Title 40—Protection of Environment--Volume 1
PART 96—NOX BUDGET TRADING PROGRAM AND CAIR NOX AND SO2 TRADING PROGRAMS FOR STATE IMPLEMENTATION PLANS
§ 96.371   Initial certification and recertification procedures.
(a) The owner or operator of a CAIR NO X Ozone Season unit shall be exempt from the initial certification requirements of this section for a monitoring system under § 96.370(a)(1) if the following conditions are met:
(1) The monitoring system has been previously certified in accordance with part 75 of this chapter; and
(2) The applicable quality-assurance and quality-control requirements of § 75.21 of this chapter and appendix B, appendix D, and appendix E to part 75 of this chapter are fully met for the certified monitoring system described in paragraph (a)(1) of this section.
(b) The recertification provisions of this section shall apply to a monitoring system under § 96.370(a)(1) exempt from initial certification requirements under paragraph (a) of this section.
(c) If the Administrator has previously approved a petition under § 75.17(a) or (b) of this chapter for apportioning the NO X emission rate measured in a common stack or a petition under § 75.66 of this chapter for an alternative to a requirement in § 75.12 or § 75.17 of this chapter, the CAIR designated representative shall resubmit the petition to the Administrator under § 96.375(a) to determine whether the approval applies under the CAIR NO X Ozone Season Trading Program.
(d) Except as provided in paragraph (a) of this section, the owner or operator of a CAIR NO X Ozone Season unit shall comply with the following initial certification and recertification procedures for a continuous monitoring system (i.e., a continuous emission monitoring system and an excepted monitoring system under appendices D and E to part 75 of this chapter) under § 96.370(a)(1). The owner or operator of a unit that qualifies to use the low mass emissions excepted monitoring methodology under § 75.19 of this chapter or that qualifies to use an alternative monitoring system under subpart E of part 75 of this chapter shall comply with the procedures in paragraph (e) or (f) of this section respectively.
(1) Requirements for initial certification. The owner or operator shall ensure that each continuous monitoring system under § 96.370(a)(1)(including the automated data acquisition and handling system) successfully completes all of the initial certification testing required under § 75.20 of this chapter by the applicable deadline in § 96.370(b). In addition, whenever the owner or operator installs a monitoring system to meet the requirements of this subpart in a location where no such monitoring system was previously installed, initial certification in accordance with § 75.20 of this chapter is required.
(2) Requirements for recertification. Whenever the owner or operator makes a replacement, modification, or change in any certified continuous emission monitoring system under § 96.370(a)(1) that may significantly affect the ability of the system to accurately measure or record NO X mass emissions or heat input rate or to meet the quality-assurance and quality-control requirements of § 75.21 of this chapter or appendix B to part 75 of this chapter, the owner or operator shall recertify the monitoring system in accordance with § 75.20(b) of this chapter. Furthermore, whenever the owner or operator makes a replacement, modification, or change to the flue gas handling system or the unit's operation that may significantly change the stack flow or concentration profile, the owner or operator shall recertify each continuous emission monitoring system whose accuracy is potentially affected by the change, in accordance with § 75.20(b) of this chapter. Examples of changes to a continuous emission monitoring system that require recertification include: replacement of the analyzer, complete replacement of an existing continuous emission monitoring system, or change in location or orientation of the sampling probe or site. Any fuel flowmeter systems, and any excepted NO X monitoring system under appendix E to part 75 of this chapter, under § 96.370(a)(1) are subject to the recertification requirements in § 75.20(g)(6) of this chapter.
(3) Approval process for initial certification and recertification. Paragraphs (d)(3)(i) through (iv) of this section apply to both initial certification and recertification of a continuous monitoring system under § 96.370(a)(1). For recertifications, replace the words “certification” and “initial certification” with the word “recertification”, replace the word “certified” with the word “recertified,” and follow the procedures in §§ 75.20(b)(5) and (g)(7) of this chapter in lieu of the procedures in paragraph (d)(3)(v) of this section.
(i) Notification of certification. The CAIR designated representative shall submit to the permitting authority, the appropriate EPA Regional Office, and the Administrator written notice of the dates of certification testing, in accordance with § 96.373.
(ii) Certification application. The CAIR designated representative shall submit to the permitting authority a certification application for each monitoring system. A complete certification application shall include the information specified in § 75.63 of this chapter.
(iii) Provisional certification date. The provisional certification date for a monitoring system shall be determined in accordance with § 75.20(a)(3) of this chapter. A provisionally certified monitoring system may be used under the CAIR NO X Ozone Season Trading Program for a period not to exceed 120 days after receipt by the permitting authority of the complete certification application for the monitoring system under paragraph (d)(3)(ii) of this section. Data measured and recorded by the provisionally certified monitoring system, in accordance with the requirements of part 75 of this chapter, will be considered valid quality-assured data (retroactive to the date and time of provisional certification), provided that the permitting authority does not invalidate the provisional certification by issuing a notice of disapproval within 120 days of the date of receipt of the complete certification application by the permitting authority.
(iv) Certification application approval process. The permitting authority will issue a written notice of approval or disapproval of the certification application to the owner or operator within 120 days of receipt of the complete certification application under paragraph (d)(3)(ii) of this section. In the event the permitting authority does not issue such a notice within such 120-day period, each monitoring system that meets the applicable performance requirements of part 75 of this chapter and is included in the certification application will be deemed certified for use under the CAIR NO X Ozone Season Trading Program.
(A) Approval notice. If the certification application is complete and shows that each monitoring system meets the applicable performance requirements of part 75 of this chapter, then the permitting authority will issue a written notice of approval of the certification application within 120 days of receipt.
(B) Incomplete application notice. If the certification application is not complete, then the permitting authority will issue a written notice of incompleteness that sets a reasonable date by which the CAIR designated representative must submit the additional information required to complete the certification application. If the CAIR designated representative does not comply with the notice of incompleteness by the specified date, then the permitting authority may issue a notice of disapproval under paragraph (d)(3)(iv)(C) of this section. The 120-day review period shall not begin before receipt of a complete certification application.
(C) Disapproval notice. If the certification application shows that any monitoring system does not meet the performance requirements of part 75 of this chapter or if the certification application is incomplete and the requirement for disapproval under paragraph (d)(3)(iv)(B) of this section is met, then the permitting authority will issue a written notice of disapproval of the certification application. Upon issuance of such notice of disapproval, the provisional certification is invalidated by the permitting authority and the data measured and recorded by each uncertified monitoring system shall not be considered valid quality-assured data beginning with the date and hour of provisional certification (as defined under § 75.20(a)(3) of this chapter). The owner or operator shall follow the procedures for loss of certification in paragraph (d)(3)(v) of this section for each monitoring system that is disapproved for initial certification.
(D) Audit decertification. The permitting authority or, for a CAIR NO X Ozone Season opt-in unit or a unit for which a CAIR opt-in permit application is submitted and not withdrawn and a CAIR opt-in permit is not yet issued or denied under subpart IIII of this part, the Administrator may issue a notice of disapproval of the certification status of a monitor in accordance with § 96.372(b).
(v) Procedures for loss of certification. If the permitting authority or the Administrator issues a notice of disapproval of a certification application under paragraph (d)(3)(iv)(C) of this section or a notice of disapproval of certification status under paragraph (d)(3)(iv)(D) of this section, then:
(A) The owner or operator shall substitute the following values, for each disapproved monitoring system, for each hour of unit operation during the period of invalid data specified under § 75.20(a)(4)(iii), § 75.20(g)(7), or § 75.21(e) of this chapter and continuing until the applicable date and hour specified under § 75.20(a)(5)(i) or (g)(7) of this chapter:
( 1 ) For a disapproved NO X emission rate ( i.e. , NO X -diluent) system, the maximum potential NO X emission rate, as defined in § 72.2 of this chapter.
( 2 ) For a disapproved NO X pollutant concentration monitor and disapproved flow monitor, respectively, the maximum potential concentration of NO X and the maximum potential flow rate, as defined in sections 2.1.2.1 and 2.1.4.1 of appendix A to part 75 of this chapter.
( 3 ) For a disapproved moisture monitoring system and disapproved diluent gas monitoring system, respectively, the minimum potential moisture percentage and either the maximum potential CO 2 concentration or the minimum potential O 2 concentration (as applicable), as defined in sections 2.1.5, 2.1.3.1, and 2.1.3.2 of appendix A to part 75 of this chapter.
( 4 ) For a disapproved fuel flowmeter system, the maximum potential fuel flow rate, as defined in section 2.4.2.1 of appendix D to part 75 of this chapter.
( 5 ) For a disapproved excepted NO X monitoring system under appendix E to part 75 of this chapter, the fuel-specific maximum potential NO X emission rate, as defined in § 72.2 of this chapter.
(B) The CAIR designated representative shall submit a notification of certification retest dates and a new certification application in accordance with paragraphs (d)(3)(i) and (ii) of this section.
(C) The owner or operator shall repeat all certification tests or other requirements that were failed by the monitoring system, as indicated in the permitting authority's or the Administrator's notice of disapproval, no later than 30 unit operating days after the date of issuance of the notice of disapproval.
(e) Initial certification and recertification procedures for units using the low mass emission excepted methodology under § 75.19 of this chapter. The owner or operator of a unit qualified to use the low mass emissions (LME) excepted methodology under § 75.19 of this chapter shall meet the applicable certification and recertification requirements in §§ 75.19(a)(2) and 75.20(h) of this chapter. If the owner or operator of such a unit elects to certify a fuel flowmeter system for heat input determination, the owner or operator shall also meet the certification and recertification requirements in § 75.20(g) of this chapter.
(f) Certification/recertification procedures for alternative monitoring systems. The CAIR designated representative of each unit for which the owner or operator intends to use an alternative monitoring system approved by the Administrator and, if applicable, the permitting authority under subpart E of part 75 of this chapter shall comply with the applicable notification and application procedures of § 75.20(f) of this chapter.
§ 96.372   Out of control periods.
(a) Whenever any monitoring system fails to meet the quality-assurance and quality-control requirements or data validation requirements of part 75 of this chapter, data shall be substituted using the applicable missing data procedures in subpart D or subpart H of, or appendix D or appendix E to, part 75 of this chapter.
(b) Audit decertification. Whenever both an audit of a monitoring system and a review of the initial certification or recertification application reveal that any monitoring system should not have been certified or recertified because it did not meet a particular performance specification or other requirement under § 96.371 or the applicable provisions of part 75 of this chapter, both at the time of the initial certification or recertification application submission and at the time of the audit, the permitting authority or, for a CAIR NO X Ozone Season opt-in unit or a unit for which a CAIR opt-in permit application is submitted and not withdrawn and a CAIR opt-in permit is not yet issued or denied under subpart IIII of this part, the Administrator will issue a notice of disapproval of the certification status of such monitoring system. For the purposes of this paragraph, an audit shall be either a field audit or an audit of any information submitted to the permitting authority or the Administrator. By issuing the notice of disapproval, the permitting authority or the Administrator revokes prospectively the certification status of the monitoring system. The data measured and recorded by the monitoring system shall not be considered valid quality-assured data from the date of issuance of the notification of the revoked certification status until the date and time that the owner or operator completes subsequently approved initial certification or recertification tests for the monitoring system. The owner or operator shall follow the applicable initial certification or recertification procedures in § 96.371 for each disapproved monitoring system.
§ 96.373   Notifications.
The CAIR designated representative for a CAIR NO X Ozone Season unit shall submit written notice to the permitting authority and the Administrator in accordance with § 75.61 of this chapter.
§ 96.374   Recordkeeping and reporting.
(a) General provisions. The CAIR designated representative shall comply with all recordkeeping and reporting requirements in this section, the applicable recordkeeping and reporting requirements under § 75.73 of this chapter, and the requirements of § 96.310(e)(1).
(b) Monitoring plans. The owner or operator of a CAIR NO X Ozone Season unit shall comply with requirements of § 75.73(c) and (e) of this chapter and, for a unit for which a CAIR opt-in permit application is submitted and not withdrawn and a CAIR opt-in permit is not yet issued or denied under subpart IIII of this part, §§ 96.383 and 96.384(a).
(c) Certification applications. The CAIR designated representative shall submit an application to the permitting authority within 45 days after completing all initial certification or recertification tests required under § 96.371, including the information required under § 75.63 of this chapter.
(d) Quarterly reports. The CAIR designated representative shall submit quarterly reports, as follows:
(1) If the CAIR NO X Ozone Season unit is subject to an Acid Rain emissions limitation or a CAIR NO X emissions limitation or if the owner or operator of such unit chooses to report on an annual basis under this subpart, the CAIR designated representative shall meet the requirements of subpart H of part 75 of this chapter (concerning monitoring of NO X mass emissions) for such unit for the entire year and shall report the NO X mass emissions data and heat input data for such unit, in an electronic quarterly report in a format prescribed by the Administrator, for each calendar quarter beginning with:
(i) For a unit that commences commercial operation before July 1, 2007, the calendar quarter covering May 1, 2008 through June 30, 2008;
(ii) For a unit that commences commercial operation on or after July 1, 2007, the calendar quarter corresponding to the earlier of the date of provisional certification or the applicable deadline for initial certification under § 96.370(b), unless that quarter is the third or fourth quarter of 2007 or the first quarter of 2008, in which case reporting shall commence in the quarter covering May 1, 2008 through June 30, 2008;
(iii) Notwithstanding paragraphs (d)(1)(i) and (ii) of this section, for a unit for which a CAIR opt-in permit application is submitted and not withdrawn and a CAIR opt-in permit is not yet issued or denied under subpart IIII of this part, the calendar quarter corresponding to the date specified in § 96.384(b); and
(iv) Notwithstanding paragraphs (d)(1)(i) and (ii) of this section, for a CAIR NO X Ozone Season opt-in unit under subpart IIII of this part, the calendar quarter corresponding to the date on which the CAIR NO X Ozone Season opt-in unit enters the CAIR NO X Ozone Season Trading Program as provided in § 96.384(g).
(2) If the CAIR NO X Ozone Season unit is not subject to an Acid Rain emissions limitation or a CAIR NO X emissions limitation, then the CAIR designated representative shall either:
(i) Meet the requirements of subpart H of part 75 (concerning monitoring of NO X mass emissions) for such unit for the entire year and report the NO X mass emissions data and heat input data for such unit in accordance with paragraph (d)(1) of this section; or
(ii) Meet the requirements of subpart H of part 75 for the control period (including the requirements in § 75.74(c) of this chapter) and report NO X mass emissions data and heat input data (including the data described in § 75.74(c)(6) of this chapter) for such unit only for the control period of each year and report, in an electronic quarterly report in a format prescribed by the Administrator, for each calendar quarter beginning with:
(A) For a unit that commences commercial operation before July 1, 2007, the calendar quarter covering May 1, 2008 through June 30, 2008;
(B) For a unit that commences commercial operation on or after July 1, 2007, the calendar quarter corresponding to the earlier of the date of provisional certification or the applicable deadline for initial certification under § 96.370(b), unless that date is not during a control period, in which case reporting shall commence in the quarter that includes May 1 through June 30 of the first control period after such date;.
(C) Notwithstanding paragraphs (d)(2)(ii)(A) and (2)(ii)(B) of this section, for a unit for which a CAIR opt-in permit application is submitted and not withdrawn and a CAIR opt-in permit is not yet issued or denied under subpart IIII of this part, the calendar quarter corresponding to the date specified in § 96.384(b); and
(D) Notwithstanding paragraphs (d)(2)(ii)(A) and (2)(ii)(B) of this section, for a CAIR NO X Ozone Season opt-in unit under subpart IIII of this part, the calendar quarter corresponding to the date on which the CAIR NO X Ozone Season opt-in unit enters the CAIR NO X Ozone Season Trading Program as provided in § 96.384(g).
(2) The CAIR designated representative shall submit each quarterly report to the Administrator within 30 days following the end of the calendar quarter covered by the report. Quarterly reports shall be submitted in the manner specified in § 75.73(f) of this chapter.
(3) For CAIR NO X Ozone Season units that are also subject to an Acid Rain emissions limitation or the CAIR NO X Annual Trading Program or CAIR SO 2 Trading Program, quarterly reports shall include the applicable data and information required by subparts F through H of part 75 of this chapter as applicable, in addition to the NO X mass emission data, heat input data, and other information required by this subpart.
(e) Compliance certification. The CAIR designated representative shall submit to the Administrator a compliance certification (in a format prescribed by the Administrator) in support of each quarterly report based on reasonable inquiry of those persons with primary responsibility for ensuring that all of the unit's emissions are correctly and fully monitored. The certification shall state that:
(1) The monitoring data submitted were recorded in accordance with the applicable requirements of this subpart and part 75 of this chapter, including the quality assurance procedures and specifications;
(2) For a unit with add-on NO X emission controls and for all hours where NO X data are substituted in accordance with § 75.34(a)(1) of this chapter, the add-on emission controls were operating within the range of parameters listed in the quality assurance/quality control program under appendix B to part 75 of this chapter and the substitute data values do not systematically underestimate NO X emissions; and
(3) For a unit that is reporting on a control period basis under paragraph (d)(2)(ii) of this section, the NO X emission rate and NO X concentration values substituted for missing data under subpart D of part 75 of this chapter are calculated using only values from a control period and do not systematically underestimate NO X emissions.
§ 96.375   Petitions.
(a) Except as provided in paragraph (b)(2) of this section, the CAIR designated representative of a CAIR NO X Ozone Season unit that is subject to an Acid Rain emissions limitation may submit a petition under § 75.66 of this chapter to the Administrator requesting approval to apply an alternative to any requirement of this subpart. Application of an alternative to any requirement of this subpart is in accordance with this subpart only to the extent that the petition is approved in writing by the Administrator, in consultation with the permitting authority.
(b)(1) The CAIR designated representative of a CAIR NO X Ozone Season unit that is not subject to an Acid Rain emissions limitation may submit a petition under § 75.66 of this chapter to the permitting authority and the Administrator requesting approval to apply an alternative to any requirement of this subpart. Application of an alternative to any requirement of this subpart is in accordance with this subpart only to the extent that the petition is approved in writing by both the permitting authority and the Administrator.
(2) The CAIR designated representative of a CAIR NO X Ozone Season unit that is subject to an Acid Rain emissions limitation may submit a petition under § 75.66 of this chapter to the permitting authority and the Administrator requesting approval to apply an alternative to a requirement concerning any additional continuous emission monitoring system required under § 75.72 of this chapter. Application of an alternative to any such requirement is in accordance with this subpart only to the extent that the petition is approved in writing by both the permitting authority and the Administrator.
§ 96.380   Applicability.
A CAIR NO X Ozone Season opt-in unit must be a unit that:
(a) Is located in the State;
(b) Is not a CAIR NO X Ozone Season unit under § 96.304 and is not covered by a retired unit exemption under § 96.305 that is in effect;
(c) Is not covered by a retired unit exemption under § 72.8 of this chapter that is in effect;
(d) Has or is required or qualified to have a title V operating permit or other federally enforceable permit; and
(e) Vents all of its emissions to a stack and can meet the monitoring, recordkeeping, and reporting requirements of subpart HHHH of this part.
§ 96.381   General.
(a) Except as otherwise provided in §§ 96.301 through 96.304, §§ 96.306 through 96.308, and subparts BBBB and CCCC and subparts FFFF through HHHH of this part, a CAIR NO X Ozone Season opt-in unit shall be treated as a CAIR NO X Ozone Season unit for purposes of applying such sections and subparts of this part.
(b) Solely for purposes of applying, as provided in this subpart, the requirements of subpart HHHH of this part to a unit for which a CAIR opt-in permit application is submitted and not withdrawn and a CAIR opt-in permit is not yet issued or denied under this subpart, such unit shall be treated as a CAIR NO X Ozone Season unit before issuance of a CAIR opt-in permit for such unit.
§ 96.382   CAIR designated representative.
Any CAIR NO X Ozone Season opt-in unit, and any unit for which a CAIR opt-in permit application is submitted and not withdrawn and a CAIR opt-in permit is not yet issued or denied under this subpart, located at the same source as one or more CAIR NO X Ozone Season units shall have the same CAIR designated representative and alternate CAIR designated representative as such CAIR NO X Ozone Season units.
§ 96.383   Applying for CAIR opt-in permit.
(a) Applying for initial CAIR opt-in permit. The CAIR designated representative of a unit meeting the requirements for a CAIR NO X Ozone Season opt-in unit in § 96.380 may apply for an initial CAIR opt-in permit at any time, except as provided under § 96.386 (f) and (g), and, in order to apply, must submit the following:
(1) A complete CAIR permit application under § 96.322;
(2) A certification, in a format specified by the permitting authority, that the unit:
(i) Is not a CAIR NO X Ozone Season unit under § 96.304 and is not covered by a retired unit exemption under § 96.305 that is in effect;
(ii) Is not covered by a retired unit exemption under § 72.8 of this chapter that is in effect;
(iii) Vents all of its emissions to a stack; and
(iv) Has documented heat input for more than 876 hours during the 6 months immediately preceding submission of the CAIR permit application under § 96.322;
(3) A monitoring plan in accordance with subpart HHHH of this part;
(4) A complete certificate of representation under § 96.313 consistent with § 96.382, if no CAIR designated representative has been previously designated for the source that includes the unit; and
(5) A statement, in a format specified by the permitting authority, whether the CAIR designated representative requests that the unit be allocated CAIR NO X Ozone Season allowances under § 96.388(b) or § 96.388(c) (subject to the conditions in §§ 96.384(h) and 96.386(g)). If allocation under § 96.388(c) is requested, this statement shall include a statement that the owners and operators of the unit intend to repower the unit before January 1, 2015 and that they will provide, upon request, documentation demonstrating such intent.
(b) Duty to reapply. (1) The CAIR designated representative of a CAIR NO X Ozone Season opt-in unit shall submit a complete CAIR permit application under § 96.322 to renew the CAIR opt-in unit permit in accordance with the permitting authority's regulations for title V operating permits, or the permitting authority's regulations for other federally enforceable permits if applicable, addressing permit renewal.
(2) Unless the permitting authority issues a notification of acceptance of withdrawal of the CAIR NO X Ozone Season opt-in unit from the CAIR NO X Ozone Season Trading Program in accordance with § 96.186 or the unit becomes a CAIR NO X Ozone Season unit under § 96.304, the CAIR NO X opt-in unit shall remain subject to the requirements for a CAIR NO X Ozone Season opt-in unit, even if the CAIR designated representative for the CAIR NO X Ozone Season opt-in unit fails to submit a CAIR permit application that is required for renewal of the CAIR opt-in permit under paragraph (b)(1) of this section.
§ 96.384   Opt-in process.
The permitting authority will issue or deny a CAIR opt-in permit for a unit for which an initial application for a CAIR opt-in permit under § 96.383 is submitted in accordance with the following:
(a) Interim review of monitoring plan. The permitting authority and the Administrator will determine, on an interim basis, the sufficiency of the monitoring plan accompanying the initial application for a CAIR opt-in permit under § 96.383. A monitoring plan is sufficient, for purposes of interim review, if the plan appears to contain information demonstrating that the NO X emissions rate and heat input of the unit and all other applicable parameters are monitored and reported in accordance with subpart HHHH of this part. A determination of sufficiency shall not be construed as acceptance or approval of the monitoring plan.
(b) Monitoring and reporting. (1)(i) If the permitting authority and the Administrator determine that the monitoring plan is sufficient under paragraph (a) of this section, the owner or operator shall monitor and report the NO X emissions rate and the heat input of the unit and all other applicable parameters, in accordance with subpart HHHH of this part, starting on the date of certification of the appropriate monitoring systems under subpart HHHH of this part and continuing until a CAIR opt-in permit is denied under § 96.384(f) or, if a CAIR opt-in permit is issued, the date and time when the unit is withdrawn from the CAIR NO X Ozone Season Trading Program in accordance with § 96.386.
(ii) The monitoring and reporting under paragraph (b)(1)(i) of this section shall include the entire control period immediately before the date on which the unit enters the CAIR NO X Ozone Season Trading Program under § 96.384(g), during which period monitoring system availability must not be less than 90 percent under subpart HHHH of this part and the unit must be in full compliance with any applicable State or Federal emissions or emissions-related requirements.
(2) To the extent the NO X emissions rate and the heat input of the unit are monitored and reported in accordance with subpart HHHH of this part for one or more control periods, in addition to the control period under paragraph (b)(1)(ii) of this section, during which control periods monitoring system availability is not less than 90 percent under subpart HHHH of this part and the unit is in full compliance with any applicable State or Federal emissions or emissions-related requirements and which control periods begin not more than 3 years before the unit enters the CAIR NO X Ozone Season Trading Program under § 96.384(g), such information shall be used as provided in paragraphs (c) and (d) of this section.
(c) Baseline heat input. The unit's baseline heat input shall equal:
(1) If the unit's NO X emissions rate and heat input are monitored and reported for only one control period, in accordance with paragraph (b)(1) of this section, the unit's total heat input (in mmBtu) for the control period; or
(2) If the unit's NO X emissions rate and heat input are monitored and reported for more than one control period, in accordance with paragraphs (b)(1) and (2) of this section, the average of the amounts of the unit's total heat input (in mmBtu) for the control periods under paragraphs (b)(1)(ii) and (2) of this section.
(d) Baseline NO X emission rate. The unit's baseline NO X emission rate shall equal:
(1) If the unit's NO X emissions rate and heat input are monitored and reported for only one control period, in accordance with paragraph (b)(1) of this section, the unit's NO X emissions rate (in lb/mmBtu) for the control period;
(2) If the unit's NO X emissions rate and heat input are monitored and reported for more than one control period, in accordance with paragraphs (b)(1) and (2) of this section, and the unit does not have add-on NO X emission controls during any such control periods, the average of the amounts of the unit's NO X emissions rate (in lb/mmBtu) for the control periods under paragraphs (b)(1)(ii) and (2) of this section; or
(3) If the unit's NO X emissions rate and heat input are monitored and reported for more than one control period, in accordance with paragraphs (b)(1) and (2) of this section, and the unit has add-on NO X emission controls during any such control periods, the average of the amounts of the unit's NO X emissions rate (in lb/mmBtu) for such control periods during which the unit has add-on NO X emission controls.
(e) Issuance of CAIR opt-in permit. After calculating the baseline heat input and the baseline NO X emissions rate for the unit under paragraphs (c) and (d) of this section and if the permitting authority determines that the CAIR designated representative shows that the unit meets the requirements for a CAIR NO X Ozone Season opt-in unit in § 96.380 and meets the elements certified in § 96.383(a)(2), the permitting authority will issue a CAIR opt-in permit. The permitting authority will provide a copy of the CAIR opt-in permit to the Administrator, who will then establish a compliance account for the source that includes the CAIR NO X Ozone Season opt-in unit unless the source already has a compliance account.
(f) Issuance of denial of CAIR opt-in permit. Notwithstanding paragraphs (a) through (e) of this section, if at any time before issuance of a CAIR opt-in permit for the unit, the permitting authority determines that the CAIR designated representative fails to show that the unit meets the requirements for a CAIR NO X Ozone Season opt-in unit in § 96.380 or meets the elements certified in § 96.383(a)(2), the permitting authority will issue a denial of a CAIR opt-in permit for the unit.
(g) Date of entry into CAIR NO X Ozone Season Trading Program. A unit for which an initial CAIR opt-in permit is issued by the permitting authority shall become a CAIR NO X Ozone Season opt-in unit, and a CAIR NO X Ozone Season unit, as of the later of May 1, 2009 or May 1 of the first control period during which such CAIR opt-in permit is issued.
(h) Repowered CAIR NO X Ozone Season opt-in unit. (1) If CAIR designated representative requests, and the permitting authority issues a CAIR opt-in permit providing for, allocation to a CAIR NO X Ozone Season opt-in unit of CAIR NO X Ozone Season allowances under § 96.388(c) and such unit is repowered after its date of entry into the CAIR NO X Ozone Season Trading Program under paragraph (g) of this section, the repowered unit shall be treated as a CAIR NO X Ozone Season opt-in unit replacing the original CAIR NO X Ozone Season opt-in unit, as of the date of start-up of the repowered unit's combustion chamber.
(2) Notwithstanding paragraphs (c) and (d) of this section, as of the date of start-up under paragraph (h)(1) of this section, the repowered unit shall be deemed to have the same date of commencement of operation, date of commencement of commercial operation, baseline heat input, and baseline NO X emission rate as the original CAIR NO X Ozone Season opt-in unit, and the original CAIR NO X Ozone Season opt-in unit shall no longer be treated as a CAIR NO X Ozone Season opt-in unit or a CAIR NO X Ozone Season unit.
§ 96.385   CAIR opt-in permit contents.
(a) Each CAIR opt-in permit will contain:
(1) All elements required for a complete CAIR permit application under § 96.322;
(2) The certification in § 96.383(a)(2);
(3) The unit's baseline heat input under § 96.384(c);
(4) The unit's baseline NO X emission rate under § 96.384(d);
(5) A statement whether the unit is to be allocated CAIR NO X Ozone Season allowances under § 96.388(b) or § 96.388(c) (subject to the conditions in §§ 96.384(h) and 96.386(g));
(6) A statement that the unit may withdraw from the CAIR NO X Ozone Season Trading Program only in accordance with § 96.386; and
(7) A statement that the unit is subject to, and the owners and operators of the unit must comply with, the requirements of § 96.387.
(b) Each CAIR opt-in permit is deemed to incorporate automatically the definitions of terms under § 96.302 and, upon recordation by the Administrator under subpart FFFF or GGGG of this part or this subpart, every allocation, transfer, or deduction of CAIR NO X Ozone Season allowances to or from the compliance account of the source that includes a CAIR NO X Ozone Season opt-in unit covered by the CAIR opt-in permit.
(c) The CAIR opt-in permit shall be included, in a format specified by the permitting authority, in the CAIR permit for the source where the CAIR NO X Ozone Season opt-in unit is located and in a title V operating permit or other federally enforceable permit for the source.
§ 96.386   Withdrawal from CAIR NOXOzone Season Trading Program.
Except as provided under paragraph (g) of this section, a CAIR NO X Ozone Season opt-in unit may withdraw from the CAIR NO X Ozone Season Trading Program, but only if the permitting authority issues a notification to the CAIR designated representative of the CAIR NO X Ozone Season opt-in unit of the acceptance of the withdrawal of the CAIR NO X Ozone Season opt-in unit in accordance with paragraph (d) of this section.
(a) Requesting withdrawal. In order to withdraw a CAIR NO X Ozone Season opt-on unit from the CAIR NO X Ozone Season Trading Program, the CAIR designated representative of the CAIR NO X Ozone Season opt-in unit shall submit to the permitting authority a request to withdraw effective as of midnight of September 30 of a specified calendar year, which date must be at least 4 years after September 30 of the year of entry into the CAIR NO X Ozone Season Trading Program under § 96.384(g). The request must be submitted no later than 90 days before the requested effective date of withdrawal.
(b) Conditions for withdrawal. Before a CAIR NO X Ozone Season opt-in unit covered by a request under paragraph (a) of this section may withdraw from the CAIR NO X Ozone Season Trading Program and the CAIR opt-in permit may be terminated under paragraph (e) of this section, the following conditions must be met:
(1) For the control period ending on the date on which the withdrawal is to be effective, the source that includes the CAIR NO X Ozone Season opt-in unit must meet the requirement to hold CAIR NO X Ozone Season allowances under § 96.306(c) and cannot have any excess emissions.
(2) After the requirement for withdrawal under paragraph (b)(1) of this section is met, the Administrator will deduct from the compliance account of the source that includes the CAIR NO X Ozone Season opt-in unit CAIR NO X Ozone Season allowances equal in amount to and allocated for the same or a prior control period as any CAIR NO X Ozone Season allowances allocated to the CAIR NO X Ozone Season opt-in unit under § 96.388 for any control period for which the withdrawal is to be effective. If there are no remaining CAIR NO X Ozone Season units at the source, the Administrator will close the compliance account, and the owners and operators of the CAIR NO X Ozone Season opt-in unit may submit a CAIR NO X Ozone Season allowance transfer for any remaining CAIR NO X Ozone Season allowances to another CAIR NO X Ozone Season Allowance Tracking System in accordance with subpart GGGG of this part.
(c) Notification. (1) After the requirements for withdrawal under paragraphs (a) and (b) of this section are met (including deduction of the full amount of CAIR NO X Ozone Season allowances required), the permitting authority will issue a notification to the CAIR designated representative of the CAIR NO X Ozone Season opt-in unit of the acceptance of the withdrawal of the CAIR NO X Ozone Season opt-in unit as of midnight on September 30 of the calendar year for which the withdrawal was requested.
(2) If the requirements for withdrawal under paragraphs (a) and (b) of this section are not met, the permitting authority will issue a notification to the CAIR designated representative of the CAIR NO X Ozone Season opt-in unit that the CAIR NO X Ozone Season opt-in unit's request to withdraw is denied. Such CAIR NO X Ozone Season opt-in unit shall continue to be a CAIR NO X Ozone Season opt-in unit.
(d) Permit amendment. After the permitting authority issues a notification under paragraph (c)(1) of this section that the requirements for withdrawal have been met, the permitting authority will revise the CAIR permit covering the CAIR NO X Ozone Season opt-in unit to terminate the CAIR opt-in permit for such unit as of the effective date specified under paragraph (c)(1) of this section. The unit shall continue to be a CAIR NO X Ozone Season opt-in unit until the effective date of the termination and shall comply with all requirements under the CAIR NO X Ozone Season Trading Program concerning any control periods for which the unit is a CAIR NO X Ozone Season opt-in unit, even if such requirements arise or must be complied with after the withdrawal takes effect.
(e) Reapplication upon failure to meet conditions of withdrawal. If the permitting authority denies the CAIR NO X Ozone Season opt-in unit's request to withdraw, the CAIR designated representative may submit another request to withdraw in accordance with paragraphs (a) and (b) of this section.
(f) Ability to reapply to the CAIR NO X Ozone Season Trading Program. Once a CAIR NO X Ozone Season opt-in unit withdraws from the CAIR NO X Ozone Season Trading Program and its CAIR opt-in permit is terminated under this section, the CAIR designated representative may not submit another application for a CAIR opt-in permit under § 96.383 for such CAIR NO X Ozone Season opt-in unit before the date that is 4 years after the date on which the withdrawal became effective. Such new application for a CAIR opt-in permit will be treated as an initial application for a CAIR opt-in permit under § 96.384.
(g) Inability to withdraw. Notwithstanding paragraphs (a) through (f) of this section, a CAIR NO X Ozone Season opt-in unit shall not be eligible to withdraw from the CAIR NO X Ozone Season Trading Program if the CAIR designated representative of the CAIR NO X Ozone Season opt-in unit requests, and the permitting authority issues a CAIR opt-in permit providing for, allocation to the CAIR NO X Ozone Season opt-in unit of CAIR NO X Ozone Season allowances under § 96.388(c).
§ 96.387   Change in regulatory status.
(a) Notification. If a CAIR NO X Ozone Season opt-in unit becomes a CAIR NO X Ozone Season unit under § 96.304, then the CAIR designated representative shall notify in writing the permitting authority and the Administrator of such change in the CAIR NO X Ozone Season opt-in unit's regulatory status, within 30 days of such change.
(b) Permitting authority's and Administrator's actions. (1) If a CAIR NO X Ozone Season opt-in unit becomes a CAIR NO X Ozone Season unit under § 96.304, the permitting authority will revise the CAIR NO X Ozone Season opt-in unit's CAIR opt-in permit to meet the requirements of a CAIR permit under § 96.323, and remove the CAIR opt-in permit provisions, as of the date on which the CAIR NO X Ozone Season opt-in unit becomes a CAIR NO X Ozone Season unit under § 96.304.
(2)(i) The Administrator will deduct from the compliance account of the source that includes the CAIR NO X Ozone Season opt-in unit that becomes a CAIR NO X Ozone Season unit under § 96.304, CAIR NO X Ozone Season allowances equal in amount to and allocated for the same or a prior control period as:
(A) Any CAIR NO X Ozone Season allowances allocated to the CAIR NO X Ozone Season opt-in unit under § 96.388 for any control period after the date on which the CAIR NO X Ozone Season opt-in unit becomes a CAIR NO X Ozone Season unit under § 96.304; and
(B) If the date on which the CAIR NO X Ozone Season opt-in unit becomes a CAIR NO X Ozone Season unit under § 96.304 is not September 30, the CAIR NO X Ozone Season allowances allocated to the CAIR NO X Ozone Season opt-in unit under § 96.388 for the control period that includes the date on which the CAIR NO X Ozone Season opt-in unit becomes a CAIR NO X Ozone Season unit under § 96.304, multiplied by the ratio of the number of days, in the control period, starting with the date on which the CAIR NO X Ozone Season opt-in unit becomes a CAIR NO X Ozone Season unit under § 96.304 divided by the total number of days in the control period and rounded to the nearest whole allowance as appropriate.
(ii) The CAIR designated representative shall ensure that the compliance account of the source that includes the CAIR NO X Ozone Season opt-in unit that becomes a CAIR NO X Ozone Season unit under § 96.304 contains the CAIR NO X Ozone Season allowances necessary for completion of the deduction under paragraph (b)(2)(i) of this section.
(3)(i) For every control period after the date on which the CAIR NO X Ozone Season opt-in unit becomes a CAIR NO X Ozone Season unit under § 96.304, the CAIR NO X Ozone Season opt-in unit will be allocated CAIR NO X Ozone Season allowances under § 96.342.
(ii) If the date on which the CAIR NO X Ozone Season opt-in unit becomes a CAIR NO X Ozone Season unit under § 96.304 is not September 30, the following amount of CAIR NO X Ozone Season allowances will be allocated to the CAIR NO X Ozone Season opt-in unit (as a CAIR NO X Ozone Season unit) under § 96.342 for the control period that includes the date on which the CAIR NO X Ozone Season opt-in unit becomes a CAIR NO X Ozone Season unit under § 96.304:
(A) The amount of CAIR NO X Ozone Season allowances otherwise allocated to the CAIR NO X Ozone Season opt-in unit (as a CAIR NO X Ozone Season unit) under § 96.342 for the control period multiplied by;
(B) The ratio of the number of days, in the control period, starting with the date on which the CAIR NO X Ozone Season opt-in unit becomes a CAIR NO X Ozone Season unit under § 96.304, divided by the total number of days in the control period; and
(C) Rounded to the nearest whole allowance as appropriate.
§ 96.388   CAIR NOXOzone Season allowance allocations to CAIR NOXOzone Season opt-in units.
(a) Timing requirements. (1) When the CAIR opt-in permit is issued under § 96.384(e), the permitting authority will allocate CAIR NO X Ozone Season allowances to the CAIR NO X Ozone Season opt-in unit, and submit to the Administrator the allocation for the control period in which a CAIR NO X Ozone Season opt-in unit enters the CAIR NO X Ozone Season Trading Program under § 96.384(g), in accordance with paragraph (b) or (c) of this section.
(2) By no later than July 31 of the control period after the control period in which a CAIR NO X Ozone Season opt-in unit enters the CAIR NO X Ozone Season Trading Program under § 96.384(g) and July 31 of each year thereafter, the permitting authority will allocate CAIR NO X Ozone Season allowances to the CAIR NO X Ozone Season opt-in unit, and submit to the Administrator the allocation for the control period that includes such submission deadline and in which the unit is a CAIR NO X Ozone Season opt-in unit, in accordance with paragraph (b)or (c) of this section.
(b) Calculation of allocation. For each control period for which a CAIR NO X Ozone Season opt-in unit is to be allocated CAIR NO X Ozone Season allowances, the permitting authority will allocate in accordance with the following procedures:
(1) The heat input (in mmBtu) used for calculating the CAIR NO X Ozone Season allowance allocation will be the lesser of:
(i) The CAIR NO X Ozone Season opt-in unit's baseline heat input determined under § 96.384(c); or
(ii) The CAIR NO X Ozone Season opt-in unit's heat input, as determined in accordance with subpart HHHH of this part, for the immediately prior control period, except when the allocation is being calculated for the control period in which the CAIR NO X Ozone Season opt-in unit enters the CAIR NO X Ozone Season Trading Program under § 96.384(g).
(2) The NO X emission rate (in lb/mmBtu) used for calculating CAIR NO X Ozone Season allowance allocations will be the lesser of:
(i) The CAIR NO X Ozone Season opt-in unit's baseline NO X emissions rate (in lb/mmBtu) determined under § 96.384(d) and multiplied by 70 percent; or
(ii) The most stringent State or Federal NO X emissions limitation applicable to the CAIR NO X Ozone Season opt-in unit at any time during the control period for which CAIR NO X Ozone Season allowances are to be allocated.
(3) The permitting authority will allocate CAIR NO X Ozone Season allowances to the CAIR NO X Ozone Season opt-in unit in an amount equaling the heat input under paragraph (b)(1) of this section, multiplied by the NO X emission rate under paragraph (b)(2) of this section, divided by 2,000 lb/ton, and rounded to the nearest whole allowance as appropriate.
(c) Notwithstanding paragraph (b) of this section and if the CAIR designated representative requests, and the permitting authority issues a CAIR opt-in permit” (based on a demonstration of the intent to repower stated under § 96.383(a)(5)) providing for, allocation to a CAIR NO X Ozone Season opt-in unit of CAIR NO X Ozone Season allowances under this paragraph (subject to the conditions in §§ 96.384(h) and 96.386(g)), the permitting authority will allocate to the CAIR NO X Ozone Season opt-in unit as follows:
(1) For each control period in 2009 through 2014 for which the CAIR NO X Ozone Season opt-in unit is to be allocated CAIR NO X Ozone Season allowances,
(i) The heat input (in mmBtu) used for calculating CAIR NO X Ozone Season allowance allocations will be determined as described in paragraph (b)(1) of this section.
(ii) The NO X emission rate (in lb/mmBtu) used for calculating CAIR NO X Ozone Season allowance allocations will be the lesser of:
(A) The CAIR NO X Ozone Season opt-in unit's baseline NO X emissions rate (in lb/mmBtu) determined under § 96.384(d); or
(B) The most stringent State or Federal NO X emissions limitation applicable to the CAIR NO X Ozone Season opt-in unit at any time during the control period in which the CAIR NO X Ozone Season opt-in unit enters the CAIR NO X Ozone Season Trading Program under § 96.384(g).
(iii) The permitting authority will allocate CAIR NO X Ozone Season allowances to the CAIR NO X Ozone Season opt-in unit in an amount equaling the heat input under paragraph (c)(1)(i) of this section, multiplied by the NO X emission rate under paragraph (c)(1)(ii) of this section, divided by 2,000 lb/ton, and rounded to the nearest whole allowance as appropriate.
(2) For each control period in 2015 and thereafter for which the CAIR NO X Ozone Season opt-in unit is to be allocated CAIR NO X Ozone Season allowances,
(i) The heat input (in mmBtu) used for calculating the CAIR NO X Ozone Season allowance allocations will be determined as described in paragraph (b)(1) of this section.
(ii) The NO X emission rate (in lb/mmBtu) used for calculating the CAIR NO X Ozone Season allowance allocation will be the lesser of:
(A) 0.15 lb/mmBtu;
(B) The CAIR NO X Ozone Season opt-in unit's baseline NO X emissions rate (in lb/mmBtu) determined under § 96.384(d); or
(C) The most stringent State or Federal NO X emissions limitation applicable to the CAIR NO X Ozone Season opt-in unit at any time during the control period for which CAIR NO X Ozone Season allowances are to be allocated.
(iii) The permitting authority will allocate CAIR NO X Ozone Season allowances to the CAIR NO X Ozone Season opt-in unit in an amount equaling the heat input under paragraph (c)(2)(i) of this section, multiplied by the NO X emission rate under paragraph (c)(2)(ii) of this section, divided by 2,000 lb/ton, and rounded to the nearest whole allowance as appropriate.
(d) Recordation. (1) The Administrator will record, in the compliance account of the source that includes the CAIR NO X Ozone Season opt-in unit, the CAIR NO X Ozone Season allowances allocated by the permitting authority to the CAIR NO X Ozone Season opt-in unit under paragraph (a)(1) of this section.
(2) By September 1, of the control period in which a CAIR NO X Ozone Season opt-in unit enters the CAIR NO X Ozone Season Trading Program under § 96.384(g), and September 1 of each year thereafter, the Administrator will record, in the compliance account of the source that includes the CAIR NO X Ozone Season opt-in unit, the CAIR NO X Ozone Season allowances allocated by the permitting authority to the CAIR NO X Ozone Season opt-in unit under paragraph (a)(2) of this section.