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
§ 97.806   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 §§ 97.813 through 97.818.
(b) Emissions monitoring, reporting, and recordkeeping requirements. (1) The owners and operators, and the designated representative, of each CSAPR NO X Ozone Season Group 2 source and each CSAPR NO X Ozone Season Group 2 unit at the source shall comply with the monitoring, reporting, and recordkeeping requirements of §§ 97.830 through 97.835.
(2) The emissions data determined in accordance with §§ 97.830 through 97.835 shall be used to calculate allocations of CSAPR NO X Ozone Season Group 2 allowances under §§ 97.811(a)(2) and (b) and 97.812 and to determine compliance with the CSAPR NO X Ozone Season Group 2 emissions limitation and assurance provisions under paragraph (c) of this section, provided that, for each monitoring location from which mass emissions are reported, the mass emissions amount used in calculating such allocations and determining such compliance shall be the mass emissions amount for the monitoring location determined in accordance with §§ 97.830 through 97.835 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 2 emissions limitation. (i) As of the allowance transfer deadline for a control period in a given year, the owners and operators of each CSAPR NO X Ozone Season Group 2 source and each CSAPR NO X Ozone Season Group 2 unit at the source shall hold, in the source's compliance account, CSAPR NO X Ozone Season Group 2 allowances available for deduction for such source for such control period under § 97.824(a) in an amount not less than the tons of total NO X emissions for such control period from all CSAPR NO X Ozone Season Group 2 units at the source.
(ii) If total NO X emissions during a control period in a given year from the CSAPR NO X Ozone Season Group 2 units at a CSAPR NO X Ozone Season Group 2 source are in excess of the CSAPR NO X Ozone Season Group 2 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 2 unit at the source shall hold the CSAPR NO X Ozone Season Group 2 allowances required for deduction under § 97.824(d); and
(B) The owners and operators of the source and each CSAPR NO X Ozone Season Group 2 unit at the source shall pay any fine, penalty, or assessment or comply with any other remedy imposed, for the same violations, under the Clean Air Act, and each ton of such excess emissions and each day of such control period shall constitute a separate violation of this subpart and the Clean Air Act.
(2) CSAPR NO X Ozone Season Group 2 assurance provisions. (i) If total NO X emissions during a control period in a given year from all CSAPR NO X Ozone Season Group 2 units at CSAPR NO X Ozone Season Group 2 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 2 allowances available for deduction for such group for such control period under § 97.825(a) in an amount equal to two times the product (rounded to the nearest whole number), as determined by the Administrator in accordance with § 97.825(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 2 units at CSAPR NO X Ozone Season Group 2 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 2 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 2 units at CSAPR NO X Ozone Season Group 2 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 2 trading budget under § 97.810(a) and the State's variability limit under § 97.810(b).
(iv) It shall not be a violation of this subpart or of the Clean Air Act if total NO X emissions from all CSAPR NO X Ozone Season Group 2 units at CSAPR NO X Ozone Season Group 2 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 2 units at CSAPR NO X Ozone Season Group 2 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 2 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 2 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 2 unit shall be subject to the requirements under paragraphs (c)(1) and (2) of this section for the control period starting on the later of May 1, 2017 or the deadline for meeting the unit's monitor certification requirements under § 97.830(b) and for each control period thereafter.
(ii) [Reserved]
(4) Vintage and type of CSAPR NO X Ozone Season Group 2 allowances held for compliance. (i) A CSAPR NO X Ozone Season Group 2 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 2 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 2 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 2 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.
(iii) Except as provided in paragraph (c)(4)(iv) of this section, a CSAPR NO X Ozone Season Group 2 allowance held for compliance with the requirements under paragraphs (c)(1)(i), (c)(1)(ii)(A), and (c)(2)(i) through (iii) of this section must be a CSAPR NO X Ozone Season Original Group 2 allowance.
(iv) A CSAPR NO X Ozone Season Group 2 allowance held for compliance with the requirements under paragraphs (c)(1)(i), (c)(1)(ii)(A), and (c)(2)(i) through (iii) of this section for a source or group of sources in a State listed in § 52.38(b)(2)(ii)(D)( 1 ) of this chapter (and Indian country within the borders of such a State) for a control period after 2022 must be a CSAPR NO X Ozone Season Expanded Group 2 allowance.
(5) Allowance Management System requirements. Each CSAPR NO X Ozone Season Group 2 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 2 allowance is a limited authorization to emit one ton of NO X during the control period in one year. Such authorization is limited in its use and duration as follows:
(i) Such authorization shall only be used in accordance with the CSAPR NO X Ozone Season Group 2 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 2 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 2 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 §§ 97.830 through 97.835 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 2 source and each CSAPR NO X Ozone Season Group 2 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 § 97.816 for the designated representative for the source and each CSAPR NO X Ozone Season Group 2 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 § 97.816 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 2 Trading Program.
(2) The designated representative of a CSAPR NO X Ozone Season Group 2 source and each CSAPR NO X Ozone Season Group 2 unit at the source shall make all submissions required under the CSAPR NO X Ozone Season Group 2 Trading Program, except as provided in § 97.818. 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 2 Trading Program that applies to a CSAPR NO X Ozone Season Group 2 source or the designated representative of a CSAPR NO X Ozone Season Group 2 source shall also apply to the owners and operators of such source and of the CSAPR NO X Ozone Season Group 2 units at the source.
(2) Any provision of the CSAPR NO X Ozone Season Group 2 Trading Program that applies to a CSAPR NO X Ozone Season Group 2 unit or the designated representative of a CSAPR NO X Ozone Season Group 2 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 2 Trading Program or exemption under § 97.805 shall be construed as exempting or excluding the owners and operators, and the designated representative, of a CSAPR NO X Ozone Season Group 2 source or CSAPR NO X Ozone Season Group 2 unit from compliance with any other provision of the applicable, approved State implementation plan, a federally enforceable permit, or the Clean Air Act.
§ 97.807   Computation of time.
(a) Unless otherwise stated, any time period scheduled, under the CSAPR NO X Ozone Season Group 2 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 2 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 2 Trading Program, is not a business day, the time period shall be extended to the next business day.
§ 97.808   Administrative appeal procedures.
The administrative appeal procedures for decisions of the Administrator under the CSAPR NO X Ozone Season Group 2 Trading Program are set forth in part 78 of this chapter.
§ 97.809   [Reserved]
§ 97.810   State NOXOzone Season Group 2 trading budgets, new unit set-asides, Indian country new unit set-asides, and variability limits.
(a) The State NO X Ozone Season Group 2 trading budgets, new unit set-asides, and Indian country new unit set-asides for allocations of CSAPR NO X Ozone Season Group 2 allowances for the control periods in the years indicated are as follows:
(1) Alabama. (i) The NO X Ozone Season Group 2 trading budget for 2017 and thereafter is 13,211 tons.
(ii) The new unit set-aside for 2017 and thereafter is 255 tons.
(iii) The Indian country new unit set-aside for 2017 and thereafter is 13 tons.
(2) Arkansas. (i) The NO X Ozone Season Group 2 trading budget for 2017 is 12,048 tons and for 2018 and thereafter is 9,210 tons.
(ii) The new unit set-aside for 2017 is 240 tons and for 2018 and thereafter is 185 tons.
(iii) [Reserved]
(3) [Reserved]
(4) Illinois. (i) The NO X Ozone Season Group 2 trading budget for 2017 through 2020 is 14,601 tons.
(ii) The new unit set-aside for 2017 through 2020 is 302 tons.
(iii) [Reserved]
(iv) The NO X Ozone Season Group 2 trading budget for 2024 and thereafter is 8,059 tons.
(v) The new unit set-aside for 2024 and thereafter is 244 tons.
(vi) [Reserved]
(5) Indiana. (i) The NO X Ozone Season Group 2 trading budget for 2017 through 2020 is 23,303 tons.
(ii) The new unit set-aside for 2017 through 2020 is 468 tons.
(iii) [Reserved]
(iv) The NO X Ozone Season Group 2 trading budget for 2024 and thereafter is 11,245 tons.
(v) The new unit set-aside for 2024 and thereafter is 227 tons.
(vi) [Reserved]
(6) Iowa. (i) The NO X Ozone Season Group 2 trading budget for 2017 and thereafter is 11,272 tons.
(ii) The new unit set-aside for 2017 and thereafter is 324 tons.
(iii) The Indian country new unit set-aside for 2017 and thereafter is 11 tons.
(7) Kansas. (i) The NO X Ozone Season Group 2 trading budget for 2017 and thereafter is 8,027 tons.
(ii) The new unit set-aside for 2017 and thereafter is 148 tons.
(iii) The Indian country new unit set-aside for 2017 and thereafter is 8 tons.
(8) Kentucky. (i) The NO X Ozone Season Group 2 trading budget for 2017 through 2020 is 21,115 tons.
(ii) The new unit set-aside for 2017 through 2020 is 426 tons.
(iii) [Reserved]
(iv) The NO X Ozone Season Group 2 trading budget for 2023 and thereafter is 14,051 tons.
(v) The new unit set-aside for 2023 and thereafter is 283 tons.
(vi) [Reserved]
(9) Louisiana. (i) The NO X Ozone Season Group 2 trading budget for 2017 through 2020 is 18,639 tons.
(ii) The new unit set-aside for 2017 through 2020 is 352 tons.
(iii) The Indian country new unit set-aside for 2017 through 2020 is 19 tons.
(iv) The NO X Ozone Season Group 2 trading budget for 2023 and thereafter is 14,818 tons.
(v) The new unit set-aside for 2023 and thereafter is 430 tons.
(vi) The Indian country new unit set-aside for 2023 and thereafter is 15 tons.
(10) Maryland. (i) The NO X Ozone Season Group 2 trading budget for 2017 through 2020 is 3,828 tons.
(ii) The new unit set-aside for 2017 through 2020 is 152 tons.
(iii) [Reserved]
(iv) The NO X Ozone Season Group 2 trading budget for 2024 and thereafter is 1,348 tons.
(v) The new unit set-aside for 2024 and thereafter is 122 tons.
(vi) [Reserved]
(11) Michigan. (i) The NO X Ozone Season Group 2 trading budget for 2017 through 2020 is 17,023 tons.
(ii) The new unit set-aside for 2017 through 2020 is 665 tons.
(iii) The Indian country new unit set-aside for 2017 through 2020 is 17 tons.
(iv) The NO X Ozone Season Group 2 trading budget for 2024 and thereafter is 9,786 tons.
(v) The new unit set-aside for 2024 and thereafter is 382 tons.
(vi) The Indian country new unit set-aside for 2024 and thereafter is 10 tons.
(12) Mississippi. (i) The NO X Ozone Season Group 2 trading budget for 2017 and thereafter is 6,315 tons.
(ii) The new unit set-aside for 2017 and thereafter is 120 tons.
(iii) The Indian country new unit set-aside for 2017 and thereafter is 6 tons.
(13) Missouri. (i) The NO X Ozone Season Group 2 trading budget for 2017 and thereafter is 15,780 tons.
(ii) The new unit set-aside for 2017 and thereafter is 324 tons.
(iii) [Reserved]
(14) New Jersey. (i) The NO X Ozone Season Group 2 trading budget for 2017 through 2020 is 2,062 tons.
(ii) The new unit set-aside for 2017 through 2020 is 192 tons.
(iii) [Reserved]
(iv) The NO X Ozone Season Group 2 trading budget for 2024 and thereafter is 1,253 tons.
(v) The new unit set-aside for 2024 and thereafter is 27 tons.
(vi) [Reserved]
(15) New York. (i) The NO X Ozone Season Group 2 trading budget for 2017 through 2020 is 5,135 tons.
(ii) The new unit set-aside for 2017 through 2020 is 252 tons.
(iii) The Indian country new unit set-aside for 2017 through 2020 is 5 tons.
(iv) The NO X Ozone Season Group 2 trading budget for 2024 and thereafter is 3,403 tons.
(v) The new unit set-aside for 2024 and thereafter is 167 tons.
(vi) The Indian country new unit set-aside for 2024 and thereafter is 3 tons.
(16) Ohio. (i) The NO X Ozone Season Group 2 trading budget for 2017 through 2020 is 19,522 tons.
(ii) The new unit set-aside for 2017 through 2020 is 401 tons.
(iii) [Reserved]
(iv) The NO X Ozone Season Group 2 trading budget for 2024 and thereafter is 9,773 tons.
(v) The new unit set-aside for 2024 and thereafter is 290 tons.
(vi) [Reserved]
(17) Oklahoma. (i) The NO X Ozone Season Group 2 trading budget for 2017 and thereafter is 11,641 tons.
(ii) The new unit set-aside for 2017 and thereafter is 221 tons.
(iii) The Indian country new unit set-aside for 2017 and thereafter is 12 tons.
(18) Pennsylvania. (i) The NO X Ozone Season Group 2 trading budget for 2017 through 2020 is 17,952 tons.
(ii) The new unit set-aside for 2017 through 2020 is 541 tons.
(iii) [Reserved]
(iv) The NO X Ozone Season Group 2 trading budget for 2024 and thereafter is 8,373 tons.
(v) The new unit set-aside for 2024 and thereafter is 339 tons.
(vi) [Reserved]
(19) Tennessee. (i) The NO X Ozone Season Group 2 trading budget for 2017 and thereafter is 7,736 tons.
(ii) The new unit set-aside for 2017 and thereafter is 156 tons.
(iii) [Reserved]
(20) Texas. (i) The NO X Ozone Season Group 2 trading budget for 2017 and thereafter is 52,301 tons.
(ii) The new unit set-aside for 2017 and thereafter is 998 tons.
(iii) The Indian country new unit set-aside for 2017 and thereafter is 52 tons.
(21) Virginia. (i) The NO X Ozone Season Group 2 trading budget for 2017 through 2020 is 9,223 tons.
(ii) The new unit set-aside for 2017 through 2020 is 562 tons.
(iii) [Reserved]
(iv) The NO X Ozone Season Group 2 trading budget for 2024 and thereafter is 3,663 tons.
(v) The new unit set-aside for 2024 and thereafter is 150 tons.
(vi) [Reserved]
(22) West Virginia. (i) The NO X Ozone Season Group 2 trading budget for 2017 through 2020 is 17,815 tons.
(ii) The new unit set-aside for 2017 through 2020 is 356 tons.
(iii) [Reserved]
(iv) The NO X Ozone Season Group 2 trading budget for 2023 and thereafter is 12,884 tons.
(v) The new unit set-aside for 2023 and thereafter is 261 tons.
(vi) [Reserved]
(23) Wisconsin. (i) The NO X Ozone Season Group 2 trading budget for 2017 through 2022 and for 2024 and thereafter is 7,915 tons.
(ii) The new unit set-aside for 2017 through 2022 and for 2024 and thereafter is 151 tons.
(iii) The Indian country new unit set-aside for 2017 through 2022 and for 2024 and thereafter is 8 tons.
(b) The States' variability limits for the State NO X Ozone Season Group 2 trading budgets for the control periods in the years indicated are as follows:
(1) The variability limit for Alabama for 2017 and thereafter is 2,774 tons.
(2) The variability limit for Arkansas for 2017 is 2,530 tons and for 2018 and thereafter is 1,934 tons.
(3) [Reserved]
(4)(i) The variability limit for Illinois for 2017 through 2020 is 3,066 tons.
(ii) The variability limit for Illinois for 2024 and thereafter is 1,692 tons.
(5)(i) The variability limit for Indiana for 2017 through 2020 is 4,894 tons.
(ii) The variability limit for Indiana for 2024 and thereafter is 2,361 tons.
(6) The variability limit for Iowa for 2017 and thereafter is 2,367 tons.
(7) The variability limit for Kansas for 2017 and thereafter is 1,686 tons.
(8)(i) The variability limit for Kentucky for 2017 through 2020 is 4,434 tons.
(ii) The variability limit for Kentucky for 2023 and thereafter is 2,951 tons.
(9)(i) The variability limit for Louisiana for 2017 through 2020 is 3,914 tons.
(ii) The variability limit for Louisiana for 2023 and thereafter is 3,112 tons.
(10)(i) The variability limit for Maryland for 2017 through 2020 is 804 tons.
(ii) The variability limit for Maryland for 2024 and thereafter is 283 tons.
(11)(i) The variability limit for Michigan for 2017 through 2020 is 3,575 tons.
(ii) The variability limit for Michigan for 2024 and thereafter is 2,055 tons.
(12) The variability limit for Mississippi for 2017 and thereafter is 1,326 tons.
(13) The variability limit for Missouri for 2017 and thereafter is 3,314 tons.
(14)(i) The variability limit for New Jersey for 2017 through 2020 is 433 tons.
(ii) The variability limit for New Jersey for 2024 and thereafter is 263 tons.
(15)(i) The variability limit for New York for 2017 through 2020 is 1,078 tons.
(ii) The variability limit for New York for 2024 and thereafter is 715 tons.
(16)(i) The variability limit for Ohio for 2017 through 2020 is 4,100 tons.
(ii) The variability limit for Ohio for 2024 and thereafter is 2,052 tons.
(17) The variability limit for Oklahoma for 2017 and thereafter is 2,445 tons.
(18)(i) The variability limit for Pennsylvania for 2017 through 2020 is 3,770 tons.
(ii) The variability limit for Pennsylvania for 2024 and thereafter is 1,758 tons.
(19) The variability limit for Tennessee for 2017 and thereafter is 1,625 tons.
(20) The variability limit for Texas for 2017 and thereafter is 10,983 tons.
(21)(i) The variability limit for Virginia for 2017 through 2020 is 1,937 tons.
(ii) The variability limit for Virginia for 2024 and thereafter is 769 tons.
(22)(i) The variability limit for West Virginia for 2017 through 2020 is 3,741 tons.
(ii) The variability limit for West Virginia for 2023 and thereafter is 2,706 tons.
(23) The variability limit for Wisconsin for 2017 through 2022 and for 2024 and thereafter is 1,662 tons.
(c) Each State NO X Ozone Season Group 2 trading budget in this section includes any tons in a new unit set-aside or Indian country new unit set-aside but does not include any tons in a variability limit.
§ 97.811   Timing requirements for CSAPR NOXOzone Season Group 2 allowance allocations.
(a) Existing units. (1) CSAPR NO X Ozone Season Group 2 allowances are allocated, for the control periods in 2017 and each year thereafter, as provided in a notice of data availability issued by the Administrator. Providing an allocation to a unit in such notice does not constitute a determination that the unit is a CSAPR NO X Ozone Season Group 2 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 2 unit.
(2) Notwithstanding paragraph (a)(1) of this section:
(i) If a unit provided an allocation of CSAPR NO X Ozone Season Original Group 2 allowances in the applicable notice of data availability issued under paragraph (a)(1) of this section does not operate, starting after 2016, during the control period in two consecutive years, such unit will not be allocated the CSAPR NO X Ozone Season Original Group 2 allowances provided in such notice for the unit for the control periods in the fifth year after the first such year and in each year after that fifth year.
(ii) If a unit provided an allocation of CSAPR NO X Ozone Season Expanded Group 2 allowances in the applicable notice of data availability issued under paragraph (a)(1) of this section does not operate, starting after 2020, during the control period in two consecutive years, such unit will not be allocated the CSAPR NO X Ozone Season Expanded Group 2 allowances provided in such notice for the unit for the control periods in the fifth year after the first such year and in each year after that fifth year.
(iii) All CSAPR NO X Ozone Season Group 2 allowances that would otherwise have been allocated to a unit described in paragraph (a)(2)(i) or (ii) of this section will be allocated to the new unit set-aside for the State where such unit is located and for the respective years involved. If such unit resumes operation, the Administrator will allocate CSAPR NO X Ozone Season Group 2 allowances to the unit in accordance with paragraph (b) of this section.
(b) New units —(1) New unit set-asides. (i)(A) By June 1 of each year from 2017 through 2020, the Administrator will calculate the CSAPR NO X Ozone Season Group 2 allowance allocation to each CSAPR NO X Ozone Season Group 2 unit in a State and areas of Indian country within the borders of the State subject to the State's SIP authority, in accordance with § 97.812(a)(2) through (7) and (12) and §§ 97.806(b)(2) and 97.830 through 97.835, for the control period in the year of the applicable calculation deadline under this paragraph and will promulgate a notice of data availability of the results of the calculations.
(B) By March 1, 2022 and March 1 of each year thereafter, the Administrator will calculate the CSAPR NO X Ozone Season Group 2 allowance allocation to each CSAPR NO X Ozone Season Group 2 unit in a State and areas of Indian country within the borders of the State subject to the State's SIP authority, in accordance with § 97.812(a)(2) through (7), (10), and (12) and §§ 97.806(b)(2) and 97.830 through 97.835, for the control period in the year before the year of the applicable calculation deadline under this paragraph 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)(1)(i) of this section, the Administrator will provide an opportunity for submission of objections to the calculations referenced in such notice.
(A) Objections shall be submitted by the deadline specified in each notice of data availability required in paragraph (b)(1)(i) of this section and shall be limited to addressing whether the calculations (including the identification of the CSAPR NO X Ozone Season Group 2 units) are in accordance with the provisions referenced in paragraph (b)(1)(i)(A) or (B) of this section, as applicable.
(B) The Administrator will adjust the calculations to the extent necessary to ensure that they are in accordance with the provisions referenced in paragraph (b)(1)(i)(A) or (B) of this section, as applicable. By August 1 immediately after the promulgation of each notice of data availability required in paragraph (b)(1)(i)(A) of this section, or by May 1 immediately after the promulgation of each notice of data availability required in paragraph (b)(1)(i)(B) 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)(1)(ii)(A) of this section.
(iii) If the new unit set-aside for a control period before 2021 contains any CSAPR NO X Ozone Season Group 2 allowances that have not been allocated in the applicable notice of data availability required in paragraph (b)(1)(ii) of this section, the Administrator will promulgate, by December 15 immediately after such notice, a notice of data availability that identifies any CSAPR NO X Ozone Season Group 2 units that commenced commercial operation during the period starting January 1 of the year before the year of such control period and ending November 30 of the year of such control period.
(iv) For each notice of data availability required in paragraph (b)(1)(iii) of this section, the Administrator will provide an opportunity for submission of objections to the identification of CSAPR NO X Ozone Season Group 2 units in such notice.
(A) Objections shall be submitted by the deadline specified in each notice of data availability required in paragraph (b)(1)(iii) of this section and shall be limited to addressing whether the identification of CSAPR NO X Ozone Season Group 2 units in such notice is in accordance with paragraph (b)(1)(iii) of this section.
(B) The Administrator will adjust the identification of CSAPR NO X Ozone Season Group 2 units in each notice of data availability required in paragraph (b)(1)(iii) of this section to the extent necessary to ensure that it is in accordance with paragraph (b)(1)(iii) of this section and will calculate the CSAPR NO X Ozone Season Group 2 allowance allocation to each CSAPR NO X Ozone Season Group 2 unit in accordance with § 97.812(a)(9), (10), and (12) and §§ 97.806(b)(2) and 97.830 through 97.835. By February 15 immediately after the promulgation of each notice of data availability required in paragraph (b)(1)(iii) of this section, the Administrator will promulgate a notice of data availability of any adjustments of the identification of CSAPR NO X Ozone Season Group 2 units that the Administrator determines to be necessary, the reasons for accepting or rejecting any objections submitted in accordance with paragraph (b)(1)(iv)(A) of this section, and the results of such calculations.
(v) To the extent any CSAPR NO X Ozone Season Group 2 allowances are added to the new unit set-aside after promulgation of each notice of data availability required in paragraph (b)(1)(iv) of this section for a control period before 2021, or in paragraph (b)(1)(ii) of this section for a control period in 2021 or thereafter, the Administrator will promulgate additional notices of data availability, as deemed appropriate, of the allocation of such CSAPR NO X Ozone Season Group 2 allowances in accordance with § 97.812(a)(10).
(2) Indian country new unit set-asides. (i)(A) By June 1 of each year from 2017 through 2020, the Administrator will calculate the CSAPR NO X Ozone Season Group 2 allowance allocation to each CSAPR NO X Ozone Season Group 2 unit in areas of Indian country within the borders of a State not subject to the State's SIP authority, in accordance with § 97.812(b)(2) through (7) and (12) and §§ 97.806(b)(2) and 97.830 through 97.835, for the control period in the year of the applicable calculation deadline under this paragraph and will promulgate a notice of data availability of the results of the calculations.
(B) By March 1, 2022 and March 1 of each year thereafter, the Administrator will calculate the CSAPR NO X Ozone Season Group 2 allowance allocation to each CSAPR NO X Ozone Season Group 2 unit in areas of Indian country within the borders of a State not subject to the State's SIP authority, in accordance with § 97.812(b)(2) through (7), (10), and (12) and §§ 97.806(b)(2) and 97.830 through 97.835, for the control period in the year before the year of the applicable calculation deadline under this paragraph 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)(2)(i) of this section, the Administrator will provide an opportunity for submission of objections to the calculations referenced in such notice.
(A) Objections shall be submitted by the deadline specified in each notice of data availability required in paragraph (b)(2)(i) of this section and shall be limited to addressing whether the calculations (including the identification of the CSAPR NO X Ozone Season Group 2 units) are in accordance with the provisions referenced in paragraph (b)(2)(i)(A) or (B) of this section, as applicable.
(B) 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)(A) or (B) of this section, as applicable. By August 1 immediately after the promulgation of each notice of data availability required in paragraph (b)(2)(i)(A) of this section, or by May 1 immediately after the promulgation of each notice of data availability required in paragraph (b)(2)(i)(B) 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)(2)(ii)(A) of this section.
(iii) If the Indian country new unit set-aside for a control period before 2021 contains any CSAPR NO X Ozone Season Group 2 allowances that have not been allocated in the applicable notice of data availability required in paragraph (b)(2)(ii) of this section, the Administrator will promulgate, by December 15 immediately after such notice, a notice of data availability that identifies any CSAPR NO X Ozone Season Group 2 units that commenced commercial operation during the period starting January 1 of the year before the year of such control period and ending November 30 of the year of such control period.
(iv) For each notice of data availability required in paragraph (b)(2)(iii) of this section, the Administrator will provide an opportunity for submission of objections to the identification of CSAPR NO X Ozone Season Group 2 units in such notice.
(A) Objections shall be submitted by the deadline specified in each notice of data availability required in paragraph (b)(2)(iii) of this section and shall be limited to addressing whether the identification of CSAPR NO X Ozone Season Group 2 units in such notice is in accordance with paragraph (b)(2)(iii) of this section.
(B) The Administrator will adjust the identification of CSAPR NO X Ozone Season Group 2 units in each notice of data availability required in paragraph (b)(2)(iii) of this section to the extent necessary to ensure that it is in accordance with paragraph (b)(2)(iii) of this section and will calculate the CSAPR NO X Ozone Season Group 2 allowance allocation to each CSAPR NO X Ozone Season Group 2 unit in accordance with § 97.812(b)(9), (10), and (12) and §§ 97.806(b)(2) and 97.830 through 97.835. By February 15 immediately after the promulgation of each notice of data availability required in paragraph (b)(2)(iii) of this section, the Administrator will promulgate a notice of data availability of any adjustments of the identification of CSAPR NO X Ozone Season Group 2 units that the Administrator determines to be necessary, the reasons for accepting or rejecting any objections submitted in accordance with paragraph (b)(2)(iv)(A) of this section, and the results of such calculations.
(v) To the extent any CSAPR NO X Ozone Season Group 2 allowances are added to the Indian country new unit set-aside after promulgation of each notice of data availability required in paragraph (b)(2)(iv) of this section for a control period before 2021, or in paragraph (b)(2)(ii) of this section for a control period in 2021 or thereafter, the Administrator will promulgate additional notices of data availability, as deemed appropriate, of the allocation of such CSAPR NO X Ozone Season Group 2 allowances in accordance with § 97.812(b)(10).
(c) Units incorrectly allocated CSAPR NO X Ozone Season Group 2 allowances. (1) For each control period in 2017 and thereafter, if the Administrator determines that CSAPR NO X Ozone Season Group 2 allowances were allocated under paragraph (a) of this section, or under a provision of a SIP revision approved under § 52.38(b)(7), (8), or (9) of this chapter, where such control period and the recipient are covered by the provisions of paragraph (c)(1)(i) of this section or were allocated under § 97.812(a)(2) through (7), (9), and (12) and (b)(2) through (7), (9), and (12), or under a provision of a SIP revision approved under § 52.38(b)(8) or (9) of this chapter, where such control period and the recipient are covered by the provisions of paragraph (c)(1)(ii) 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)(A) The recipient is not actually a CSAPR NO X Ozone Season Group 2 unit under § 97.804 as of May 1, 2017 and is allocated CSAPR NO X Ozone Season Group 2 allowances for such control period or, in the case of an allocation under a provision of a SIP revision approved under § 52.38(b)(7), (8), or (9) of this chapter, the recipient is not actually a CSAPR NO X Ozone Season Group 2 unit as of May 1, 2017 and is allocated CSAPR NO X Ozone Season Group 2 allowances for such control period that the SIP revision provides should be allocated only to recipients that are CSAPR NO X Ozone Season Group 2 units as of May 1, 2017; or
(B) The recipient is not located as of May 1 of the control period in the State from whose NO X Ozone Season Group 2 trading budget the CSAPR NO X Ozone Season Group 2 allowances allocated under paragraph (a) of this section, or under a provision of a SIP revision approved under § 52.38(b)(7), (8), or (9) of this chapter, were allocated for such control period.
(ii) The recipient is not actually a CSAPR NO X Ozone Season Group 2 unit under § 97.804 as of May 1 of such control period and is allocated CSAPR NO X Ozone Season Group 2 allowances for such control period or, in the case of an allocation under a provision of a SIP revision approved under § 52.38(b)(8) or (9) of this chapter, the recipient is not actually a CSAPR NO X Ozone Season Group 2 unit as of May 1 of such control period and is allocated CSAPR NO X Ozone Season Group 2 allowances for such control period that the SIP revision provides should be allocated only to recipients that are CSAPR NO X Ozone Season Group 2 units as of May 1 of such control period.
(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 2 allowances under § 97.821.
(3) If the Administrator already recorded such CSAPR NO X Ozone Season Group 2 allowances under § 97.821 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 § 97.824(b) for such control period, then the Administrator will deduct from the account in which such CSAPR NO X Ozone Season Group 2 allowances were recorded an amount of CSAPR NO X Ozone Season Group 2 allowances allocated for the same or a prior control period equal to the amount of such already recorded CSAPR NO X Ozone Season Group 2 allowances. The authorized account representative shall ensure that there are sufficient CSAPR NO X Ozone Season Group 2 allowances in such account for completion of the deduction.
(4) If the Administrator already recorded such CSAPR NO X Ozone Season Group 2 allowances under § 97.821 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 § 97.824(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 2 allowances.
(5)(i) With regard to the CSAPR NO X Ozone Season Group 2 allowances that are not recorded, or that are deducted as an incorrect allocation, in accordance with paragraphs (c)(2) and (3) of this section for a recipient under paragraph (c)(1)(i) of this section, the Administrator will:
(A) Transfer such CSAPR NO X Ozone Season Group 2 allowances to the new unit set-aside for such control period (or a subsequent control period) for the State from whose NO X Ozone Season Group 2 trading budget the CSAPR NO X Ozone Season Group 2 allowances were allocated; or
(B) If the State has a SIP revision approved under § 52.38(b)(8) or (9) of this chapter covering such control period, include such CSAPR NO X Ozone Season Group 2 allowances in the portion of the State NO X Ozone Season Group 2 trading budget that may be allocated for such control period (or a subsequent control period) in accordance with such SIP revision.
(ii) With regard to the CSAPR NO X Ozone Season Group 2 allowances that were not allocated from the Indian country new unit set-aside for such control period and that are not recorded, or that are deducted as an incorrect allocation, in accordance with paragraphs (c)(2) and (3) of this section for a recipient under paragraph (c)(1)(ii) of this section, the Administrator will:
(A) Transfer such CSAPR NO X Ozone Season Group 2 allowances to the new unit set-aside for such control period (or a subsequent control period); or
(B) If the State has a SIP revision approved under § 52.38(b)(8) or (9) of this chapter covering such control period, include such CSAPR NO X Ozone Season Group 2 allowances in the portion of the State NO X Ozone Season Group 2 trading budget that may be allocated for such control period (or a subsequent control period) in accordance with such SIP revision.
(iii) With regard to the CSAPR NO X Ozone Season Group 2 allowances that were allocated from the Indian country new unit set-aside for such control period and that are not recorded, or that are deducted as an incorrect allocation, in accordance with paragraphs (c)(2) and (3) of this section for a recipient under paragraph (c)(1)(ii) of this section, the Administrator will transfer such CSAPR NO X Ozone Season Group 2 allowances to the Indian country new unit set-aside for such control period (or a subsequent control period).
(d) Recall of CSAPR NO X Ozone Season Original Group 2 allowances allocated for control periods in 2021 through 2024. (1) Notwithstanding any other provision of this subpart, part 52 of this chapter, or any SIP revision approved under § 52.38(b) of this chapter, the provisions of this paragraph and paragraphs (d)(2) through (7) of this section shall apply with regard to each CSAPR NO X Ozone Season Original Group 2 allowance that was allocated for a control period in 2021 through 2024 to any unit (including a permanently retired unit qualifying for an exemption under § 97.805) in a State listed in § 52.38(b)(2)(ii)(B) of this chapter (and Indian country within the borders of such a State) and that was initially recorded under § 97.821(d) or (e)(1) in the compliance account for the source that includes the unit, whether such CSAPR NO X Ozone Season Original Group 2 allowance was allocated pursuant to this subpart or pursuant to a SIP revision approved under § 52.38(b) of this chapter and whether such CSAPR NO X Ozone Season Original Group 2 allowance remains in such compliance account or has been transferred to another Allowance Management System account.
(2)(i) For each CSAPR NO X Ozone Season Original Group 2 allowance described in paragraph (d)(1) of this section that was allocated for a given control period and initially recorded in a given source's compliance account, one CSAPR NO X Ozone Season Original Group 2 allowance that was allocated for the same or an earlier control period and initially recorded in the same or any other Allowance Management System account must be surrendered in accordance with the procedures in paragraphs (d)(3) and (4) of this section.
(ii)(A) The surrender requirement under paragraph (d)(2)(i) of this section corresponding to each CSAPR NO X Ozone Season Original Group 2 allowance described in paragraph (d)(1) of this section initially recorded in a given source's compliance account shall apply to such source's current owners and operators, except as provided in paragraph (d)(2)(ii)(B) of this section.
(B) If the owners and operators of a given source as of a given date assumed ownership and operational control of the source through a transaction that did not also provide rights to direct the use or transfer of a given CSAPR NO X Ozone Season Original Group 2 allowance described in paragraph (d)(1) of this section with regard to such source (whether recordation of such CSAPR NO X Ozone Season Original Group 2 allowance in the source's compliance account occurred before such transaction or was anticipated to occur after such transaction), then the surrender requirement under paragraph (d)(2)(i) of this section corresponding to such CSAPR NO X Ozone Season Original Group 2 allowance shall apply to the most recent former owners and operators of the source before the occurrence of such a transaction.
(C) The Administrator will not adjudicate any private legal dispute among the owners and operators of a source or among the former owners and operators of a source, including any disputes relating to the requirements to surrender CSAPR NO X Ozone Season Original Group 2 allowances for the source under paragraph (d)(2)(i) of this section.
(3)(i) As soon as practicable on or after June 29, 2021, the Administrator will send a notification to the designated representative for each source described in paragraph (d)(1) of this section identifying the amounts of CSAPR NO X Ozone Season Original Group 2 allowances allocated for each control period after 2020 and recorded in the source's compliance account and the corresponding surrender requirements for the source under paragraph (d)(2)(i) of this section.
(ii) As soon as practicable on or after July 14, 2021, the Administrator will deduct from the compliance account for each source described in paragraph (d)(1) of this section CSAPR NO X Ozone Season Original Group 2 allowances eligible to satisfy the surrender requirements for the source under paragraph (d)(2)(i) of this section until all such surrender requirements for the source are satisfied or until no more CSAPR NO X Ozone Season Original Group 2 allowances eligible to satisfy such surrender requirements remain in such compliance account.
(iii) As soon as practicable after completion of the deductions under paragraph (d)(3)(ii) of this section, the Administrator will identify for each source described in paragraph (d)(1) of this section the amounts, if any, of CSAPR NO X Ozone Season Original Group 2 allowances allocated for each control period after 2020 and recorded in the source's compliance account for which the corresponding surrender requirements under paragraph (d)(2)(i) of this section have not been satisfied and will send a notification concerning such identified amounts to the designated representative for the source.
(iv) With regard to each source for which unsatisfied surrender requirements under paragraph (d)(2)(i) of this section remain after the deductions under paragraph (d)(3)(ii) of this section:
(A) Except as provided in paragraph (d)(3)(iv)(B) of this section, not later than September 15, 2021, the owners and operators of the source shall hold sufficient CSAPR NO X Ozone Season Original Group 2 allowances eligible to satisfy such unsatisfied surrender requirements under paragraph (d)(2)(i) of this section in the source's compliance account.
(B) With regard to any portion of such unsatisfied surrender requirements that apply to former owners and operators of the source pursuant to paragraph (d)(2)(ii)(B) of this section, not later than September 15, 2021, such former owners and operators shall hold sufficient CSAPR NO X Ozone Season Original Group 2 allowances eligible to satisfy such portion of the unsatisfied surrender requirements under paragraph (d)(2)(i) of this section either in the source's compliance account or in another Allowance Management System account identified to the Administrator on or before such date in a submission by the authorized account representative for such account.
(C) As soon as practicable on or after September 15, 2021, the Administrator will deduct from the Allowance Management System account identified in accordance with paragraph (d)(3)(iv)(A) or (B) of this section CSAPR NO X Ozone Season Original Group 2 allowances eligible to satisfy the surrender requirements for the source under paragraph (d)(2)(i) of this section until all such surrender requirements for the source are satisfied or until no more CSAPR NO X Ozone Season Original Group 2 allowances eligible to satisfy such surrender requirements remain in such account.
(v) When making deductions under paragraph (d)(3)(ii) or (iv) of this section to address the surrender requirements under paragraph (d)(2)(i) of this section for a given source:
(A) The Administrator will make deductions to address any surrender requirements with regard to first the 2021 control period, then the 2022 control period, then the 2023 control period, and finally the 2024 control period.
(B) When making deductions to address the surrender requirements with regard to a given control period, the Administrator will first deduct CSAPR NO X Ozone Season Original Group 2 allowances allocated for such given control period and will then deduct CSAPR NO X Ozone Season Original Group 2 allowances allocated for each successively earlier control period in sequence.
(C) When deducting CSAPR NO X Ozone Season Original Group 2 allowances allocated for a given control period from a given Allowance Management System account, the Administrator will first deduct CSAPR NO X Ozone Season Original Group 2 allowances initially recorded in the account under § 97.821 (if the account is a compliance account) in the order of recordation and will then deduct CSAPR NO X Ozone Season Original Group 2 allowances recorded in the account under § 97.526(d) or § 97.823 in the order of recordation.
(4)(i) To the extent the surrender requirements under paragraph (d)(2)(i) of this section corresponding to any CSAPR NO X Ozone Season Original Group 2 allowances allocated for a control period after 2020 and initially recorded in a given source's compliance account have not been fully satisfied through the deductions under paragraph (d)(3) of this section, as soon as practicable on or after November 15, 2021, the Administrator will deduct such initially recorded CSAPR NO X Ozone Season Original Group 2 allowances from any Allowance Management System accounts in which such CSAPR NO X Ozone Season Original Group 2 allowances are held, making such deductions in any order determined by the Administrator, until all such surrender requirements for such source have been satisfied or until all such CSAPR NO X Ozone Season Original Group 2 allowances have been deducted, except as provided in paragraph (d)(4)(ii) of this section.
(ii) If no person with an ownership interest in a given CSAPR NO X Ozone Season Original Group 2 allowance as of January 31, 2021 was an owner or operator of the source in whose compliance account such CSAPR NO X Ozone Season Original Group 2 allowance was initially recorded, was a direct or indirect parent or subsidiary of an owner or operator of such source, or was directly or indirectly under common ownership with an owner or operator of such source, the Administrator will not deduct such CSAPR NO X Ozone Season Original Group 2 allowance under paragraph (d)(4)(i) of this section. For purposes of this paragraph, each owner or operator of a source shall be deemed to be a person with an ownership interest in any CSAPR NO X Ozone Season Original Group 2 allowance held in that source's compliance account. The limitation established by this paragraph on the deductibility of certain CSAPR NO X Ozone Season Original Group 2 allowances under paragraph (d)(4)(i) of this section shall not be construed as a waiver of the surrender requirements under paragraph (d)(2)(i) of this section corresponding to such CSAPR NO X Ozone Season Original Group 2 allowances.
(iii) Not less than 45 days before the planned date for any deductions under paragraph (d)(4)(i) of this section, the Administrator will send a notification to the authorized account representative for the Allowance Management System account from which such deductions will be made identifying the CSAPR NO X Ozone Season Original Group 2 allowances to be deducted and the data upon which the Administrator has relied and specifying a process for submission of any objections to such data. Any objections must be submitted to the Administrator not later than 15 days before the planned date for such deductions as indicated in such notification.
(5) To the extent the surrender requirements under paragraph (d)(2)(i) of this section corresponding to any CSAPR NO X Ozone Season Original Group 2 allowances allocated for a control period after 2020 and initially recorded in a given source's compliance account have not been fully satisfied through the deductions under paragraphs (d)(3) and (4) of this section:
(i) The persons identified in accordance with paragraph (d)(2)(ii) of this section with regard to such source and each such CSAPR NO X Ozone Season Original Group 2 allowance shall pay any fine, penalty, or assessment or comply with any other remedy imposed under the Clean Air Act; and
(ii) Each such CSAPR NO X Ozone Season Original Group 2 allowance, and each day in such control period, shall constitute a separate violation of this subpart and the Clean Air Act.
(6) The Administrator will record in the appropriate Allowance Management System accounts all deductions of CSAPR NO X Ozone Season Original Group 2 allowances under paragraphs (d)(3) and (4) of this section.
(7)(i) Each submission, objection, or other written communication from a designated representative, authorized account representative, or other person to the Administrator under paragraph (d)(2), (3), or (4) of this section shall be sent electronically to the email address CSAPR@epa.gov . Each such communication from a designated representative must contain the certification statement set forth in § 97.814(a), and each such communication from the authorized account representative for a general account must contain the certification statement set forth in § 97.820(c)(2)(ii).
(ii) Each notification from the Administrator to a designated representative or authorized account representative under paragraph (d)(3) or (4) of this section will be sent electronically to the email address most recently received by the Administrator for such representative. In any such notification, the Administrator may provide information by means of a reference to a publicly accessible website where the information is available.
(e) Recall of CSAPR NO X Ozone Season Original Group 2 allowances allocated for control periods in 2023 and 2024. (1) Notwithstanding any other provision of this subpart, part 52 of this chapter, or any SIP revision approved under § 52.38(b) of this chapter, the provisions of this paragraph (e)(1) and paragraphs (e)(2) through (7) of this section shall apply with regard to each CSAPR NO X Ozone Season Original Group 2 allowance that was allocated for a control period in 2023 or 2024 to any unit (including a permanently retired unit qualifying for an exemption under § 97.805) in a State listed in § 52.38(b)(2)(ii)(C) of this chapter and not listed in § 52.38(b)(2)(iii)(D)( 2 ) of this chapter (and Indian country within the borders of such a State) and that was initially recorded under § 97.821(e)(1) in the compliance account for the source that includes the unit, whether such CSAPR NO X Ozone Season Original Group 2 allowance was allocated pursuant to this subpart or pursuant to a SIP revision approved under § 52.38(b) of this chapter and whether such CSAPR NO X Ozone Season Original Group 2 allowance remains in such compliance account or has been transferred to another Allowance Management System account.
(2)(i) For each CSAPR NO X Ozone Season Original Group 2 allowance described in paragraph (e)(1) of this section that was allocated for a given control period and initially recorded in a given source's compliance account, one CSAPR NO X Ozone Season Original Group 2 allowance that was allocated for the same or an earlier control period and initially recorded in the same or any other Allowance Management System account must be surrendered in accordance with the procedures in paragraphs (e)(3) and (4) of this section.
(ii)(A) The surrender requirement under paragraph (e)(2)(i) of this section corresponding to each CSAPR NO X Ozone Season Original Group 2 allowance described in paragraph (e)(1) of this section initially recorded in a given source's compliance account shall apply to such source's current owners and operators, except as provided in paragraph (e)(2)(ii)(B) of this section.
(B) If the owners and operators of a given source as of a given date assumed ownership and operational control of the source through a transaction that did not also provide rights to direct the use or transfer of a given CSAPR NO X Ozone Season Original Group 2 allowance described in paragraph (e)(1) of this section with regard to such source (whether recordation of such CSAPR NO X Ozone Season Original Group 2 allowance in the source's compliance account occurred before such transaction or was anticipated to occur after such transaction), then the surrender requirement under paragraph (e)(2)(i) of this section corresponding to such CSAPR NO X Ozone Season Original Group 2 allowance shall apply to the most recent former owners and operators of the source before the occurrence of such a transaction.
(C) The Administrator will not adjudicate any private legal dispute among the owners and operators of a source or among the former owners and operators of a source, including any disputes relating to the requirements to surrender CSAPR NO X Ozone Season Original Group 2 allowances for the source under paragraph (e)(2)(i) of this section.
(3)(i) As soon as practicable on or after August 4, 2023, the Administrator will send a notification to the designated representative for each source described in paragraph (e)(1) of this section identifying the amounts of CSAPR NO X Ozone Season Original Group 2 allowances allocated for each control period after 2022 and recorded in the source's compliance account and the corresponding surrender requirements for the source under paragraph (e)(2)(i) of this section.
(ii) As soon as practicable on or after August 21, 2023, the Administrator will deduct from the compliance account for each source described in paragraph (e)(1) of this section CSAPR NO X Ozone Season Original Group 2 allowances eligible to satisfy the surrender requirements for the source under paragraph (e)(2)(i) of this section until all such surrender requirements for the source are satisfied or until no more CSAPR NO X Ozone Season Original Group 2 allowances eligible to satisfy such surrender requirements remain in such compliance account.
(iii) As soon as practicable after completion of the deductions under paragraph (e)(3)(ii) of this section, the Administrator will identify for each source described in paragraph (e)(1) of this section the amounts, if any, of CSAPR NO X Ozone Season Original Group 2 allowances allocated for each control period after 2022 and recorded in the source's compliance account for which the corresponding surrender requirements under paragraph (e)(2)(i) of this section have not been satisfied and will send a notification concerning such identified amounts to the designated representative for the source.
(iv) With regard to each source for which unsatisfied surrender requirements under paragraph (e)(2)(i) of this section remain after the deductions under paragraph (e)(3)(ii) of this section:
(A) Except as provided in paragraph (e)(3)(iv)(B) of this section, not later than September 15, 2023, the owners and operators of the source shall hold sufficient CSAPR NO X Ozone Season Original Group 2 allowances eligible to satisfy such unsatisfied surrender requirements under paragraph (e)(2)(i) of this section in the source's compliance account.
(B) With regard to any portion of such unsatisfied surrender requirements that apply to former owners and operators of the source pursuant to paragraph (e)(2)(ii)(B) of this section, not later than September 15, 2023, such former owners and operators shall hold sufficient CSAPR NO X Ozone Season Original Group 2 allowances eligible to satisfy such portion of the unsatisfied surrender requirements under paragraph (e)(2)(i) of this section either in the source's compliance account or in another Allowance Management System account identified to the Administrator on or before such date in a submission by the authorized account representative for such account.
(C) As soon as practicable on or after September 15, 2023, the Administrator will deduct from the Allowance Management System account identified in accordance with paragraph (e)(3)(iv)(A) or (B) of this section CSAPR NO X Ozone Season Original Group 2 allowances eligible to satisfy the surrender requirements for the source under paragraph (e)(2)(i) of this section until all such surrender requirements for the source are satisfied or until no more CSAPR NO X Ozone Season Original Group 2 allowances eligible to satisfy such surrender requirements remain in such account.
(v) When making deductions under paragraph (e)(3)(ii) or (iv) of this section to address the surrender requirements under paragraph (e)(2)(i) of this section for a given source:
(A) The Administrator will make deductions to address any surrender requirements with regard to first the 2023 control period and then the 2024 control period.
(B) When making deductions to address the surrender requirements with regard to a given control period, the Administrator will first deduct CSAPR NO X Ozone Season Original Group 2 allowances allocated for such given control period and will then deduct CSAPR NO X Ozone Season Original Group 2 allowances allocated for each successively earlier control period in sequence.
(C) When deducting CSAPR NO X Ozone Season Original Group 2 allowances allocated for a given control period from a given Allowance Management System account, the Administrator will first deduct CSAPR NO X Ozone Season Original Group 2 allowances initially recorded in the account under § 97.821 (if the account is a compliance account) in the order of recordation and will then deduct CSAPR NO X Ozone Season Original Group 2 allowances recorded in the account under § 97.526(d) or § 97.823 in the order of recordation.
(4)(i) To the extent the surrender requirements under paragraph (e)(2)(i) of this section corresponding to any CSAPR NO X Ozone Season Original Group 2 allowances allocated for a control period after 2022 and initially recorded in a given source's compliance account have not been fully satisfied through the deductions under paragraph (e)(3) of this section, as soon as practicable on or after November 15, 2023, the Administrator will deduct such initially recorded CSAPR NO X Ozone Season Original Group 2 allowances from any Allowance Management System accounts in which such CSAPR NO X Ozone Season Original Group 2 allowances are held, making such deductions in any order determined by the Administrator, until all such surrender requirements for such source have been satisfied or until all such CSAPR NO X Ozone Season Original Group 2 allowances have been deducted, except as provided in paragraph (e)(4)(ii) of this section.
(ii) If no person with an ownership interest in a given CSAPR NO X Ozone Season Original Group 2 allowance as of April 30, 2022, was an owner or operator of the source in whose compliance account such CSAPR NO X Ozone Season Original Group 2 allowance was initially recorded, was a direct or indirect parent or subsidiary of an owner or operator of such source, or was directly or indirectly under common ownership with an owner or operator of such source, the Administrator will not deduct such CSAPR NO X Ozone Season Original Group 2 allowance under paragraph (e)(4)(i) of this section. For purposes of this paragraph (e)(4)(ii), each owner or operator of a source shall be deemed to be a person with an ownership interest in any CSAPR NO X Ozone Season Original Group 2 allowance held in that source's compliance account. The limitation established by this paragraph (e)(4)(ii) on the deductibility of certain CSAPR NO X Ozone Season Original Group 2 allowances under paragraph (e)(4)(i) of this section shall not be construed as a waiver of the surrender requirements under paragraph (e)(2)(i) of this section corresponding to such CSAPR NO X Ozone Season Original Group 2 allowances.
(iii) Not less than 45 days before the planned date for any deductions under paragraph (e)(4)(i) of this section, the Administrator will send a notification to the authorized account representative for the Allowance Management System account from which such deductions will be made identifying the CSAPR NO X Ozone Season Original Group 2 allowances to be deducted and the data upon which the Administrator has relied and specifying a process for submission of any objections to such data. Any objections must be submitted to the Administrator not later than 15 days before the planned date for such deductions as indicated in such notification.
(5) To the extent the surrender requirements under paragraph (e)(2)(i) of this section corresponding to any CSAPR NO X Ozone Season Original Group 2 allowances allocated for a control period after 2022 and initially recorded in a given source's compliance account have not been fully satisfied through the deductions under paragraphs (e)(3) and (4) of this section:
(i) The persons identified in accordance with paragraph (e)(2)(ii) of this section with regard to such source and each such CSAPR NO X Ozone Season Original Group 2 allowance shall pay any fine, penalty, or assessment or comply with any other remedy imposed under the Clean Air Act; and
(ii) Each such CSAPR NO X Ozone Season Original Group 2 allowance, and each day in such control period, shall constitute a separate violation of this subpart and the Clean Air Act.
(6) The Administrator will record in the appropriate Allowance Management System accounts all deductions of CSAPR NO X Ozone Season Original Group 2 allowances under paragraphs (e)(3) and (4) of this section.
(7)(i) Each submission, objection, or other written communication from a designated representative, authorized account representative, or other person to the Administrator under paragraph (e)(2), (3), or (4) of this section shall be sent electronically to the email address CSAPR@epa.gov . Each such communication from a designated representative must contain the certification statement set forth in § 97.814(a), and each such communication from the authorized account representative for a general account must contain the certification statement set forth in § 97.820(c)(2)(ii).
(ii) Each notification from the Administrator to a designated representative or authorized account representative under paragraph (e)(3) or (4) of this section will be sent electronically to the email address most recently received by the Administrator for such representative. In any such notification, the Administrator may provide information by means of a reference to a publicly accessible website where the information is available.
§ 97.812   CSAPR NOXOzone Season Group 2 allowance allocations to new units.
(a) Allocations from new unit set-asides. For each control period in 2017 and thereafter and for the CSAPR NO X Ozone Season Group 2 units in each State and areas of Indian country within the borders of the State subject to the State's SIP authority, the Administrator will allocate CSAPR NO X Ozone Season Group 2 allowances to the CSAPR NO X Ozone Season Group 2 units as follows:
(1) The CSAPR NO X Ozone Season Group 2 allowances will be allocated to the following CSAPR NO X Ozone Season Group 2 units, except as provided in paragraph (a)(10) of this section:
(i) CSAPR NO X Ozone Season Group 2 units that are not allocated an amount of CSAPR NO X Ozone Season Group 2 allowances in the notice of data availability issued under § 97.811(a)(1) and that have deadlines for certification of monitoring systems under § 97.830(b) not later than September 30 of the year of the control period;
(ii) CSAPR NO X Ozone Season Group 2 units whose allocation of an amount of CSAPR NO X Ozone Season Group 2 allowances for such control period in the notice of data availability issued under § 97.811(a)(1) is covered by § 97.811(c)(2) or (3);
(iii) CSAPR NO X Ozone Season Group 2 units that are allocated an amount of CSAPR NO X Ozone Season Group 2 allowances for such control period in the notice of data availability issued under § 97.811(a)(1), which allocation is terminated for such control period pursuant to § 97.811(a)(2), and that operate during the control period immediately preceding such control period, for allocations for a control period before 2021, or that operate during such control period, for allocations for a control period in 2021 or thereafter; or
(iv) For purposes of paragraph (a)(9) of this section, CSAPR NO X Ozone Season Group 2 units under § 97.811(c)(1)(ii) whose allocation of an amount of CSAPR NO X Ozone Season Group 2 allowances for such control period in the notice of data availability issued under § 97.811(b)(1)(ii)(B) is covered by § 97.811(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 2 allowances in an amount equal to the applicable amount of tons of NO X emissions as set forth in § 97.810(a) and will be allocated additional CSAPR NO X Ozone Season Group 2 allowances (if any) in accordance with § 97.811(a)(2) and (c)(5) and paragraph (b)(10) of this section.
(3) The Administrator will determine, for each CSAPR NO X Ozone Season Group 2 unit described in paragraph (a)(1) of this section, an allocation of CSAPR NO X Ozone Season Group 2 allowances for the latest of the following control periods and for each subsequent control period:
(i) The control period in 2017;
(ii)(A) The first control period after the control period in which the CSAPR NO X Ozone Season Group 2 unit commences commercial operation, for allocations for a control period before 2021; or
(B) The control period containing the deadline for certification of the CSAPR NO X Ozone Season Group 2 unit's monitoring systems under § 97.830(b), for allocations for a control period in 2021 or thereafter;
(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 2 unit operates in the State and areas of Indian country within the borders of the State 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 2 allowances; and
(iv) For a unit described in paragraph (a)(1)(iii) of this section, the first control period after the control period in which the unit resumes operation, for allocations for a control period before 2021, or the control period in which the unit resumes operation, for allocations for a control period in 2021 or thereafter.
(4)(i) The allocation to each CSAPR NO X Ozone Season Group 2 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 immediately preceding control period, for allocations for a control period before 2021, or the unit's total tons of NO X emissions during the control period, for allocations for a control period in 2021 or thereafter.
(ii) 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 2 allowances determined for all such CSAPR NO X Ozone Season Group 2 units under paragraph (a)(4)(i) of this section in the State and areas of Indian country within the borders of the State subject to the State's SIP authority for such control period.
(6) If the amount of CSAPR NO X Ozone Season Group 2 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 2 allowances determined for each such CSAPR NO X Ozone Season Group 2 unit under paragraph (a)(4)(i) of this section.
(7) If the amount of CSAPR NO X Ozone Season Group 2 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 2 unit the amount of the CSAPR NO X Ozone Season Group 2 allowances determined under paragraph (a)(4)(i) of this section for the unit, multiplied by the amount of CSAPR NO X Ozone Season Group 2 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) For a control period before 2021, the Administrator will notify the public, through the promulgation of the notices of data availability described in § 97.811(b)(1)(i) and (ii), of the amount of CSAPR NO X Ozone Season Group 2 allowances allocated under paragraphs (a)(2) through (7) and (12) of this section for such control period to each CSAPR NO X Ozone Season Group 2 unit eligible for such allocation.
(9) For a control period before 2021, if, after completion of the procedures under paragraphs (a)(5) through (8) of this section for such control period, any unallocated CSAPR NO X Ozone Season Group 2 allowances remain in the new unit set-aside for the State for such control period, the Administrator will allocate such CSAPR NO X Ozone Season Group 2 allowances as follows—
(i) The Administrator will determine, for each unit described in paragraph (a)(1) of this section that commenced commercial operation during the period starting January 1 of the year before the year of such control period and ending November 30 of the year of such control period, the positive difference (if any) between the unit's emissions during such control period and the amount of CSAPR NO X Ozone Season Group 2 allowances referenced in the notice of data availability required under § 97.811(b)(1)(ii) for the unit for such control period;
(ii) The Administrator will determine the sum of the positive differences determined under paragraph (a)(9)(i) of this section;
(iii) If the amount of unallocated CSAPR NO X Ozone Season Group 2 allowances remaining in the new unit set-aside for the State for such control period is greater than or equal to the sum determined under paragraph (a)(9)(ii) of this section, then the Administrator will allocate the amount of CSAPR NO X Ozone Season Group 2 allowances determined for each such CSAPR NO X Ozone Season Group 2 unit under paragraph (a)(9)(i) of this section; and
(iv) If the amount of unallocated CSAPR NO X Ozone Season Group 2 allowances remaining in the new unit set-aside for the State for such control period is less than the sum under paragraph (a)(9)(ii) of this section, then the Administrator will allocate to each such CSAPR NO X Ozone Season Group 2 unit the amount of the CSAPR NO X Ozone Season Group 2 allowances determined under paragraph (a)(9)(i) of this section for the unit, multiplied by the amount of unallocated CSAPR NO X Ozone Season Group 2 allowances remaining in the new unit set-aside for such control period, divided by the sum under paragraph (a)(9)(ii) of this section, and rounded to the nearest allowance.
(10) If, after completion of the procedures under paragraphs (a)(9) and (12) of this section for a control period before 2021, or under paragraphs (a)(2) through (7) and (12) of this section for a control period in 2021 or thereafter, any unallocated CSAPR NO X Ozone Season Group 2 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 2 unit that is in the State and areas of Indian country within the borders of the State subject to the State's SIP authority, is allocated an amount of CSAPR NO X Ozone Season Group 2 allowances in the notice of data availability issued under § 97.811(a)(1), and continues to be allocated CSAPR NO X Ozone Season Group 2 allowances for such control period in accordance with § 97.811(a)(2), an amount of CSAPR NO X Ozone Season Group 2 allowances equal to the following: The total amount of such remaining unallocated CSAPR NO X Ozone Season Group 2 allowances in such new unit set-aside, multiplied by the unit's allocation under § 97.811(a) for such control period, divided by the remainder of the amount of tons in the applicable State NO X Ozone Season Group 2 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.
(11)(i) For a control period before 2021, the Administrator will notify the public, through the promulgation of the notices of data availability described in § 97.811(b)(1)(iii), (iv), and (v), of the amount of CSAPR NO X Ozone Season Group 2 allowances allocated under paragraphs (a)(9), (10), and (12) of this section for such control period to each CSAPR NO X Ozone Season Group 2 unit eligible for such allocation.
(ii) For a control period in 2021 or thereafter, the Administrator will notify the public, through the promulgation of the notices of data availability described in § 97.811(b)(1)(i), (ii), and (v), of the amount of CSAPR NO X Ozone Season Group 2 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 2 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 before 2021 under paragraph (a)(7) of this section, paragraphs (a)(6) and (a)(9)(iv) of this section, or paragraphs (a)(6), (a)(9)(iii), and (a)(10) of this section, or for a control period in 2021 or thereafter 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 2 units in descending order based on such units' allocation amounts under paragraph (a)(7), (a)(9)(iv), or (a)(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 2 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.
(b) Allocations from Indian country new unit set-asides. For each control period in 2017 and thereafter and for the CSAPR NO X Ozone Season Group 2 units in areas of Indian country within the borders of each State not subject to the State's SIP authority, the Administrator will allocate CSAPR NO X Ozone Season Group 2 allowances to the CSAPR NO X Ozone Season Group 2 units as follows:
(1) The CSAPR NO X Ozone Season Group 2 allowances will be allocated to the following CSAPR NO X Ozone Season Group 2 units, except as provided in paragraph (b)(10) of this section:
(i) CSAPR NO X Ozone Season Group 2 units that are not allocated an amount of CSAPR NO X Ozone Season Group 2 allowances in the notice of data availability issued under § 97.811(a)(1) and that have deadlines for certification of monitoring systems under § 97.830(b) not later than September 30 of the year of the control period; or
(ii) For purposes of paragraph (b)(9) of this section, CSAPR NO X Ozone Season Group 2 units under § 97.811(c)(1)(ii) whose allocation of an amount of CSAPR NO X Ozone Season Group 2 allowances for such control period in the notice of data availability issued under § 97.811(b)(2)(ii)(B) is covered by § 97.811(c)(2) or (3).
(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 2 allowances in an amount equal to the applicable amount of tons of NO X emissions as set forth in § 97.810(a) and will be allocated additional CSAPR NO X Ozone Season Group 2 allowances (if any) in accordance with § 97.811(c)(5).
(3) The Administrator will determine, for each CSAPR NO X Ozone Season Group 2 unit described in paragraph (b)(1) of this section, an allocation of CSAPR NO X Ozone Season Group 2 allowances for the later of the following control periods and for each subsequent control period:
(i) The control period in 2017; and
(ii)(A) The first control period after the control period in which the CSAPR NO X Ozone Season Group 2 unit commences commercial operation, for allocations for a control period before 2021; or
(B) The control period containing the deadline for certification of the CSAPR NO X Ozone Season Group 2 unit's monitoring systems under § 97.830(b), for allocations for a control period in 2021 or thereafter.
(4)(i) The allocation to each CSAPR NO X Ozone Season Group 2 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 immediately preceding control period, for allocations for a control period before 2021, or the unit's total tons of NO X emissions during the control period, for allocations for a control period in 2021 or thereafter.
(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 2 allowances determined for all such CSAPR NO X Ozone Season Group 2 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 2 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 2 allowances determined for each such CSAPR NO X Ozone Season Group 2 unit under paragraph (b)(4)(i) of this section.
(7) If the amount of CSAPR NO X Ozone Season Group 2 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 2 unit the amount of the CSAPR NO X Ozone Season Group 2 allowances determined under paragraph (b)(4)(i) of this section for the unit, multiplied by the amount of CSAPR NO X Ozone Season Group 2 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) For a control period before 2021, the Administrator will notify the public, through the promulgation of the notices of data availability described in § 97.811(b)(2)(i) and (ii), of the amount of CSAPR NO X Ozone Season Group 2 allowances allocated under paragraphs (b)(2) through (7) and (12) of this section for such control period to each CSAPR NO X Ozone Season Group 2 unit eligible for such allocation.
(9) For a control period before 2021, if, after completion of the procedures under paragraphs (b)(5) through (8) of this section for such control period, any unallocated CSAPR NO X Ozone Season Group 2 allowances remain in the Indian country new unit set-aside for the State for such control period, the Administrator will allocate such CSAPR NO X Ozone Season Group 2 allowances as follows—
(i) The Administrator will determine, for each unit described in paragraph (b)(1) of this section that commenced commercial operation during the period starting January 1 of the year before the year of such control period and ending November 30 of the year of such control period, the positive difference (if any) between the unit's emissions during such control period and the amount of CSAPR NO X Ozone Season Group 2 allowances referenced in the notice of data availability required under § 97.811(b)(2)(ii) for the unit for such control period;
(ii) The Administrator will determine the sum of the positive differences determined under paragraph (b)(9)(i) of this section;
(iii) If the amount of unallocated CSAPR NO X Ozone Season Group 2 allowances remaining in the Indian country new unit set-aside for the State for such control period is greater than or equal to the sum determined under paragraph (b)(9)(ii) of this section, then the Administrator will allocate the amount of CSAPR NO X Ozone Season Group 2 allowances determined for each such CSAPR NO X Ozone Season Group 2 unit under paragraph (b)(9)(i) of this section; and
(iv) If the amount of unallocated CSAPR NO X Ozone Season Group 2 allowances remaining in the Indian country new unit set-aside for the State for such control period is less than the sum under paragraph (b)(9)(ii) of this section, then the Administrator will allocate to each such CSAPR NO X Ozone Season Group 2 unit the amount of the CSAPR NO X Ozone Season Group 2 allowances determined under paragraph (b)(9)(i) of this section for the unit, multiplied by the amount of unallocated CSAPR NO X Ozone Season Group 2 allowances remaining in the Indian country new unit set-aside for such control period, divided by the sum under paragraph (b)(9)(ii) of this section, and rounded to the nearest allowance.
(10) If, after completion of the procedures under paragraphs (b)(9) and (12) of this section for a control period before 2021, or under paragraphs (b)(2) through (7) and (12) of this section for a control period in 2021 or thereafter, any unallocated CSAPR NO X Ozone Season Group 2 allowances remain in the Indian country new unit set-aside for the State for such control period, the Administrator will:
(i) Transfer such unallocated CSAPR NO X Ozone Season Group 2 allowances to the new unit set-aside for the State for such control period; or
(ii) If the State has a SIP revision approved under §  52.38(b)(8) or (9) of this chapter covering such control period, include such unallocated CSAPR NO X Ozone Season Group 2 allowances in the portion of the State NO X Ozone Season Group 2 trading budget that may be allocated for such control period in accordance with such SIP revision.
(11)(i) For a control period before 2021, the Administrator will notify the public, through the promulgation of the notices of data availability described in § 97.811(b)(2)(iii), (iv), and (v), of the amount of CSAPR NO X Ozone Season Group 2 allowances allocated under paragraphs (b)(9), (10), and (12) of this section for such control period to each CSAPR NO X Ozone Season Group 2 unit eligible for such allocation.
(ii) For a control period in 2021 or thereafter, the Administrator will notify the public, through the promulgation of the notices of data availability described in § 97.811(b)(2)(i), (ii), and (v), of the amount of CSAPR NO X Ozone Season Group 2 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 2 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 before 2021 under paragraph (b)(7) of this section or paragraphs (b)(6) and (b)(9)(iv) of this section, or for a control period in 2021 or thereafter 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 2 units in descending order based on such units' allocation amounts under paragraph (b)(7) or (b)(9)(iv) 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 2 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.
§ 97.813   Authorization of designated representative and alternate designated representative.
(a) Except as provided under § 97.815, each CSAPR NO X Ozone Season Group 2 source, including all CSAPR NO X Ozone Season Group 2 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 2 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 2 units at the source and shall act in accordance with the certification statement in § 97.816(a)(4)(iii).
(2) Upon and after receipt by the Administrator of a complete certificate of representation under § 97.816:
(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 2 unit at the source in all matters pertaining to the CSAPR NO X Ozone Season Group 2 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 2 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 § 97.815, each CSAPR NO X Ozone Season Group 2 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 2 units at the source and shall act in accordance with the certification statement in § 97.816(a)(4)(iii).
(2) Upon and after receipt by the Administrator of a complete certificate of representation under § 97.816,
(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 2 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, § 97.802, and §§ 97.814 through 97.818, 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.
§ 97.814   Responsibilities of designated representative and alternate designated representative.
(a) Except as provided under § 97.818 concerning delegation of authority to make submissions, each submission under the CSAPR NO X Ozone Season Group 2 Trading Program shall be made, signed, and certified by the designated representative or alternate designated representative for each CSAPR NO X Ozone Season Group 2 source and CSAPR NO X Ozone Season Group 2 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 2 source or a CSAPR NO X Ozone Season Group 2 unit only if the submission has been made, signed, and certified in accordance with paragraph (a) of this section and § 97.818.
§ 97.815   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 § 97.816. 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 2 source and the CSAPR NO X Ozone Season Group 2 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 § 97.816. 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 2 source and the CSAPR NO X Ozone Season Group 2 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 2 source or a CSAPR NO X Ozone Season Group 2 unit at the source is not included in the list of owners and operators in the certificate of representation under § 97.816, 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 2 source or a CSAPR NO X Ozone Season Group 2 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 § 97.816 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 2 source (including the addition or removal of a unit), the designated representative or any alternate designated representative shall submit a certificate of representation under § 97.816 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.
§ 97.816   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 2 source, and each CSAPR NO X Ozone Season Group 2 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 2 source and of each CSAPR NO X Ozone Season Group 2 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 2 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 2 Trading Program on behalf of the owners and operators of the source and of each CSAPR NO X Ozone Season Group 2 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.”
(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 2 unit, or where a utility or industrial customer purchases power from a CSAPR NO X Ozone Season Group 2 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 2 unit at the source; and CSAPR NO X Ozone Season Group 2 allowances and proceeds of transactions involving CSAPR NO X Ozone Season Group 2 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 2 allowances by contract, CSAPR NO X Ozone Season Group 2 allowances and proceeds of transactions involving CSAPR NO X Ozone Season Group 2 allowances will be deemed to be held or distributed in accordance with the contract.”
(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 § 97.1016 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 3” in place of the phrase “CSAPR NO X Ozone Season Group 2” 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 2” appeared in place of the phrase “TR NO X Ozone Season” or the phrase “CSAPR NO X Ozone Season Group 3”.
§ 97.817   Objections concerning designated representative and alternate designated representative.
(a) Once a complete certificate of representation under § 97.816 has been submitted and received, the Administrator will rely on the certificate of representation unless and until a superseding complete certificate of representation under § 97.816 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 2 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 2 allowance transfers.
§ 97.818   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 97.818(d) shall be deemed to be an electronic submission by me.”
(ii) “Until this notice of delegation is superseded by another notice of delegation under 40 CFR 97.818(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 97.818 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)(1) A notice of delegation submitted under paragraph (c) of this section or § 97.518(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” in place of the terms “40 CFR 97.818(d)” and “40 CFR 97.818”, 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 97.818(d)” and “40 CFR 97.818” appeared in place of the terms “40 CFR 97.518(d)” and “40 CFR 97.518”, respectively.
(2) A notice of delegation submitted under paragraph (c) of this section or § 97.1018(c) that complies with the provisions of paragraph (c) of this section except that it contains the terms “40 CFR 97.1018(d)” and “40 CFR 97.1018” in place of the terms “40 CFR 97.818(d)” and “40 CFR 97.818”, 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 97.818(d)” and “40 CFR 97.818” appeared in place of the terms “40 CFR 97.1018(d)” and “40 CFR 97.1018”, respectively.
§ 97.819   [Reserved]
§ 97.820   Establishment of compliance accounts, assurance accounts, and general accounts.
(a) Compliance accounts. Upon receipt of a complete certificate of representation under § 97.816, the Administrator will establish a compliance account for the CSAPR NO X Ozone Season Group 2 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 § 97.825(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 2 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 2 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 2 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 2 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 2 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 § 97.1020(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 3” in place of the phrase “CSAPR NO X Ozone Season Group 2” 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 2” appeared in place of the phrase “TR NO X Ozone Season” or the phrase “CSAPR NO X Ozone Season Group 3”.
(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 2 allowances held in the general account in all matters pertaining to the CSAPR NO X Ozone Season Group 2 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 2 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 2 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 2 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 3” will be interpreted for purposes of this subpart as if the phrase “CSAPR NO X Ozone Season Group 2” appeared in place of the phrase “TR NO X Ozone Season” or the phrase “CSAPR NO X Ozone Season Group 3”.
(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 2 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 2 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 2 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 2 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 2 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 2 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 2 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 97.820(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 97.820(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 97.820(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) A notice of delegation submitted under paragraph (c)(5)(iii) of this section or § 97.520(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)” in place of the terms “40 CFR 97.820(c)(5)(iv)” and “40 CFR 97.820(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 97.820(c)(5)(iv)” and “40 CFR 97.820(c)(5)” appeared in place of the terms “40 CFR 97.520(c)(5)(iv)” and “40 CFR 97.520(c)(5)”, respectively.
(B) A notice of delegation submitted under paragraph (c)(5)(iii) of this section or § 97.1020(c)(5)(iii) that complies with the provisions of paragraph (c)(5)(iii) of this section except that it contains the terms “40 CFR 97.1020(c)(5)(iv)” and “40 CFR 97.1020(c)(5)” in place of the terms “40 CFR 97.820(c)(5)(iv)” and “40 CFR 97.820(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 97.820(c)(5)(iv)” and “40 CFR 97.820(c)(5)” appeared in place of the terms “40 CFR 97.1020(c)(5)(iv)” and “40 CFR 97.1020(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 2 allowance transfer under § 97.822 for any CSAPR NO X Ozone Season Group 2 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 2 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 2 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 2 allowance transfer under § 97.822 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 2 allowances in the account, only if the submission has been made, signed, and certified in accordance with §§ 97.814(a) and 97.818 or paragraphs (c)(2)(ii) and (c)(5) of this section.
§ 97.821   Recordation of CSAPR NOXOzone Season Group 2 allowance allocations and auction results.
(a) By January 9, 2017, the Administrator will record in each CSAPR NO X Ozone Season Group 2 source's compliance account the CSAPR NO X Ozone Season Group 2 allowances allocated to the CSAPR NO X Ozone Season Group 2 units at the source in accordance with § 97.811(a) for the control period in 2017.
(b) By January 9, 2017, the Administrator will record in each CSAPR NO X Ozone Season Group 2 source's compliance account the CSAPR NO X Ozone Season Group 2 allowances allocated to the CSAPR NO X Ozone Season Group 2 units at the source in accordance with § 97.811(a) for the control period in 2018, unless the State in which the source is located notifies the Administrator in writing by December 27, 2016 of the State's intent to submit to the Administrator a complete SIP revision by April 1, 2017 meeting the requirements of § 52.38(b)(7)(i) through (iv) of this chapter.
(1) If, by April 1, 2017 the State does not submit to the Administrator such complete SIP revision, the Administrator will record by April 15, 2017 in each CSAPR NO X Ozone Season Group 2 source's compliance account the CSAPR NO X Ozone Season Group 2 allowances allocated to the CSAPR NO X Ozone Season Group 2 units at the source in accordance with § 97.811(a) for the control period in 2018.
(2) If the State submits to the Administrator by April 1, 2017 and the Administrator approves by October 1, 2017 such complete SIP revision, the Administrator will record by October 1, 2017 in each CSAPR NO X Ozone Season Group 2 source's compliance account the CSAPR NO X Ozone Season Group 2 allowances allocated to the CSAPR NO X Ozone Season Group 2 units at the source as provided in such approved, complete SIP revision for the control period in 2018.
(3) If the State submits to the Administrator by April 1, 2017 and the Administrator does not approve by October 1, 2017 such complete SIP revision, the Administrator will record by October 1, 2017 in each CSAPR NO X Ozone Season Group 2 source's compliance account the CSAPR NO X Ozone Season Group 2 allowances allocated to the CSAPR NO X Ozone Season Group 2 units at the source in accordance with § 97.811(a) for the control period in 2018.
(c) By July 1, 2018, the Administrator will record in each CSAPR NO X Ozone Season Group 2 source's compliance account the CSAPR NO X Ozone Season Group 2 allowances allocated to the CSAPR NO X Ozone Season Group 2 units at the source, or in each appropriate Allowance Management System account the CSAPR NO X Ozone Season Group 2 allowances auctioned to CSAPR NO X Ozone Season Group 2 units, in accordance with § 97.811(a), or with a SIP revision approved under § 52.38(b)(8) or (9) of this chapter, for the control periods in 2019 and 2020.
(d) By July 1, 2019, the Administrator will record in each CSAPR NO X Ozone Season Group 2 source's compliance account the CSAPR NO X Ozone Season Group 2 allowances allocated to the CSAPR NO X Ozone Season Group 2 units at the source, or in each appropriate Allowance Management System account the CSAPR NO X Ozone Season Group 2 allowances auctioned to CSAPR NO X Ozone Season Group 2 units, in accordance with § 97.811(a), or with a SIP revision approved under § 52.38(b)(8) or (9) of this chapter, for the control periods in 2021 and 2022.
(e)(1) By July 1, 2020, the Administrator will record in each CSAPR NO X Ozone Season Group 2 source's compliance account the CSAPR NO X Ozone Season Original Group 2 allowances allocated to the CSAPR NO X Ozone Season Group 2 units at the source, or in each appropriate Allowance Management System account the CSAPR NO X Ozone Season Original Group 2 allowances auctioned to CSAPR NO X Ozone Season Group 2 units, in accordance with § 97.811(a), or with a SIP revision approved under § 52.38(b)(8) or (9) of this chapter, for the control periods in 2023 and 2024.
(2) After the Administrator has carried out the procedures in § 97.811(d), for sources 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), by September 5, 2023, or, with regard to sources in West Virginia, as soon as practicable on or after September 29, 2023, the Administrator will record in each CSAPR NO X Ozone Season Group 2 source's compliance account the CSAPR NO X Ozone Season Expanded Group 2 allowances allocated to the CSAPR NO X Ozone Season Group 2 units at the source in accordance with § 97.811(a) for the control periods in 2023 and 2024.
(3) After the Administrator has carried out the procedures in § 97.811(d), for sources 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), as soon as practicable on or after December 6, 2024, the Administrator will record in each CSAPR NO X Ozone Season Group 2 source's compliance account the CSAPR NO X Ozone Season Expanded Group 2 allowances allocated to the CSAPR NO X Ozone Season Group 2 units at the source in accordance with § 97.811(a) for the control period in 2024, with the following adjustments:
(i) The quantity of CSAPR NO X Ozone Season Expanded Group 2 allowances recorded in the compliance account for Gilbert Generating Station (plant ID 2393) will be the quantity allocated in accordance with § 97.811(a) minus 3.
(ii) The quantity of CSAPR NO X Ozone Season Expanded Group 2 allowances recorded in the compliance account for Warren (plant ID 3132) will be the quantity allocated in accordance with § 97.811(a) plus 3.
(iii) The quantity of CSAPR NO X Ozone Season Expanded Group 2 allowances recorded in the compliance account for Baldwin Energy Complex (plant ID 889) will be the quantity allocated in accordance with § 97.811(a) minus 50.
(iv) The quantity of CSAPR NO X Ozone Season Expanded Group 2 allowances recorded in the compliance account for Midland Cogeneration Venture (plant ID 10745) will be the quantity allocated in accordance with § 97.811(a) plus 50.
(v) The quantity of CSAPR NO X Ozone Season Expanded Group 2 allowances recorded in the compliance account for PEI Power Corporation (plant ID 50279) will be the quantity allocated in accordance with § 97.811(a) minus 8.
(4) After the Administrator has carried out the procedures in § 97.811(e), for sources 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), as soon as practicable on or after December 6, 2024, the Administrator will record in each CSAPR NO X Ozone Season Group 2 source's compliance account the CSAPR NO X Ozone Season Original Group 2 allowances allocated to the CSAPR NO X Ozone Season Group 2 units at the source in accordance with § 97.811(a) for the control period in 2024.
(f) By July 1, 2024, or, for sources 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), as soon as practicable on or after December 6, 2024, and by July 1 of each year thereafter, the Administrator will record in each CSAPR NO X Ozone Season Group 2 source's compliance account the CSAPR NO X Ozone Season Group 2 allowances allocated to the CSAPR NO X Ozone Season Group 2 units at the source, or in each appropriate Allowance Management System account the CSAPR NO X Ozone Season Group 2 allowances auctioned to CSAPR NO X Ozone Season Group 2 units, in accordance with § 97.811(a), or with a SIP revision approved under § 52.38(b)(8) or (9) of this chapter, for the control period in the year after the year of the applicable recordation deadline under this paragraph.
(g)(1) By August 1 of each year from 2017 through 2020, the Administrator will record in each CSAPR NO X Ozone Season Group 2 source's compliance account the CSAPR NO X Ozone Season Group 2 allowances allocated to the CSAPR NO X Ozone Season Group 2 units at the source, or in each appropriate Allowance Management System account the CSAPR NO X Ozone Season Group 2 allowances auctioned to CSAPR NO X Ozone Season Group 2 units, in accordance with § 97.812(a)(2) through (8) and (12), or with a SIP revision approved under § 52.38(b)(8) or (9) of this chapter, for the control period in the year of the applicable recordation deadline under this paragraph.
(2) By May 1, 2022 and May 1 of each year thereafter, the Administrator will record in each CSAPR NO X Ozone Season Group 2 source's compliance account the CSAPR NO X Ozone Season Group 2 allowances allocated to the CSAPR NO X Ozone Season Group 2 units at the source, or in each appropriate Allowance Management System account the CSAPR NO X Ozone Season Group 2 allowances auctioned to CSAPR NO X Ozone Season Group 2 units, in accordance with § 97.812(a), or with a SIP revision approved under § 52.38(b)(8) or (9) of this chapter, for the control period in the year before the year of the applicable recordation deadline under this paragraph.
(h)(1) By August 1 of each year from 2017 through 2020, the Administrator will record in each CSAPR NO X Ozone Season Group 2 source's compliance account the CSAPR NO X Ozone Season Group 2 allowances allocated to the CSAPR NO X Ozone Season Group 2 units at the source in accordance with § 97.812(b)(2) through (8) and (12) for the control period in the year of the applicable recordation deadline under this paragraph.
(2) By May 1, 2022 and May 1 of each year thereafter, the Administrator will record in each CSAPR NO X Ozone Season Group 2 source's compliance account the CSAPR NO X Ozone Season Group 2 allowances allocated to the CSAPR NO X Ozone Season Group 2 units at the source in accordance with § 97.812(b) for the control period in the year before the year of the applicable recordation deadline under this paragraph.
(i) By February 15 of each year from 2018 through 2021, the Administrator will record in each CSAPR NO X Ozone Season Group 2 source's compliance account the CSAPR NO X Ozone Season Group 2 allowances allocated to the CSAPR NO X Ozone Season Group 2 units at the source in accordance with § 97.812(a)(9) through (12) for the control period in the year before the year of the applicable recordation deadline under this paragraph.
(j) By February 15 of each year from 2018 through 2021, the Administrator will record in each CSAPR NO X Ozone Season Group 2 source's compliance account the CSAPR NO X Ozone Season Group 2 allowances allocated to the CSAPR NO X Ozone Season Group 2 units at the source in accordance with § 97.812(b)(9) through (12) 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 (j) of this section, of CSAPR NO X Ozone Season Group 2 allowances to a recipient is made by or are submitted to the Administrator in accordance with § 97.811 or § 97.812 or with a SIP revision approved under § 52.38(b)(8) or (9) 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 2 allowances to a CSAPR NO X Ozone Season Group 2 unit or other entity in an Allowance Management System account, the Administrator will assign each CSAPR NO X Ozone Season Group 2 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 2 allowance is allocated or auctioned.
§ 97.822   Submission of CSAPR NOXOzone Season Group 2 allowance transfers.
(a) An authorized account representative seeking recordation of a CSAPR NO X Ozone Season Group 2 allowance transfer shall submit the transfer to the Administrator.
(b) A CSAPR NO X Ozone Season Group 2 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 2 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 2 allowance identified by serial number in the transfer.
§ 97.823   Recordation of CSAPR NOXOzone Season Group 2 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 2 allowance transfer that is correctly submitted under § 97.822, the Administrator will record a CSAPR NO X Ozone Season Group 2 allowance transfer by moving each CSAPR NO X Ozone Season Group 2 allowance from the transferor account to the transferee account as specified in the transfer.
(b) A CSAPR NO X Ozone Season Group 2 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 2 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 § 97.824 for the control period immediately before such allowance transfer deadline.
(c) Where a CSAPR NO X Ozone Season Group 2 allowance transfer is not correctly submitted under § 97.822, the Administrator will not record such transfer.
(d) Within 5 business days of recordation of a CSAPR NO X Ozone Season Group 2 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 2 allowance transfer that is not correctly submitted under § 97.822, 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.
§ 97.824   Compliance with CSAPR NOXOzone Season Group 2 emissions limitation.
(a) Availability for deduction for compliance. CSAPR NO X Ozone Season Group 2 allowances are available to be deducted for compliance with a source's CSAPR NO X Ozone Season Group 2 emissions limitation for a control period in a given year only if the CSAPR NO X Ozone Season Group 2 allowances:
(1) Were allocated or auctioned for such control period or a control period in a prior year;
(2) Are held in the source's compliance account as of the allowance transfer deadline for such control period;
(3) Are CSAPR NO X Ozone Season Original Group 2 allowances, if the deductions are not for compliance with the CSAPR NO X Ozone Season Group 2 emissions limitation of a source in a State listed in § 52.38(b)(2)(ii)(D)( 1 ) of this chapter (and Indian country within the borders of such a State) for a control period after 2022; and
(4) Are CSAPR NO X Ozone Season Expanded Group 2 allowances, if the deductions are for compliance with the CSAPR NO X Ozone Season Group 2 emissions limitation of a source in a State listed in § 52.38(b)(2)(ii)(D)( 1 ) of this chapter (and Indian country within the borders of such a State) for a control period after 2022.
(b) Deductions for compliance. After the recordation, in accordance with § 97.823, of CSAPR NO X Ozone Season Group 2 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 2 allowances available under paragraph (a) of this section in order to determine whether the source meets the CSAPR NO X Ozone Season Group 2 emissions limitation for such control period, as follows:
(1) Until the amount of CSAPR NO X Ozone Season Group 2 allowances deducted equals the number of tons of total NO X emissions from all CSAPR NO X Ozone Season Group 2 units at the source for such control period; or
(2) If there are insufficient CSAPR NO X Ozone Season Group 2 allowances to complete the deductions in paragraph (b)(1) of this section, until no more CSAPR NO X Ozone Season Group 2 allowances available under paragraph (a) of this section remain in the compliance account.
(c) Selection of CSAPR NO X Ozone Season Group 2 allowances for deduction —(1) Identification by serial number. The designated representative for a source may request that specific CSAPR NO X Ozone Season Group 2 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 2 source and the appropriate serial numbers.
(2) First-in, first-out. The Administrator will deduct CSAPR NO X Ozone Season Group 2 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 2 allowances in such request, on a first-in, first-out accounting basis in the following order:
(i) Any CSAPR NO X Ozone Season Group 2 allowances that were recorded in the compliance account pursuant to § 97.821 and not transferred out of the compliance account, in the order of recordation; and then
(ii) Any other CSAPR NO X Ozone Season Group 2 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 § 97.526 or § 97.1026, 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 2 source has excess emissions, the Administrator will deduct from the source's compliance account an amount of CSAPR NO X Ozone Season Group 2 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, provided that—
(1) The allowances deducted shall be CSAPR NO X Ozone Season Original Group 2 allowances, if the excess emissions are not from a source in a State listed in § 52.38(b)(2)(ii)(D)( 1 ) of this chapter (and Indian country within the borders of such a State) for a control period after 2022; and
(2) The allowances deducted shall be CSAPR NO X Ozone Season Expanded Group 2 allowances, if the excess emissions are from a source in a State listed in § 52.38(b)(2)(ii)(D)( 1 ) of this chapter (and Indian country within the borders of such a State) for a control period after 2022.
(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.
§ 97.825   Compliance with CSAPR NOXOzone Season Group 2 assurance provisions.
(a) Availability for deduction. CSAPR NO X Ozone Season Group 2 allowances are available to be deducted for compliance with the CSAPR NO X Ozone Season Group 2 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 2 sources and units in a State (and Indian country within the borders of such State) only if the CSAPR NO X Ozone Season Group 2 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;
(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 2 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;
(3) Are CSAPR NO X Ozone Season Original Group 2 allowances, if the deductions are not for compliance with the CSAPR NO X Ozone Season Group 2 assurance provisions by the owners and operators of a group of sources in a State listed in § 52.38(b)(2)(ii)(D)( 1 ) of this chapter (and Indian country within the borders of such a State) for a control period after 2022; and
(4) Are CSAPR NO X Ozone Season Expanded Group 2 allowances, if the deductions are for compliance with the CSAPR NO X Ozone Season Group 2 assurance provisions by the owners and operators of a group of sources in a State listed in § 52.38(b)(2)(ii)(D)( 1 ) of this chapter (and Indian country within the borders of such a State) for a control period after 2022.
(b) Deductions for compliance. The Administrator will deduct CSAPR NO X Ozone Season Group 2 allowances available under paragraph (a) of this section for compliance with the CSAPR NO X Ozone Season Group 2 assurance provisions for a State for a control period in a given year in accordance with the following procedures:
(1) By June 1 of each year from 2018 through 2021 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 2 units at CSAPR NO X Ozone Season Group 2 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 § 97.806(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 2 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 2 units at CSAPR NO X Ozone Season Group 2 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 2 allowances that the owners and operators of such group of sources and units must hold in accordance with the calculation formula in § 97.806(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 2 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 § 97.806(c)(2)(iii), §§ 97.806(b) and 97.830 through 97.835, the definitions of “common designated representative”, “common designated representative's assurance level”, and “common designated representative's share” in § 97.802, and the calculation formula in § 97.806(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 2 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 2 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 2 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 2 sources, CSAPR NO X Ozone Season Group 2 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 2 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 § 97.823, of CSAPR NO X Ozone Season Group 2 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 2 sources, CSAPR NO X Ozone Season Group 2 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 2 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 2 allowances that the owners and operators are required to hold in accordance with § 97.806(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 2 allowances that owners and operators are required to hold in accordance with the calculation formula in § 97.806(c)(2)(i) for such control period with regard to the CSAPR NO X Ozone Season Group 2 sources, CSAPR NO X Ozone Season Group 2 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 2 allowances that the owners and operators are required to hold for such control period with regard to the CSAPR NO X Ozone Season Group 2 sources, CSAPR NO X Ozone Season Group 2 units, and State (and Indian country within the borders of such State) involved—
(A) Where the amount of CSAPR NO X Ozone Season Group 2 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 2 allowances in the assurance account established by the Administrator for the appropriate CSAPR NO X Ozone Season Group 2 sources, CSAPR NO X Ozone Season Group 2 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 2 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 2 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 2 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 2 sources, CSAPR NO X Ozone Season Group 2 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 2 allowances held in such assurance account equal to the amount of the decrease. If CSAPR NO X Ozone Season Group 2 allowances were transferred to such assurance account from more than one account, the amount of CSAPR NO X Ozone Season Group 2 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 2 allowances transferred to such assurance account for such control period from such transferor account.
(C) Each CSAPR NO X Ozone Season Group 2 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 2 assurance provisions for such control period must be a CSAPR NO X Ozone Season Group 2 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.
§ 97.826   Banking and conversion.
(a) A CSAPR NO X Ozone Season Group 2 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 2 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 2 allowance is deducted or transferred under § 97.811(c), (d), or (e), § 97.823, § 97.824, § 97.825, § 97.827, or § 97.828, 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 2 trading budget is established under § 97.810(a) for a given State and after completion of the procedures under paragraphs (d)(1) and (2) of this section, the Administrator may record a transfer of any CSAPR NO X Ozone Season Group 2 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) Notwithstanding any other provision of this subpart, part 52 of this chapter, or any SIP revision approved under § 52.38(b)(8) or (9) of this chapter:
(1) By August 13, 2021, the Administrator will temporarily suspend acceptance of CSAPR NO X Ozone Season Group 2 allowance transfers submitted under § 97.822 and, before resuming acceptance of such transfers, will take the following actions:
(i) The Administrator will determine each of the following values:
(A) The total amount of CSAPR NO X Ozone Season Original Group 2 allowances allocated for the control periods in 2017 through 2020 attributable to the States listed in  § 52.38(b)(2)(ii)(B) of this chapter (and Indian country within the borders of such States), computed as the sum of the State NO X Ozone Season Group 2 trading budgets under § 97.810(a) for such States for all such control periods plus the product of 1.5 multiplied by the sum of the variability limits under § 97.810(b) for such States for the control period in 2017.
(B) The total tons of NO X emissions reported in accordance with §§ 97.806(b) and 97.830 through 97.835 for all CSAPR NO X Ozone Season Group 2 units at CSAPR NO X Ozone Season Group 2 sources in the States listed in § 52.38(b)(2)(ii)(B) of this chapter (and Indian country within the borders of such States) for the control periods in 2017 through 2020.
(C) The full-season CSAPR NO X Ozone Season Group 3 allowance bank target, computed as the sum for all States listed in § 52.38(b)(2)(iii)(A) of this chapter of the variability limits under § 97.1010(e) for such States for the control period in 2022.
(D) A conversion factor, computed as the quotient, rounded down to the nearest whole number, of the remainder of the total amount of CSAPR NO X Ozone Season Original Group 2 allowances determined under paragraph (d)(1)(i)(A) of this section minus the total tons of NO X emissions determined under paragraph (d)(1)(i)(B) of this section divided by the full-season CSAPR NO X Ozone Season Group 3 allowance bank target determined under paragraph (d)(1)(i)(C) of this section.
(E) The adjusted CSAPR NO X Ozone Season Group 3 allowance bank target, computed as the product, rounded to the nearest allowance, of the full-season CSAPR NO X Ozone Season Group 3 allowance bank target determined under paragraph (d)(1)(i)(C) of this section multiplied by a fraction whose numerator is the number of days from June 29, 2021 through September 30, 2021, inclusive, and whose denominator is 153.
(ii) The Administrator will allocate CSAPR NO X Ozone Season Group 3 allowances for the control period in 2021 to sources in States listed in § 52.38(b)(2)(iii)(A) of this chapter (and Indian country within the borders of such States) as follows:
(A) The Administrator will determine for each such source the source's maximum share, computed as the quotient, rounded down to the nearest whole number, of the amount of CSAPR NO X Ozone Season Original Group 2 allowances allocated for control periods before 2021 held in the source's compliance account divided by the conversion factor determined under paragraph (d)(1)(i)(D) of this section.
(B) The Administrator will determine a source allocation scaling factor, computed as the lesser of 1.0000 or the quotient, expressed to four decimal places, of the adjusted CSAPR NO X Ozone Season Group 3 allowance bank target determined under paragraph (d)(1)(i)(E) of this section divided by the sum for all such sources of the maximum shares under paragraph (d)(1)(ii)(A) of this section.
(C) The Administrator will allocate to each such source an amount of CSAPR NO X Ozone Season Group 3 allowances computed as the product, rounded to the nearest allowance, of such source's maximum share under paragraph (d)(1)(ii)(A) of this section multiplied by the source allocation scaling factor determined under paragraph (d)(1)(ii)(B) of this section.
(iii) If the sum for all sources of the allocations under paragraph (d)(1)(ii)(C) of this section is less than the adjusted CSAPR NO X Ozone Season Group 3 allowance bank target determined under paragraph (d)(1)(i)(E) of this section, the Administrator will allocate CSAPR NO X Ozone Season Group 3 allowances for the control period in 2021 to general accounts as follows:
(A) The Administrator will determine for each general account the account's maximum share, computed as the quotient, rounded down to the nearest whole number, of the amount of CSAPR NO X Ozone Season Original Group 2 allowances allocated for control periods before 2021 held in the account divided by the conversion factor determined under paragraph (d)(1)(i)(D) of this section.
(B) The Administrator will determine a general account allocation scaling factor, computed as the lesser of 1.0000 or the quotient, expressed to four decimal places, of the remainder of the adjusted CSAPR NO X Ozone Season Group 3 allowance bank target determined under paragraph (d)(1)(i)(E) of this section minus the sum for all sources of the allocations under paragraph (d)(1)(ii)(C) of this section divided by the sum for all general accounts of the maximum shares under paragraph (d)(1)(iii)(A) of this section.
(C) The Administrator will allocate to each general account an amount of CSAPR NO X Ozone Season Group 3 allowances computed as the product, rounded to the nearest allowance, of such account's maximum share under paragraph (d)(1)(iii)(A) of this section multiplied by the general account allocation scaling factor determined under paragraph (d)(1)(iii)(B) of this section.
(iv) For the compliance account of each source, and for each general account, to which an amount of CSAPR NO X Ozone Season Group 3 allowances greater than zero is allocated under paragraph (d)(1)(ii)(C) or (d)(1)(iii)(C) of this section, respectively:
(A) The Administrator will determine the amount of CSAPR NO X Ozone Season Original Group 2 allowances required to be deducted from the account, computed as the product of the amount of CSAPR NO X Ozone Season Group 3 allowances allocated to the source or general account under paragraph (d)(1)(ii)(C) or (d)(1)(iii)(C) of this section multiplied by the conversion factor determined under paragraph (d)(1)(i)(D) of this section. The Administrator will deduct CSAPR NO X Ozone Season Original Group 2 allowances allocated for control periods before 2021 from the account on a first-in, first-out basis in the order set forth in § 97.824(c)(2)(i) and (ii).
(B) The Administrator will record in the account the allocations of CSAPR NO X Ozone Season Group 3 allowances under paragraph (d)(1)(ii)(C) or (d)(1)(iii)(C) of this section and the deductions of CSAPR NO X Ozone Season Original Group 2 allowances under paragraph (d)(1)(iv)(A) of this section.
(2)(i) During the period beginning February 1, 2022 and ending February 28, 2022, the designated representative for a source in a State listed in § 52.38(b)(2)(iii)(A) of this chapter (and Indian country within the borders of such a State) may request that the Administrator allocate additional CSAPR NO X Ozone Season Group 3 allowances for the control period in 2021 to the source pursuant to paragraph (d)(2)(ii) of this section. Any such request shall be submitted to the Administrator electronically at the email address CSAPR@epa.gov.
(ii) For each source covered by a request under paragraph (d)(2)(i) of this section, as soon as practicable on or after March 1, 2022, the Administrator will deduct from the source's compliance account, on a first-in, first-out basis in the order set forth in § 97.824(c)(2)(i) and (ii), the maximum number of sets of 18 CSAPR NO X Ozone Season Original Group 2 allowances allocated for control periods before 2021 available in the compliance account. The Administrator will then allocate to the source one CSAPR NO X Ozone Season Group 3 allowance for the control period in 2021 for each set of 18 CSAPR NO X Ozone Season Original Group 2 allowances deducted. The Administrator will record the allocations and deductions under this paragraph in the source's compliance account.
(3) [Reserved]
(e) Notwithstanding any other provision of this subpart, part 52 of this chapter, or any SIP revision approved under § 52.38(b)(8) or (9) of this chapter:
(1) By September 18, 2023, the Administrator will temporarily suspend acceptance of CSAPR NO X Ozone Season Group 2 allowance transfers submitted under § 97.822 and, before resuming acceptance of such transfers, will take the following actions with regard to every general account and every compliance account except a compliance account for a CSAPR NO X Ozone Season Group 2 source in a State listed in § 52.38(b)(2)(ii)(A) or (b)(2)(iii)(D)( 1 ) through ( 3 ) of this chapter (and Indian country within the borders of such a State):
(i) The Administrator will deduct all CSAPR NO X Ozone Season Original Group 2 allowances allocated for the control periods in 2017 through 2022 from each such account.
(ii) The Administrator will determine a conversion factor equal to the greater of 1.0000 or the quotient, expressed to four decimal places, of—
(A) The sum of all CSAPR NO X Ozone Season Original Group 2 allowances deducted from all such accounts under paragraph (e)(1)(i) of this section; divided by
(B) The product of the sum of the trading budgets for the control period in 2024 under § 97.1010(a)(1)(i) for all States listed in § 52.38(b)(2)(iii)(B) and (C) of this chapter and not listed in § 52.38(b)(2)(iii)(D)( 2 ) or ( 3 ) of this chapter multiplied by 0.21 and further 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.
(iii) The Administrator will allocate and record in each such account an amount of CSAPR NO X Ozone Season Group 3 allowances for the control period in 2023 computed as the quotient, rounded up to the nearest allowance, of the number of CSAPR NO X Ozone Season Original Group 2 allowances deducted from such account under paragraph (e)(1)(i) of this section divided by the conversion factor determined under paragraph (e)(1)(ii) of this section, except as provided in paragraph (e)(1)(iv) or (v) of this section.
(iv) Where, pursuant to paragraph (e)(1)(i) of this section, the Administrator deducts CSAPR NO X Ozone Season Original Group 2 allowances from the compliance account for a source in a State not listed in § 52.38(b)(2)(iii) of this chapter (and Indian country within the borders of such a State), the Administrator will not record CSAPR NO X Ozone Season Group 3 allowances in that compliance account but instead will allocate and record the amount of CSAPR NO X Ozone Season Group 3 allowances for the control period in 2023 computed for such source in accordance with paragraph (e)(1)(iii) of this section in a general account identified by the designated representative for such source, provided that if the designated representative fails to identify such a general account in a submission to the Administrator by September 18, 2023, the Administrator may record such CSAPR NO X Ozone Season Group 3 allowances in a general account identified or established by the Administrator with the designated representative as the authorized account representative and with the owners and operators of such source (as indicated on the certificate of representation for the source) as the persons represented by the authorized account representative.
(v)(A) In computing any amounts of CSAPR NO X Ozone Season Group 3 allowances to be allocated to and recorded in general accounts under paragraph (e)(1)(iii) 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.
(B) Following a computation for a group of general accounts in accordance with paragraph (e)(1)(v)(A) of this section, the Administrator will allocate to 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 Original Group 2 allowances removed from such individual accounts under paragraph (e)(1)(i) of this section.
(C) In determining the proportional shares under paragraph (e)(1)(v)(B) 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 (e)(1)(v)(A) of this section, even where such adjustments cause the numbers of CSAPR NO X Ozone Season Group 3 allowances allocated to some individual accounts to equal zero.
(2) [Reserved]
(f) Notwithstanding any other provision of this subpart or any SIP revision approved under § 52.38(b)(8) or (9) of this chapter, CSAPR NO X Ozone Season Expanded Group 2 allowances or CSAPR NO X Ozone Season Group 3 allowances may be used to satisfy requirements to hold CSAPR NO X Ozone Season Original Group 2 allowances under this subpart and CSAPR NO X Ozone Season Group 3 allowances may be used to satisfy requirements to hold CSAPR NO X Ozone Season Expanded Group 2 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)(i) Except as provided in paragraph (f)(1)(ii) of this section, after the Administrator has carried out the procedures set forth in paragraph (d)(1) of this section and before November 6, 2024, the owner or operator of a CSAPR NO X Ozone Season Group 2 source in a State listed in § 52.38(b)(2)(ii)(B) 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 Original Group 2 allowances for a control period in 2017 through 2020 by holding instead, in a general account established for this sole purpose, an amount of CSAPR NO X Ozone Season Group 3 allowances for the control period in 2021 (or any later control period for which the allowance transfer deadline defined in § 97.1002 has passed) computed as the quotient, rounded up to the nearest allowance, of such given number of CSAPR NO X Ozone Season Original Group 2 allowances divided by the conversion factor determined under paragraph (d)(1)(i)(D) of this section.
(ii) After the Administrator has carried out the procedures set forth in paragraph (d)(1) of this section and § 97.1026(e)(1) and before November 6, 2024, the owner or operator of a CSAPR NO X Ozone Season Group 2 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 Original Group 2 allowances for a control period in 2017 through 2020 by holding instead, in a general account established for this sole purpose, an 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) computed as the quotient, rounded up to the nearest allowance, of such given number of CSAPR NO X Ozone Season Original Group 2 allowances divided by the conversion factor determined under paragraph (d)(1)(i)(D) of this section.
(2) 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 2 source in a State listed in § 52.38(b)(2)(ii)(C) of this chapter and not listed in § 52.38(b)(iii)(D)( 2 ) 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 Original Group 2 allowances for a control period in 2017 through 2022 by holding instead, in a general account established for this sole purpose, an amount of CSAPR NO X Ozone Season Group 3 allowances for the control period in 2023 (or any later control period for which the allowance transfer deadline defined in § 97.1002 has passed) computed as the quotient, rounded up to the nearest allowance, of such given number of CSAPR NO X Ozone Season Original Group 2 allowances divided by the conversion factor determined under paragraph (e)(1)(ii) of this section.
(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 Original Group 2 allowances for the control period in a previous year for which the allowance transfer deadline defined in § 97.802 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.
(4) 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 3 Trading Program for the control period in the current year may satisfy a requirement to hold a given number of CSAPR NO X Ozone Season Original Group 2 allowances for the control period in a previous year for which the allowance transfer deadline defined in § 97.802 has passed by holding instead in the source's compliance account an equal number of CSAPR NO X Ozone Season Group 3 allowances for the control period in the current year.
(5) 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 3 Trading Program for the control period in the current year may satisfy a requirement to hold a given number of CSAPR NO X Ozone Season Expanded Group 2 allowances for the control period in a previous year for which the allowance transfer deadline defined in § 97.802 has passed by holding instead in the source's compliance account an equal number of CSAPR NO X Ozone Season Group 3 allowances for the control period in the current year.
§ 97.827   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.
§ 97.828   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 2 Trading Program and make appropriate adjustments of the information in the submission.
(b) The Administrator may deduct CSAPR NO X Ozone Season Group 2 allowances from or transfer CSAPR NO X Ozone Season Group 2 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.
§ 97.829   [Reserved]
§ 97.830   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 2 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 § 97.802 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 2 unit,” “designated representative,” and “continuous emission monitoring system” (or “CEMS”) respectively as defined in § 97.802, and the term “newly affected unit” shall be deemed to mean “newly affected CSAPR NO X Ozone Season Group 2 unit”. The owner or operator of a unit that is not a CSAPR NO X Ozone Season Group 2 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 2 unit.
(a) Requirements for installation, certification, and data accounting. The owner or operator of each CSAPR NO X Ozone Season Group 2 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 § 97.831 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 2 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, 2017, for a unit other than a unit described in paragraph (b)(1)(ii) or (iii) of this section;
(ii) May 1, 2023, for a unit 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) that did not commence commercial operation at least 180 calendar days before September 30, 2020;
(iii) May 1, 2024, for a unit 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) that did not commence commercial operation at least 180 calendar days before September 30, 2020, or a unit 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) that did not commence commercial operation at least 180 calendar days before September 30, 2022;
(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 § 97.834(d)(1)(ii)(B), and where the compliance date under paragraph (b)(2) of this section is not in a month from May through September, May 1 immediately after the compliance date under paragraph (b)(2) of this section.
(4) The owner or operator of a CSAPR NO X Ozone Season Group 2 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 § 97.830 through § 97.835, 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 § 97.835, rather than § 75.66 of this chapter.
(c) Reporting data. The owner or operator of a CSAPR NO X Ozone Season Group 2 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 2 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 § 97.835.
(2) No owner or operator of a CSAPR NO X Ozone Season Group 2 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 2 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 2 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 § 97.805 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 § 97.831(d)(3)(i).
(e) Long-term cold storage. The owner or operator of a CSAPR NO X Ozone Season Group 2 unit is subject to the applicable provisions of § 75.4(d) of this chapter concerning units in long-term cold storage.