ozone Season Group 3 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 § 97.1031 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 of a CSAPR NO X Ozone Season Group 3 unit shall meet the monitoring system certification and other requirements of paragraphs (a)(1) and (2) of this section on or before the latest of the following dates and shall record, report, and quality-assure the data from the monitoring systems under paragraph (a)(1) of this section on and after the latest of the following dates:
(1)(i) May 1, 2021, for a unit in a State (and Indian country within the borders of such State) listed in § 52.38(b)(2)(iii)(A) of this chapter;
(ii) May 1, 2023, for a unit in a State (and Indian country within the borders of such State) listed in § 52.38(b)(2)(iii)(B) of this chapter;
(iii) August 4, 2023, for a unit in a State (and Indian country within the borders of such State) listed in § 52.38(b)(2)(iii)(C) of this chapter, where the unit is required to report NO X mass emissions data or NO X emissions rate data according to 40 CFR part 75 to address other regulatory requirements; or
(iv) January 31, 2024, for a unit in a State (and Indian country within the borders of such State) listed in § 52.38(b)(2)(iii)(C) of this chapter, where the unit is not required to report NO X mass emissions data or NO X emissions rate data according to 40 CFR part 75 to address other regulatory requirements.
(2) 180 calendar days after the date on which the unit commences commercial operation; or
(3) Where data for the unit are reported on a control period basis under § 97.1034(d)(1)(ii)(B), and where the compliance date under paragraph (b)(1) or (2) of this section is not in a month from May through September, May 1 immediately after the compliance date under paragraph (b)(1) or (2) of this section.
(4) The owner or operator of a CSAPR NO X Ozone Season Group 3 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), or (3) of this section shall meet the requirements of § 75.4(e)(1) through (4) of this chapter, except that:
(i) Such requirements shall apply to the monitoring systems required under § 97.1030 through § 97.1035, rather than the monitoring systems required under part 75 of this chapter;
(ii) NO X emission rate, NO X concentration, stack gas moisture content, stack gas volumetric flow rate, and O 2 or CO 2 concentration data shall be determined and reported, rather than the data listed in § 75.4(e)(2) of this chapter; and
(iii) Any petition for another procedure under § 75.4(e)(2) of this chapter shall be submitted under § 97.1035, rather than § 75.66 of this chapter.
(c) Reporting data. The owner or operator of a CSAPR NO X Ozone Season Group 3 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 CSAPR NO X Ozone Season Group 3 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 § 97.1035.
(2) No owner or operator of a CSAPR NO X Ozone Season Group 3 unit shall operate the unit so as to discharge, or allow to be discharged, NO X to the atmosphere without accounting for all such NO X in accordance with the applicable provisions of this subpart and part 75 of this chapter.
(3) No owner or operator of a CSAPR NO X Ozone Season Group 3 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 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 CSAPR NO X Ozone Season Group 3 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 § 97.1005 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 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 § 97.1031(d)(3)(i).
(e) Long-term cold storage. The owner or operator of a CSAPR NO X Ozone Season Group 3 unit is subject to the applicable provisions of § 75.4(d) of this chapter concerning units in long-term cold storage.
§ 97.1031   Initial monitoring system certification and recertification procedures.
(a) The owner or operator of a CSAPR NO X Ozone Season Group 3 unit shall be exempt from the initial certification requirements of this section for a monitoring system under § 97.1030(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 appendices B, D, and 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 § 97.1030(a)(1) that is 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 designated representative shall resubmit the petition to the Administrator under § 97.1035 to determine whether the approval applies under the CSAPR NO X Ozone Season Group 3 Trading Program.
(d) Except as provided in paragraph (a) of this section, the owner or operator of a CSAPR NO X Ozone Season Group 3 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 § 97.1030(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 § 97.1030(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 § 97.1030(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 § 97.1030(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 system, and any excepted NO X monitoring system under appendix E to part 75 of this chapter, under § 97.1030(a)(1) are subject to the recertification requirements in § 75.20(g)(6) of this chapter.
(3) Approval process for initial certification and recertification. For initial certification of a continuous monitoring system under § 97.1030(a)(1), paragraphs (d)(3)(i) through (v) of this section apply. For recertifications of such monitoring systems, paragraphs (d)(3)(i) through (iv) of this section and 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) apply, provided that in applying paragraphs (d)(3)(i) through (iv) of this section, the words “certification” and “initial certification” are replaced by the word “recertification” and the word “certified” is replaced by the word “recertified”.
(i) Notification of certification. The designated representative shall submit to the appropriate EPA Regional Office and the Administrator written notice of the dates of certification testing, in accordance with § 97.1033.
(ii) Certification application. The 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 CSAPR NO X Ozone Season Group 3 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 CSAPR NO X Ozone Season Group 3 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 designated representative must submit the additional information required to complete the certification application. If the 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.
(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).
(D) Audit decertification. The Administrator may issue a notice of disapproval of the certification status of a monitor in accordance with § 97.1032(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 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) 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) The 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.
§ 97.1032   Monitoring system out-of-control periods.
(a) General provisions. 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 § 97.1031 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 Administrator or any State or permitting authority. 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 § 97.1031 for each disapproved monitoring system.
§ 97.1033   Notifications concerning monitoring.
The designated representative of a CSAPR NO X Ozone Season Group 3 unit shall submit written notice to the Administrator in accordance with § 75.61 of this chapter.
§ 97.1034   Recordkeeping and reporting.
(a) General provisions. The designated representative shall comply with all recordkeeping and reporting requirements in paragraphs (b) through (e) of this section, the applicable recordkeeping and reporting requirements under § 75.73 of this chapter, and the requirements of § 97.1014(a).
(b) Monitoring plans. The owner or operator of a CSAPR NO X Ozone Season Group 3 unit shall comply with the requirements of § 75.73(c) and (e) of this chapter.
(c) Certification applications. The designated representative shall submit an application to the Administrator within 45 days after completing all initial certification or recertification tests required under § 97.1031, including the information required under § 75.63 of this chapter.
(d) Quarterly reports. The designated representative shall submit quarterly reports, as follows:
(1)(i) If a CSAPR NO X Ozone Season Group 3 unit is subject to the Acid Rain Program or the CSAPR NO X Annual Trading Program or if the owner or operator of such unit chooses to report on an annual basis under this subpart, then the 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 report the NO X mass emissions data and heat input data for such unit for the entire year.
(ii) If a CSAPR NO X Ozone Season Group 3 unit is not subject to the Acid Rain Program or the CSAPR NO X Annual Trading Program, then the designated representative shall either:
(A) Meet the requirements of subpart H of part 75 of this chapter for such unit for the entire year and report the NO X mass emissions data and heat input data for such unit for the entire year in accordance with paragraph (d)(1)(i) of this section; or
(B) Meet the requirements of subpart H of part 75 of this chapter (including the requirements in § 75.74(c) of this chapter) for such unit for the control period and report the 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.
(2) The designated representative shall report the NO X mass emissions data and heat input data for a CSAPR NO X Ozone Season Group 3 unit, in an electronic quarterly report in a format prescribed by the Administrator, for each calendar quarter indicated under paragraph (d)(1) of this section beginning by the latest of:
(i)(A) The calendar quarter covering May 1, 2021, through June 30, 2021, for a unit in a State (and Indian country within the borders of such State) listed in § 52.38(b)(2)(iii)(A) of this chapter;
(B) The calendar quarter covering May 1, 2023, through June 30, 2023, for a unit in a State (and Indian country within the borders of such State) listed in § 52.38(b)(2)(iii)(B) of this chapter; or
(C) The calendar quarter covering August 4, 2023, through September 30, 2023, for a unit in a State (and Indian country within the borders of such State) listed in § 52.38(b)(2)(iii)(C) of this chapter;
(ii) The calendar quarter corresponding to the earlier of the date of provisional certification or the applicable deadline for initial certification under § 97.1030(b); or
(iii) For a unit that reports on a control period basis under paragraph (d)(1)(ii)(B) of this section, if the calendar quarter under paragraph (d)(2)(ii) of this section does not include a month from May through September, the calendar quarter covering May 1 through June 30 immediately after the calendar quarter under paragraph (d)(2)(ii) of this section.
(3) The designated representative shall submit each quarterly report to the Administrator within 30 days after the end of the calendar quarter covered by the report, except that quarterly reports required for the calendar quarter covering May 1, 2023, through June 30, 2023, shall be submitted by August 4, 2023. 

 Quarterly reports shall be submitted in the manner specified in § 75.73(f) of this chapter.
(4) For CSAPR NO X Ozone Season Group 3 units that are also subject to the Acid Rain Program, CSAPR NO X Annual Trading Program, CSAPR SO 2 Group 1 Trading Program, or CSAPR SO 2 Group 2 Trading Program, quarterly reports shall include the applicable data and information required by subparts F through H 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. Notwithstanding the provisions of §§ 75.64(a), 75.73(f)(1), 97.434(d)(2), 97.634(d)(2), and 97.734(d)(2), the deadline for the designated representative of such a unit to submit the quarterly reports required under such additional programs for the calendar quarter covering May 1, 2023, through June 30, 2023, shall be August 4, 2023.
(5) The Administrator may review and conduct independent audits of any quarterly report in order to determine whether the quarterly report meets the requirements of this subpart and part 75 of this chapter, including the requirement to use substitute data.
(i) The Administrator will notify the designated representative of any determination that the quarterly report fails to meet any such requirements and specify in such notification any corrections that the Administrator believes are necessary to make through resubmission of the quarterly report and a reasonable time period within which the designated representative must respond. Upon request by the designated representative, the Administrator may specify reasonable extensions of such time period. Within the time period (including any such extensions) specified by the Administrator, the designated representative shall resubmit the quarterly report with the corrections specified by the Administrator, except to the extent the designated representative provides information demonstrating that a specified correction is not necessary because the quarterly report already meets the requirements of this subpart and part 75 of this chapter that are relevant to the specified correction.
(ii) Any resubmission of a quarterly report shall meet the requirements applicable to the submission of a quarterly report under this subpart and part 75 of this chapter, except for the deadline set forth in paragraph (d)(3) of this section.
(e) Compliance certification. The 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)(1)(ii)(B) 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.
§ 97.1035   Petitions for alternatives to monitoring, recordkeeping, or reporting requirements.
(a) The designated representative of a CSAPR NO X Ozone Season Group 3 unit may submit a petition under § 75.66 of this chapter to the Administrator, requesting approval to apply an alternative to any requirement of §§ 97.1030 through 97.1034.
(b) A petition submitted under paragraph (a) of this section shall include sufficient information for the evaluation of the petition, including, at a minimum, the following information:
(1) Identification of each unit and source covered by the petition;
(2) A detailed explanation of why the proposed alternative is being suggested in lieu of the requirement;
(3) A description and diagram of any equipment and procedures used in the proposed alternative;
(4) A demonstration that the proposed alternative is consistent with the purposes of the requirement for which the alternative is proposed and with the purposes of this subpart and part 75 of this chapter and that any adverse effect of approving the alternative will be de minimis; and
(5) Any other relevant information that the Administrator may require.
(c) Use of an alternative to any requirement referenced in paragraph (a) of this section is in accordance with this subpart only to the extent that the petition is approved in writing by the Administrator and that such use is in accordance with such approval.