Federal Register / Vol. 75, No. 147 / Monday, August 2, 2010 / Proposed Rules 45391 

Annual Trading Program concerning 

any control periods for which the unit 

is a TR NOX Annual opt-in unit, even 

if such requirements arise or must be 

complied with after the withdrawal 

takes effect. 

(2) If the requirements for withdrawal 

under paragraphs (a) and (b) of this 

section are not met, the Administrator 

will issue a written disapproval of the 

request to withdraw. The unit covered 

by the request shall continue to be a TR 

NOX Annual opt-in unit. 

(d) Reapplication upon failure to meet 

conditions of withdrawal. If the 

Administrator disapproves the request 

to withdraw, the designated 

representative of the unit may submit 

another request to withdraw in 

accordance with paragraphs (a) and (b) 

of this section. 

(e) Ability to reapply to the TR NOX

Annual Trading Program. Once a TR 

NOX Annual opt-in unit withdraws from 

the TR NOX Annual Trading Program, 

the designated representative may not 

submit another opt-in application under 

§ 97.441 for such unit before the date 

that is 4 years after the date on which 

the withdrawal became effective. 

§ 97.443 Change in regulatory status. 

(a) Notification. If a TR NOX Annual 

opt-in unit becomes a TR NOX Annual 

unit under § 97.404, then the designated 

representative of the unit shall notify 

the Administrator in writing of such 

change in the TR NOX Annual opt-in 

unit’s regulatory status, within 30 days 

of such change. 

(b) Administrator’s actions. (1) If a TR 

NOX Annual opt-in unit becomes a TR 

NOX Annual unit under § 97.404, the 

Administrator will deduct, from the 

compliance account of the source that 

includes the TR NOX Annual opt-in unit 

that becomes a TR NOX Annual unit 

under § 97.404, TR NOX Annual 

allowances equal in amount to and 

allocated for the same or a prior control 

period as: 

(i) Any TR NOX Annual allowances 

allocated to the TR NOX Annual opt-in 

unit under § 97.444 for any control 

period starting after the date on which 

the TR NOX Annual opt-in unit becomes 

a TR NOX Annual unit under § 97.404; 

and 

(ii) If the date on which the TR NOX

Annual opt-in unit becomes a TR NOX

Annual unit under § 97.404 is not 

December 31, the TR NOX Annual 

allowances allocated to the TR NOX

Annual opt-in unit under § 97.444 for 

the control period that includes the date 

on which the TR NOX Annual opt-in 

unit becomes a TR NOX Annual unit 

under § 97.404— 

(A) Multiplied by the ratio of the 

number of days, in the control period, 

starting with the date on which the TR 

NOX Annual opt-in unit becomes a TR 

NOX Annual unit under § 97.404, 

divided by the total number of days in 

the control period, and 

(B) Rounded to the nearest allowance. 

(2) The designated representative 

shall ensure that the compliance 

account of the source that includes the 

TR NOX Annual opt-in unit that 

becomes a TR NOX Annual unit under 

§ 97.404 contains the TR NOX Annual 

allowances necessary for completion of 

the deduction under paragraph (b)(1) of 

this section. 

(3)(i) For control periods starting after 

the date on which the TR NOX Annual 

opt-in unit becomes a TR NOX Annual 

unit under § 97.404, the TR NOX Annual 

opt-in unit will be allocated TR NOX

Annual allowances in accordance with 

§ 97.412. 

(ii) If the date on which the TR NOX

Annual opt-in unit becomes a TR NOX

Annual unit under § 97.404 is not 

December 31, the following amount of 

TR NOX Annual allowances will be 

allocated to the TR NOX Annual opt-in 

unit (as a TR NOX Annual unit) in 

accordance with § 97.412 for the control 

period that includes the date on which 

the TR NOX Annual opt-in unit becomes 

a TR NOX Annual unit under § 97.404: 

(A) The amount of TR NOX Annual 

allowances otherwise allocated to the 

TR NOX Annual opt-in unit (as a TR 

NOX Annual unit) in accordance with 

§ 97.412 for the control period; 

(B) Multiplied by the ratio of the 

number of days, in the control period, 

starting with the date on which the TR 

NOX Annual opt-in unit becomes a TR 

NOX Annual unit under § 97.404, 

divided by the total number of days in 

the control period; and (C) Rounded to 

the nearest allowance. 

§ 97.444 TR NOX Annual allowance 

allocations to TR NOX Annual opt-in units. 

(a) Timing requirements. (1) When the 

TR opt-in application is approved for a 

unit under § 97.441(g), the 

Administrator will issue TR NOX

Annual allowances and allocate them to 

the unit for the control period in which 

the unit enters the TR NOX Annual 

Trading Program under § 97.441(h), in 

accordance with paragraph (b) of this 

section. 

(2) By no later than October 31 of the 

control period after the control period in 

which a TR NOX Annual opt-in unit 

enters the TR NOX Annual Trading 

Program under § 97.441(h) and October 

31 of each year thereafter, the 

Administrator will issue TR NOX

Annual allowances and allocate them to 

the TR NOX Annual opt-in unit for the 

control period that includes such 

allocation deadline and in which the 

unit is a TR NOX Annual opt-in unit, in 

accordance with paragraph (b) of this 

section. 

(b) Calculation of allocation. For each 

control period for which a TR NOX

Annual opt-in unit is to be allocated TR 

NOX Annual allowances, the 

Administrator will issue and allocate TR 

NOX Annual allowances in accordance 

with the following procedures: 

(1) The heat input (in mmBtu) used 

for calculating the TR NOX Annual 

allowance allocation will be the lesser 

of: 

(i) The TR NOX Annual opt-in unit’s 

baseline heat input determined under 

§ 97.441(g); or 

(ii) The TR NOX Annual opt-in unit’s 

heat input, as determined in accordance 

with §§ 97.430 through 97.435, for the 

immediately prior control period, 

except when the allocation is being 

calculated for the control period in 

which the TR NOX Annual opt-in unit 

enters the TR NOX Annual Trading 

Program under § 97.441(h). 

(2) The NOX emission rate (in lb/ 

mmBtu) used for calculating TR NOX

Annual allowance allocations will be 

the lesser of: 

(i) The TR NOX Annual opt-in unit’s 

baseline NOX emission rate (in lb/ 

mmBtu) determined under § 97.441(g) 

and multiplied by 70 percent; or 

(ii) The most stringent State or 

Federal NOX emissions limitation 

applicable to the TR NOX Annual optin unit at any time during the control 

period for which TR NOX Annual 

allowances are to be allocated. 

(3) The Administrator will issue TR 

NOX Annual allowances and allocate 

them to the TR NOX Annual opt-in unit 

in an amount equaling the heat input 

under paragraph (b)(1) of this section, 

multiplied by the NOX emission rate 

under paragraph (b)(2) of this section, 

divided by 2,000 lb/ton, and rounded to 

the nearest allowance. 

(c) Recordation. (1) The Administrator 

will record, in the compliance account 

of the source that includes the TR NOX

Annual opt-in unit, the TR NOX Annual 

allowances allocated to the TR NOX

Annual opt-in unit under paragraph 

(a)(1) of this section. 

(2) By December 1 of the control 

period after the control period in which 

a TR NOX Annual opt-in unit enters the 

TR NOX Annual Trading Program under 

§ 97.441(h) and December 1 of each year 

thereafter, the Administrator will 

record, in the compliance account of the 

source that includes the TR NOX

Annual opt-in unit, the TR NOX Annual 

allowances allocated to the TR NOX


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Annual opt-in unit under paragraph 

(a)(2) of this section. 

36. Part 97 is amended by adding 

subpart BBBBB to read as follows: 

Subpart BBBBB—TR NOX Ozone Season 

Trading Program 

Sec. 

97.501 Purpose. 

97.502 Definitions. 

97.503 Measurements, abbreviations, and 

acronyms. 

97.504 Applicability. 

97.505 Retired unit exemption. 

97.506 Standard requirements. 

97.507 Computation of time. 

97.508 Administrative appeal procedures. 

97.509 [Reserved] 

97.510 State NOX Ozone Season trading 

budgets, new-unit set-asides, and 

variability limits. 

97.511 Timing requirements for TR NOX

Ozone Season allowance allocations. 

97.512 TR NOX Ozone Season allowance 

allocations for new units. 

97.513 Authorization of designated 

representative and alternate designated 

representative. 

97.514 Responsibilities of designated 

representative and alternate designated 

representative. 

97.515 Changing designated representative 

and alternate designated representative; 

changes in owners and operators. 

97.516 Certificate of representation. 

97.517 Objections concerning designated 

representative and alternate designated 

representative. 

97.518 Delegation by designated 

representative and alternate designated 

representative. 

97.519 [Reserved] 

97.520 Establishment of Allowance 

Management System accounts. 

97.521 Recordation of TR NOX Ozone 

Season allowance allocations. 

97.522 Submission of TR NOX Ozone 

Season allowance transfers. 

97.523 Recordation of TR NOX Ozone 

Season allowance transfers. 

97.524 Compliance with TR NOX Ozone 

Season emissions limitation. 

97.525 Compliance with TR NOX Ozone 

Season assurance provisions. 

97.526 Banking. 

97.527 Account error. 

97.528 Administrator’s action on 

submissions. 

97.529 [Reserved] 

97.530 General monitoring, recordkeeping, 

and reporting requirements. 

97.531 Initial monitoring system 

certification and recertification 

procedures. 

97.532 Monitoring system out-of-control 

periods. 

97.533 Notifications concerning 

monitoring. 

97.534 Recordkeeping and reporting. 

97.535 Petitions for alternatives to 

monitoring, recordkeeping, or reporting 

requirements. 

97.540 General requirements for TR NOX

Ozone Season opt-in units. 

97.541 Opt-in process. 

97.542 Withdrawal of TR NOX Ozone 

Season opt-in unit from TR NOX Ozone 

Season Trading Program. 

97.543 Change in regulatory status. 

97.544 TR NOX Ozone Season allowance 

allocations to TR NOX Ozone Season optin units. 

Subpart BBBBB—TR NOX Ozone 

Season Trading Program 

§ 97.501 Purpose. 

This subpart sets forth the general, 

designated representative, allowance, 

and monitoring provisions for the 

Transport Rule (TR) NOX Ozone Season 

Trading Program, under section 110 of 

the Clean Air Act and § 52.37(b) of this 

chapter, as a means of mitigating 

interstate transport of fine particulates 

and nitrogen oxides. 

§ 97.502 Definitions. 

The terms used in this subpart shall 

have the meanings set forth in this 

section as follows: 

Acid Rain Program means a multistate SO2 and NOX air pollution control 

and emission reduction program 

established by the Administrator under 

title IV of the Clean Air Act and parts 

72 through 78 of this chapter. 

Administrator means the 

Administrator of the United States 

Environmental Protection Agency or the 

Director of the Clean Air Markets 

Division (or its successor) of the United 

States Environmental Protection 

Agency, the Administrator’s duly 

authorized representative under this 

subpart. 

Allocate or allocation means, with 

regard to TR NOX Ozone Season 

allowances, the determination by the 

Administrator of the amount of such TR 

NOX Ozone Season allowances to be 

initially credited to a TR NOX Ozone 

Season source or a new unit set-aside. 

Allowable NOX emission rate means, 

with regard to a unit, the NOX emission 

rate limit that is applicable to the unit 

and covers the longest averaging period 

not exceeding one year. 

Allowance Management System 

means the system by which the 

Administrator records allocations, 

deductions, and transfers of TR NOX

Ozone Season allowances under the TR 

NOX Ozone Season Trading Program. 

Such allowances are allocated, held, 

deducted, or transferred only as whole 

allowances. The Allowance 

Management System is a component of 

the CAMD Business System, which is 

the system used by the Administrator to 

handle TR NOX Ozone Season 

allowances and data related to NOX

emissions. 

Allowance Management System 

account means an account in the 

Allowance Management System 

established by the Administrator for 

purposes of recording the allocation, 

holding, transfer, or deduction of TR 

NOX Ozone Season allowances. 

Allowance transfer deadline means, 

for a control period, midnight of 

December 1 (if it is a business day), or 

midnight of the first business day 

thereafter (if December 1 is not a 

business day), immediately after such 

control period and is the deadline by 

which a TR NOX Ozone Season 

allowance transfer must be submitted 

for recordation in a TR NOX Ozone 

Season source’s compliance account in 

order to be available for use in 

complying with the source’s TR NOX

Ozone Season emissions limitation for 

such control period in accordance with 

§ 97.524. 

Alternate designated representative 

means, for a TR NOX Ozone Season 

source and each TR NOX Ozone Season 

unit at the source, the natural person 

who is authorized by the owners and 

operators of the source and all such 

units at the source, in accordance with 

this subpart, to act on behalf of the 

designated representative in matters 

pertaining to the TR NOX Ozone Season 

Trading Program. If the TR NOX Ozone 

Season source is also subject to the Acid 

Rain Program, TR NOX Annual Trading 

Program, TR SO2 Group 1 Trading 

Program, or TR SO2 Group 2 Trading 

Program, then this natural person shall 

be the same natural person as the 

alternate designated representative as 

defined in § 72.2 of this chapter, 

§ 97.402, § 97.602, or § 97.702 

respectively. 

Authorized account representative 

means, with regard to a general account, 

the natural person who is authorized, in 

accordance with this subpart, to transfer 

and otherwise dispose of TR NOX Ozone 

Season allowances held in the general 

account and, with regard to a TR NOX

Ozone Season source’s compliance 

account, the designated representative 

of the source. 

Automated data acquisition and 

handling system or DAHS means the 

component of the continuous emission 

monitoring system, or other emissions 

monitoring system approved for use 

under this subpart, designed to interpret 

and convert individual output signals 

from pollutant concentration monitors, 

flow monitors, diluent gas monitors, 

and other component parts of the 

monitoring system to produce a 

continuous record of the measured 

parameters in the measurement units 

required by this subpart. 

Biomass means— 

(1) Any organic material grown for the 

purpose of being converted to energy; 


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(2) Any organic byproduct of 

agriculture that can be converted into 

energy; or 

(3) Any material that can be converted 

into energy and is nonmerchantable for 

other purposes, that is segregated from 

other material that is nonmerchantable 

for other purposes, and that is; 

(i) A forest-related organic resource, 

including mill residues, precommercial 

thinnings, slash, brush, or byproduct 

from conversion of trees to 

merchantable material; or 

(ii) A wood material, including 

pallets, crates, dunnage, manufacturing 

and construction materials (other than 

pressure-treated, chemically-treated, or 

painted wood products), and landscape 

or right-of-way tree trimmings. 

Boiler means an enclosed fossil- or 

other-fuel-fired combustion device used 

to produce heat and to transfer heat to 

recirculating water, steam, or other 

medium. 

Bottoming-cycle unit means a unit in 

which the energy input to the unit is 

first used to produce useful thermal 

energy, where at least some of the reject 

heat from the useful thermal energy 

application or process is then used for 

electricity production. 

Certifying official means a natural 

person who is: 

(1) For a corporation, a president, 

secretary, treasurer, or vice-president or 

the corporation in charge of a principal 

business function or any other person 

who performs similar policy or 

decision-making functions for the 

corporation; 

(2) For a partnership or sole 

proprietorship, a general partner or the 

proprietor respectively; or 

(3) For a local government entity or 

State, federal, or other public agency, a 

principal executive officer or ranking 

elected official. 

Clean Air Act means the Clean Air 

Act, 42 U.S.C. 7401, et seq. 

Coal means any solid fuel classified as 

anthracite, bituminous, subbituminous, 

or lignite. 

Coal-derived fuel means any fuel 

(whether in a solid, liquid, or gaseous 

state) produced by the mechanical, 

thermal, or chemical processing of coal. 

Coal-fired means combusting any 

amount of coal or coal-derived fuel, 

alone or in combination with any 

amount of any other fuel, during 1990 

or any year thereafter. 

Cogeneration system means an 

integrated group, at a source, of 

equipment (including a boiler, or 

combustion turbine, and a steam turbine 

generator) designed to produce useful 

thermal energy for industrial, 

commercial, heating, or cooling 

purposes and electricity through the 

sequential use of energy. 

Cogeneration unit means a stationary, 

fossil-fuel-fired boiler or stationary, 

fossil-fuel-fired combustion turbine— 

(1) Operating as part of a cogeneration 

system; and 

(2) Producing during the later of 1990 

or the 12-month period starting on the 

date that the unit first produces 

electricity and during each calendar 

year after the later of 1990 or the 

calendar year in which the unit first 

produces electricity— 

(i) For a topping-cycle unit, 

(A) Useful thermal energy not less 

than 5 percent of total energy output; 

and 

(B) Useful power that, when added to 

one-half of useful thermal energy 

produced, is not less then 42.5 percent 

of total energy input, if useful thermal 

energy produced is 15 percent or more 

of total energy output, or not less than 

45 percent of total energy input, if 

useful thermal energy produced is less 

than 15 percent of total energy output. 

(ii) For a bottoming-cycle unit, useful 

power not less than 45 percent of total 

energy input; 

(3) Provided that the total energy 

input under paragraphs (2)(i)(B) and 

(2)(ii) of this definition shall equal the 

unit’s total energy input from all fuel, 

except biomass if the unit is a boiler; 

and 

(4) Provided that, if a topping-cycle 

unit is operated as part of a cogeneration 

system during a calendar year and the 

cogeneration system meets on a systemwide basis the requirement in paragraph 

(2)(i)(B) of this definition, the toppingcycle unit shall be deemed to meet such 

requirement during that calendar year. 

Combustion turbine means an 

enclosed device comprising: 

(1) If the device is simple cycle, a 

compressor, a combustor, and a turbine 

and in which the flue gas resulting from 

the combustion of fuel in the combustor 

passes through the turbine, rotating the 

turbine; and 

(2) If the device is combined cycle, 

the equipment described in paragraph 

(1) of this definition and any associated 

duct burner, heat recovery steam 

generator, and steam turbine. 

Commence commercial operation 

means, with regard to a unit: 

(1) To have begun to produce steam, 

gas, or other heated medium used to 

generate electricity for sale or use, 

including test generation, except as 

provided in § 97.505. 

(i) For a unit that is a TR NOX Ozone 

Season unit under § 97.504 on the later 

of November 15, 1990 or the date the 

unit commences commercial operation 

as defined in the introductory text of 

paragraph (1) of this definition and that 

subsequently undergoes a physical 

change (other than replacement of the 

unit by a unit at the same source), such 

date shall remain the date of 

commencement of commercial 

operation of the unit, which shall 

continue to be treated as the same unit. 

(ii) For a unit that is a TR NOX Ozone 

Season unit under § 97.504 on the later 

of November 15, 1990 or the date the 

unit commences commercial operation 

as defined in the introductory text of 

paragraph (1) of this definition and that 

is subsequently replaced by a unit at the 

same source, such date shall remain the 

replaced unit’s date of commencement 

of commercial operation, and the 

replacement unit shall be treated as a 

separate unit with a separate date for 

commencement of commercial 

operation as defined in paragraph (1) or 

(2) of this definition as appropriate. 

(2) Notwithstanding paragraph (1) of 

this definition and except as provided 

in § 97.505, for a unit that is not a TR 

NOX Ozone Season unit under § 97.504 

on the later of November 15, 1990 or the 

date the unit commences commercial 

operation as defined in introductory text 

of paragraph (1) of this definition, the 

unit’s date for commencement of 

commercial operation shall be the date 

on which the unit becomes a TR NOX

Ozone Season unit under § 97.504. 

(i) For a unit with a date for 

commencement of commercial 

operation as defined in the introductory 

text of paragraph (2) of this definition 

and that subsequently undergoes a 

physical change (other than replacement 

of the unit by a unit at the same source), 

such date shall remain the date of 

commencement of commercial 

operation of the unit, which shall 

continue to be treated as the same unit. 

(ii) For a unit with a date for 

commencement of commercial 

operation as defined in the introductory 

text of paragraph (2) of this definition 

and that is subsequently replaced by a 

unit at the same source, such date shall 

remain the replaced unit’s date of 

commencement of commercial 

operation, and the replacement unit 

shall be treated as a separate unit with 

a separate date for commencement of 

commercial operation as defined in 

paragraph (1) or (2) of this definition as 

appropriate. 

Commence operation means, with 

regard to a unit: 

(1) To have begun any mechanical, 

chemical, or electronic process, 

including start-up of the unit’s 

combustion chamber. 

(2) For a unit that undergoes a 

physical change (other than replacement 

of the unit by a unit at the same source) 


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after the date the unit commences 

operation as defined in paragraph (1) of 

this definition, such date shall remain 

the date of commencement of operation 

of the unit, which shall continue to be 

treated as the same unit. 

(3) For a unit that is replaced by a unit 

at the same source after the date the unit 

commences operation as defined in 

paragraph (1) of this definition, such 

date shall remain the replaced unit’s 

date of commencement of operation, 

and the replacement unit shall be 

treated as a separate unit with a separate 

date for commencement of operation as 

defined in paragraph (1), (2), or (3) of 

this definition as appropriate. 

Common stack means a single flue 

through which emissions from 2 or 

more units are exhausted. 

Compliance account means an 

Allowance Management System 

account, established by the 

Administrator for a TR NOX Ozone 

Season source under this subpart, in 

which any TR NOX Ozone Season 

allowance allocations for the TR NOX

Ozone Season units at the source are 

recorded and in which are held any TR 

NOX Ozone Season allowances available 

for use for a control period in complying 

with the source’s TR NOX Ozone Season 

emissions limitation in accordance with 

§ 97.524 and the TR NOX Ozone Season 

assurance provisions in accordance with 

§ 97.525. 

Continuous emission monitoring 

system or CEMS means the equipment 

required under this subpart to sample, 

analyze, measure, and provide, by 

means of readings recorded at least once 

every 15 minutes and using an 

automated data acquisition and 

handling system (DAHS), a permanent 

record of NOX emissions, stack gas 

volumetric flow rate, stack gas moisture 

content, and O2 or CO2 concentration (as 

applicable), in a manner consistent with 

part 75 of this chapter and §§ 97.530 

through 97.535. The following systems 

are the principal types of continuous 

emission monitoring systems: 

(1) A flow monitoring system, 

consisting of a stack flow rate monitor 

and an automated data acquisition and 

handling system and providing a 

permanent, continuous record of stack 

gas volumetric flow rate, in standard 

cubic feet per hour (scfh); 

(2) A NOX concentration monitoring 

system, consisting of a NOX pollutant 

concentration monitor and an 

automated data acquisition and 

handling system and providing a 

permanent, continuous record of NOX

emissions, in parts per million (ppm); 

(3) A NOX emission rate (or NOXdiluent) monitoring system, consisting 

of a NOX pollutant concentration 

monitor, a diluent gas (CO2 or O2) 

monitor, and an automated data 

acquisition and handling system and 

providing a permanent, continuous 

record of NOX concentration, in parts 

per million (ppm), diluent gas 

concentration, in percent CO2 or O2, and 

NOX emission rate, in pounds per 

million British thermal units (lb/ 

mmBtu); 

(4) A moisture monitoring system, as 

defined in § 75.11(b)(2) of this chapter 

and providing a permanent, continuous 

record of the stack gas moisture content, 

in percent H2O; 

(5) A CO2 monitoring system, 

consisting of a CO2 pollutant 

concentration monitor (or an O2 monitor 

plus suitable mathematical equations 

from which the CO2 concentration is 

derived) and an automated data 

acquisition and handling system and 

providing a permanent, continuous 

record of CO2 emissions, in percent CO2; 

and 

(6) An O2 monitoring system, 

consisting of an O2 concentration 

monitor and an automated data 

acquisition and handling system and 

providing a permanent, continuous 

record of O2, in percent O2. 

Control period means the period 

starting May 1 of a calendar year, except 

as provided in § 97.506(c)(3), and 

ending on September 30 of the same 

year, inclusive. 

Designated representative means, for 

a TR NOX Ozone Season source and 

each TR NOX Ozone Season unit at the 

source, the natural person who is 

authorized by the owners and operators 

of the source and all such units at the 

source, in accordance with this subpart, 

to represent and legally bind each 

owner and operator in matters 

pertaining to the TR NOX Ozone Season 

Trading Program. If the TR NOX Ozone 

Season source is also subject to the Acid 

Rain Program, TR NOX Annual Trading 

Program, TR SO2 Group 1 Trading 

Program, or TR SO2 Group 2 Trading 

Program, then this natural person shall 

be the same natural person as the 

designated representative, as defined in 

§ 72.2 of this chapter, § 97.402, § 97.602, 

or § 97.702 respectively. 

Emissions means air pollutants 

exhausted from a unit or source into the 

atmosphere, as measured, recorded, and 

reported to the Administrator by the 

designated representative and as 

modified by the Administrator in 

accordance with this subpart. 

Excess emissions means any ton of 

NOX emitted from the TR NOX Ozone 

Season units at a TR NOX Ozone Season 

source during a control period that 

exceeds the TR NOX Ozone Season 

emissions limitation for the source. 

Fossil fuel means— 

(1) Natural gas, petroleum, coal, or 

any form of solid, liquid, or gaseous fuel 

derived from such material; or 

(2) For purposes of applying 

§§ 97.504(b)(2)(i)(B), 97.504(b)(2)(ii)(B), 

and 97.504(b)(2)(iii), natural gas, 

petroleum, coal, or any form of solid, 

liquid, or gaseous fuel derived from 

such material for the purpose of creating 

useful heat. 

Fossil-fuel-fired means, with regard to 

a unit, combusting any amount of fossil 

fuel in 1990 or any calendar year 

thereafter. 

Fuel oil means any petroleum-based 

fuel (including diesel fuel or petroleum 

derivatives such as oil tar) and any 

recycled or blended petroleum products 

or petroleum by-products used as a fuel 

whether in a liquid, solid, or gaseous 

state. 

General account means an Allowance 

Management System account, 

established under this subpart, that is 

not a compliance account. 

Generator means a device that 

produces electricity. 

Gross electrical output means, with 

regard to a unit, electricity made 

available for use, including any such 

electricity used in the power production 

process (which process includes, but is 

not limited to, any on-site processing or 

treatment of fuel combusted at the unit 

and any on-site emission controls). 

Heat input means, with regard to a 

unit for a specified period of time, the 

product (in mmBtu/time) of the gross 

calorific value of the fuel (in mmBtu/lb) 

multiplied by the fuel feed rate into a 

combustion device (in lb of fuel/time), 

as measured, recorded, and reported to 

the Administrator by the designated 

representative and as modified by the 

Administrator in accordance with this 

subpart and excluding the heat derived 

from preheated combustion air, 

recirculated flue gases, or exhaust. 

Heat input rate means the amount of 

heat input (in mmBtu) divided by unit 

operating time (in hr) or, with regard to 

a specific fuel, the amount of heat input 

attributed to the fuel (in mmBtu) 

divided by the unit operating time (in 

hr) during which the unit combusts the 

fuel. 

Life-of-the-unit, firm power 

contractual arrangement means a unit 

participation power sales agreement 

under which a utility or industrial 

customer reserves, or is entitled to 

receive, a specified amount or 

percentage of nameplate capacity and 

associated energy generated by any 

specified unit and pays its proportional 

amount of such unit’s total costs, 

pursuant to a contract: 

(1) For the life of the unit; 


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(2) For a cumulative term of no less 

than 30 years, including contracts that 

permit an election for early termination; 

or 

(3) For a period no less than 25 years 

or 70 percent of the economic useful life 

of the unit determined as of the time the 

unit is built, with option rights to 

purchase or release some portion of the 

nameplate capacity and associated 

energy generated by the unit at the end 

of the period. 

Maximum design heat input means 

the maximum amount of fuel per hour 

(in Btu/hr) that a unit is capable of 

combusting on a steady state basis as of 

the initial installation of the unit as 

specified by the manufacturer of the 

unit. 

Monitoring system means any 

monitoring system that meets the 

requirements of this subpart, including 

a continuous emission monitoring 

system, an alternative monitoring 

system, or an excepted monitoring 

system under part 75 of this chapter. 

Nameplate capacity means, starting 

from the initial installation of a 

generator, the maximum electrical 

generating output (in MWe) that the 

generator is capable of producing on a 

steady state basis and during continuous 

operation (when not restricted by 

seasonal or other deratings) as of such 

installation as specified by the 

manufacturer of the generator or, 

starting from the completion of any 

subsequent physical change in the 

generator resulting in an increase in the 

maximum electrical generating output 

(in MWe) that the generator is capable 

of producing on a steady state basis and 

during continuous operation (when not 

restricted by seasonal or other 

deratings), such increased maximum 

amount as of such completion as 

specified by the person conducting the 

physical change. 

Newly affected TR NOX Ozone Season 

unit means a unit that was not a TR NOX

Ozone Season unit when it began 

operating but that thereafter becomes a 

TR NOX Ozone Season unit. 

Operate or operation means, with 

regard to a unit, to combust fuel. 

Operator means any person who 

operates, controls, or supervises a TR 

NOX Ozone Season unit or a TR NOX

Ozone Season source and shall include, 

but not be limited to, any holding 

company, utility system, or plant 

manager of such a unit or source. 

Owner means, with regard to a TR 

NOX Ozone Season source or a TR NOX

Ozone Season unit at a source 

respectively, any of the following 

persons: 

(1) Any holder of any portion of the 

legal or equitable title in a TR NOX

Ozone Season unit at the source or the 

TR NOX Ozone Season unit; 

(2) Any holder of a leasehold interest 

in a TR NOX Ozone Season unit at the 

source or the TR NOX Ozone Season 

unit, provided that, unless expressly 

provided for in a leasehold agreement, 

‘‘owner’’ shall not include a passive 

lessor, or a person who has an equitable 

interest through such lessor, whose 

rental payments are not based (either 

directly or indirectly) on the revenues or 

income from such TR NOX Ozone 

Season unit; 

(3) Any purchaser of power from a TR 

NOX Ozone Season unit at the source or 

the TR NOX Ozone Season unit under a 

life-of-the-unit, firm power contractual 

arrangement; 

(4) Provided that, for purposes of 

applying the TR NOX Ozone Season 

assurance provisions in §§ 97.506(c)(2) 

and 97.525, if one or more owners (as 

defined in paragraphs (1) through (3) of 

this definition) of one or more TR NOX

Ozone Season units in a State are 

wholly owned by another, common 

owner, all such owners shall be treated 

collectively as a single owner in the 

State. 

Owner’s assurance level means: 

(1) With regard to a State and control 

period for which the State assurance 

level is exceeded as described in 

§ 97.506(c)(2)(iii)(A) and not as 

described in § 97.506(c)(2)(iii)(B), the 

owner’s share of the State NOX Ozone 

Season trading budget with the one-year 

variability limit for the State for such 

control period; or 

(2) With regard to a State and control 

period for which the State assurance 

level is exceeded as described in 

§ 97.506(c)(2)(iii)(B), the owner’s share 

of the State NOX Ozone Season trading 

budget with the three-year variability 

limit for the State for such control 

period. 

Owner’s share means: 

(1) With regard to a total amount of 

NOX emissions from all TR NOX Ozone 

Season units in a State during a control 

period, the total tonnage of NOX

emissions during such control period 

from all of the owner’s TR NOX Ozone 

Season units in the State; 

(2) With regard to a State NOX Ozone 

Season trading budget with a one-year 

variability limit for a control period, the 

amount (rounded to the nearest 

allowance) equal to the total amount of 

TR NOX Ozone Season allowances 

allocated for such control period to all 

of the owner’s TR NOX Ozone Season 

units in the State, multiplied by the sum 

of the State NOX Ozone Season trading 

budget under § 97.510(a) and the State’s 

one-year variability limit under 

§ 97.510(b) and divided by such State 

NOX Ozone Season trading budget; 

(3) With regard to a State NOX Ozone 

Season trading budget with a three-year 

variability limit for a control period, the 

amount (rounded to the nearest 

allowance) equal to the total amount of 

TR NOX Ozone Season allowances 

allocated for such control period to all 

of the owner’s TR NOX Ozone Season 

units in the State, multiplied by the sum 

of the State NOX Ozone Season trading 

budget under § 97.510(a) and the State’s 

three-year variability limit under 

§ 97.510(b) and divided by such State 

NOX Ozone Season trading budget; 

(4) Provided that, in the case of a unit 

with more than one owner, the amount 

of tonnage of NOX emissions and of TR 

NOX Ozone Season allowances allocated 

for a control period, with regard to such 

unit, used in determining each owner’s 

share shall be the amount (rounded to 

the nearest ton and the nearest 

allowance) equal to the unit’s NOX

emissions and allocation of such 

allowances, respectively, for such 

control period multiplied by the 

percentage of ownership in the unit that 

the owner’s legal, equitable, leasehold, 

or contractual reservation or entitlement 

in the unit comprises as of September 

30 of such control period; 

(5) Provided that, where two or more 

units emit through a common stack that 

is the monitoring location from which 

NOX mass emissions are reported for a 

control period for a year, the amount of 

tonnage of each unit’s NOX emissions 

used in determining each owner’s share 

for such control period shall be: 

(i) The amount (rounded to the 

nearest ton) of NOX emissions reported 

at the common stack multiplied by the 

quotient of such unit’s heat input for 

such control period divided by the total 

heat input reported from the common 

stack for such control period; 

(ii) An amount determined in 

accordance with a methodology that the 

Administrator determines is consistent 

with the purposes of this definition and 

whose adverse effect (if any) the 

Administrator determines will be de 

minimis; or 

(iii) An amount approved by the 

Administrator in response to a petition 

for an alternative requirement submitted 

in accordance with § 97.535; and 

(6) Provided that, in the case of a unit 

that operates during, but is allocated no 

TR NOX Ozone Season allowances for, 

a control period, the unit shall be 

treated, solely for purposes of this 

definition, as being allocated an amount 

(rounded to the nearest allowance) of 

TR NOX Ozone Season allowances for 

such control period equal to the lesser 

of— 


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(i) The unit’s allowable NOX emission 

rate (in lb per MWe) applicable to such 

control period, multiplied by a capacity 

factor of 0.89 (if the unit is a coal-fired 

boiler), 0.22 (if the unit is a simple 

combustion turbine), or 0.72 (if the unit 

is a combined cycle turbine), multiplied 

by the unit’s maximum hourly load as 

reported in accordance with this subpart 

and by 3,672 hours/control period, and 

divided by 2,000 lb/ton; or 

(ii) For a unit listed in appendix A to 

this subpart, the sum of the unit’s NOX

emissions in the control period in the 

last three years during which the unit 

operated during the control period, 

divided by three. 

Permanently retired means, with 

regard to a unit, a unit that is 

unavailable for service and that the 

unit’s owners and operators do not 

expect to return to service in the future. 

Permitting authority means 

‘‘permitting authority’’ as defined in 

§§ 70.2 and 71.2 of this chapter. 

Potential electrical output capacity 

means 33 percent of a unit’s maximum 

design heat input, divided by 3,413 Btu/ 

kWh, divided by 1,000 kWh/MWh, and 

multiplied by 8,760 hr/yr. 

Receive or receipt of means, when 

referring to the Administrator, to come 

into possession of a document, 

information, or correspondence 

(whether sent in hard copy or by 

authorized electronic transmission), as 

indicated in an official log, or by a 

notation made on the document, 

information, or correspondence, by the 

Administrator in the regular course of 

business. 

Recordation, record, or recorded 

means, with regard to TR NOX Ozone 

Season allowances, the moving of TR 

NOX Ozone Season allowances by the 

Administrator into, out of, or between 

Allowance Management System 

accounts, for purposes of allocation, 

transfer, or deduction. 

Reference method means any direct 

test method of sampling and analyzing 

for an air pollutant as specified in 

§ 75.22 of this chapter. 

Replacement, replace, or replaced 

means, with regard to a unit, the 

demolishing of a unit, or the permanent 

retirement and permanent disabling of a 

unit, and the construction of another 

unit (the replacement unit) to be used 

instead of the demolished or retired unit 

(the replaced unit). 

Sequential use of energy means: 

(1) For a topping-cycle unit, the use 

of reject heat from electricity production 

in a useful thermal energy application 

or process; or 

(2) For a bottoming-cycle unit, the use 

of reject heat from useful thermal energy 

application or process in electricity 

production. 

Serial number means, for a TR NOX

Ozone Season allowance, the unique 

identification number assigned to each 

TR NOX Ozone Season allowance by the 

Administrator. 

Solid waste incineration unit means a 

stationary, fossil-fuel-fired boiler or 

stationary, fossil-fuel-fired combustion 

turbine that is a ‘‘solid waste 

incineration unit’’ as defined in section 

129(g)(1) of the Clean Air Act. 

Source means all buildings, 

structures, or installations located in 

one or more contiguous or adjacent 

properties under common control of the 

same person or persons. This definition 

does not change or otherwise affect the 

definition of ‘‘major source’’, ‘‘stationary 

source’’, or ‘‘source’’ as set forth and 

implemented in a title V operating 

permit program or any other program 

under the Clean Air Act. 

State means one of the States or the 

District of Columbia that is subject to 

the TR NOX Ozone Season Trading 

Program pursuant to § 52.37(b) of this 

chapter. 

Submit or serve means to send or 

transmit a document, information, or 

correspondence to the person specified 

in accordance with the applicable 

regulation: 

(1) In person; 

(2) By United States Postal Service; or 

(3) By other means of dispatch or 

transmission and delivery; 

(4) Provided that compliance with any 

‘‘submission’’ or ‘‘service’’ deadline shall 

be determined by the date of dispatch, 

transmission, or mailing and not the 

date of receipt. 

Topping-cycle unit means a unit in 

which the energy input to the unit is 

first used to produce useful power, 

including electricity, where at least 

some of the reject heat from the 

electricity production is then used to 

provide useful thermal energy. 

Total energy input means total energy 

of all forms supplied to a unit, 

excluding energy produced by the unit. 

Each form of energy supplied shall be 

measured by the lower heating value of 

that form of energy calculated as 

follows: 

LHV = HHV ¥ 10.55 (W + 9H) 

Where: 

LHV = lower heating value of the form of 

energy in Btu/lb, 

HHV = higher heating value of the form of 

energy in Btu/lb, 

W = weight % of moisture in the form of 

energy, and 

H = weight % of hydrogen in the form of 

energy. 

Total energy output means the sum of 

useful power and useful thermal energy 

produced by the unit. 

TR NOX Annual Trading Program 

means a multi-state NOX air pollution 

control and emission reduction program 

established by the Administrator in 

accordance with subpart AAAAA of this 

part and 52.37(a) of this chapter, as a 

means of mitigating interstate transport 

of fine particulates and NOX.

TR NOX Ozone Season allowance 

means a limited authorization issued 

and allocated by the Administrator 

under this subpart to emit one ton of 

NOX during a control period of the 

specified calendar year for which the 

authorization is allocated or of any 

calendar year thereafter under the TR 

NOX Ozone Season Program. 

TR NOX Ozone Season allowance 

deduction or deduct TR NOX Ozone 

Season allowances means the 

permanent withdrawal of TR NOX

Ozone Season allowances by the 

Administrator from a compliance 

account, e.g., in order to account for 

compliance with the TR NOX Ozone 

Season emissions limitation or 

assurance provisions. 

TR NOX Ozone Season allowances 

held or hold TR NOX Ozone Season 

allowances means the TR NOX Ozone 

Season allowances treated as included 

in an Allowance Management System 

account as of a specified point in time 

because at that time they: 

(1) Have been recorded by the 

Administrator in the account or 

transferred into the account by a 

correctly submitted, but not yet 

recorded, TR NOX Ozone Season 

allowance transfer in accordance with 

this subpart; and 

(2) Have not been transferred out of 

the account by a correctly submitted, 

but not yet recorded, TR NOX Ozone 

Season allowance transfer in accordance 

with this subpart. 

TR NOX Ozone Season emissions 

limitation means, for a TR NOX Ozone 

Season source, the tonnage of NOX

emissions authorized in a control period 

by the TR NOX Ozone Season 

allowances available for deduction for 

the source under § 97.524(a) for such 

control period. 

TR NOX Ozone Season Trading 

Program means a multi-state NOX air 

pollution control and emission 

reduction program established by the 

Administrator in accordance with this 

subpart and 52.37(b) of this chapter, as 

a means of mitigating interstate 

transport of ozone and NOX.

TR NOX Ozone Season source means 

a source that includes one or more TR 

NOX Ozone Season units. 


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TR NOX Ozone Season unit means a 

unit that is subject to the TR NOX Ozone 

Season Trading Program under § 97.504. 

TR SO2 Group 1 Trading Program 

means a multi-state SO2 air pollution 

control and emission reduction program 

established by the Administrator in 

accordance with subpart CCCCC of this 

part and 52.38(b) of this chapter, as a 

means of mitigating interstate transport 

of fine particulates and SO2.

TR SO2 Group 2 Trading Program 

means a multi-state SO2 air pollution 

control and emission reduction program 

established by the Administrator in 

accordance with subpart DDDDD of this 

part and 52.38(c) of this chapter, as a 

means of mitigating interstate transport 

of fine particulates and SO2.

Unit means a stationary, fossil-fuelfired boiler, stationary, fossil-fuel-fired 

combustion turbine, or other stationary, 

fossil-fuel-fired combustion device. 

Unit operating day means a calendar 

day in which a unit combusts any fuel. 

Unit operating hour or hour of unit 

operation means an hour in which a 

unit combusts any fuel. 

Useful power means electricity or 

mechanical energy that a unit makes 

available for use, excluding any such 

energy used in the power production 

process (which process includes, but is 

not limited to, any on-site processing or 

treatment of fuel combusted at the unit 

and any on-site emission controls). 

Useful thermal energy means thermal 

energy that is: 

(1) Made available to an industrial or 

commercial process (not a power 

production process), excluding any heat 

contained in condensate return or 

makeup water; 

(2) Used in a heating application (e.g., 

space heating or domestic hot water 

heating); or 

(3) Used in a space cooling 

application (i.e., in an absorption 

chiller). 

Utility power distribution system 

means the portion of an electricity grid 

owned or operated by a utility and 

dedicated to delivering electricity to 

customers. 

§ 97.503 Measurements, abbreviations, 

and acronyms. 

Measurements, abbreviations, and 

acronyms used in this subpart are 

defined as follows: 

Btu—British thermal unit 

CO2—carbon dioxide 

H2O—water 

hr—hour 

kW—kilowatt electrical 

kWh—kilowatt hour 

lb—pound 

mmBtu—million Btu 

MWe—megawatt electrical 

MWh—megawatt hour 

NOX—nitrogen oxides 

O2—oxygen 

ppm—parts per million 

scfh—standard cubic feet per hour 

SO2—sulfur dioxide 

yr—year 

§ 97.504 Applicability. 

(a) Except as provided in paragraph 

(b) of this section: 

(1) The following units in a State shall 

be TR NOX Ozone Season units, and any 

source that includes one or more such 

units shall be a TR NOX Ozone Season 

source, subject to the requirements of 

this subpart: Any stationary, fossil-fuelfired boiler or stationary, fossil-fuelfired combustion turbine serving at any 

time, since the later of November 15, 

1990 or the start-up of the unit’s 

combustion chamber, a generator with 

nameplate capacity of more than 25 

MWe producing electricity for sale. 

(2) If a stationary boiler or stationary 

combustion turbine that, under 

paragraph (a)(1) of this section, is not a 

TR NOX Ozone Season unit begins to 

combust fossil fuel or to serve a 

generator with nameplate capacity of 

more than 25 MWe producing electricity 

for sale, the unit shall become a TR NOX

Ozone Season unit as provided in 

paragraph (a)(1) of this section on the 

first date on which it both combusts 

fossil fuel and serves such generator. 

(b) Any unit in a State that otherwise 

is a TR NOX Ozone Season unit under 

paragraph (a) of this section and that 

meets the requirements set forth in 

paragraph (b)(1)(i), (b)(2)(i), or (b)(2)(ii) 

of this section shall not be a TR NOX

Ozone Season unit: 

(1)(i) Any unit: 

(A) Qualifying as a cogeneration unit 

during the later of 1990 or the 12-month 

period starting on the date the unit first 

produces electricity and continuing to 

qualify as a cogeneration unit; and 

(B) Not serving at any time, since the 

later of November 15, 1990 or the startup of the unit’s combustion chamber, a 

generator with nameplate capacity of 

more than 25 MWe supplying in any 

calendar year more than one-third of the 

unit’s potential electric output capacity 

or 219,000 MWh, whichever is greater, 

to any utility power distribution system 

for sale. 

(ii) If a unit qualifies as a cogeneration 

unit during the later of 1990 or the 12- 

month period starting on the date the 

unit first produces electricity and meets 

the requirements of paragraphs (b)(1)(i) 

of this section for at least one calendar 

year, but subsequently no longer meets 

such qualification and requirements, the 

unit shall become a TR NOX Ozone 

Season unit starting on the earlier of 

January 1 after the first calendar year 

during which the unit first no longer 

qualifies as a cogeneration unit or 

January 1 after the first calendar year 

during which the unit no longer meets 

the requirements of paragraph 

(b)(1)(i)(B) of this section. 

(2)(i) Any unit commencing operation 

before January 1, 1985: 

(A) Qualifying as a solid waste 

incineration unit during the later of 

1990 or the 12-month period starting on 

the date the unit first produces 

electricity and continuing to qualify as 

a solid waste incineration unit; and 

(B) With an average Ozone Season 

fuel consumption of fossil fuel for 1985– 

1987 less than 20 percent (on a Btu 

basis) and an average Ozone Season fuel 

consumption of fossil fuel for any 3 

consecutive calendar years after 1990 

less than 20 percent (on a Btu basis). 

(ii) Any unit commencing operation 

on or after January 1, 1985: 

(A) Qualifying as a solid waste 

incineration unit during the later of 

1990 or the 12-month period starting on 

the date the unit first produces 

electricity and continuing to qualify as 

a solid waste incineration unit; and 

(B) With an average Ozone Season 

fuel consumption of fossil fuel for the 

first 3 calendar years of operation less 

than 20 percent (on a Btu basis) and an 

average Ozone Season fuel consumption 

of fossil fuel for any 3 consecutive 

calendar years after 1990 less than 20 

percent (on a Btu basis). 

(iii) If a unit qualifies as a solid waste 

incineration unit during the later of 

1990 or the 12-month period starting on 

the date the unit first produces 

electricity and meets the requirements 

of paragraph (b)(2)(i) or (ii) of this 

section for at least 3 consecutive 

calendar years, but subsequently no 

longer meets such qualification and 

requirements, the unit shall become a 

TR NOX Ozone Season unit starting on 

the earlier of January 1 after the first 

calendar year during which the unit first 

no longer qualifies as a solid waste 

incineration unit or January 1 after the 

first 3 consecutive calendar years after 

1990 for which the unit has an average 

Ozone Season fuel consumption of 

fossil fuel of 20 percent or more. 

(c) A certifying official of an owner or 

operator of any unit or other equipment 

may submit a petition (including any 

supporting documents) to the 

Administrator at any time for a 

determination concerning the 

applicability, under paragraphs (a) and 

(b) of this section, of the TR NOX Ozone 

Season Trading Program to the unit or 

other equipment. 

(1) Petition content. The petition shall 

be in writing and include the 

identification of the unit or other 


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equipment and the relevant facts about 

the unit or other equipment. The 

petition and any other documents 

provided to the Administrator in 

connection with the petition shall 

include the following certification 

statement, signed by the certifying 

official: ‘‘I am authorized to make this 

submission on behalf of the owners and 

operators of the unit or other equipment 

for which the submission is made. I 

certify under penalty of law that I have 

personally examined, and am familiar 

with, the statements and information 

submitted in this document and all its 

attachments. Based on my inquiry of 

those individuals with primary 

responsibility for obtaining the 

information, I certify that the statements 

and information are to the best of my 

knowledge and belief true, accurate, and 

complete. I am aware that there are 

significant penalties for submitting false 

statements and information or omitting 

required statements and information, 

including the possibility of fine or 

imprisonment.’’ 

(2) Response. The Administrator will 

issue a written response to the petition 

and may request supplemental 

information determined by the 

Administrator to be relevant to such 

petition. The Administrator’s 

determination concerning the 

applicability, under paragraphs (a) and 

(b) of this section, of the TR NOX Ozone 

Season Trading Program to the unit or 

other equipment shall be binding on any 

permitting authority unless the 

Administrator determines that the 

petition or other documents or 

information provided in connection 

with the petition contained significant, 

relevant errors or omissions. 

§ 97.505 Retired unit exemption. 

(a)(1) Any TR NOX Ozone Season unit 

that is permanently retired and is not a 

TR NOX Ozone Season opt-in unit shall 

be exempt from § 97.506(b) and (c)(1), 

§ 97.524, and §§ 97.530 through 97.535. 

(2) The exemption under paragraph 

(a)(1) of this section shall become 

effective the day on which the TR NOX

Ozone Season unit is permanently 

retired. Within 30 days of the unit’s 

permanent retirement, the designated 

representative shall submit a statement 

to the Administrator. The statement 

shall state, in a format prescribed by the 

Administrator, that the unit was 

permanently retired on a specified date 

and will comply with the requirements 

of paragraph (b) of this section. 

(b) Special provisions. (1) A unit 

exempt under paragraph (a) of this 

section shall not emit any NOX, starting 

on the date that the exemption takes 

effect. 

(2) For a period of 5 years from the 

date the records are created, the owners 

and operators of a unit exempt under 

paragraph (a) of this section shall retain, 

at the source that includes the unit, 

records demonstrating that the unit is 

permanently retired. The 5-year period 

for keeping records may be extended for 

cause, at any time before the end of the 

period, in writing by the Administrator. 

The owners and operators bear the 

burden of proof that the unit is 

permanently retired. 

(3) The owners and operators and, to 

the extent applicable, the designated 

representative of a unit exempt under 

paragraph (a) of this section shall 

comply with the requirements of the TR 

NOX Ozone Season Trading Program 

concerning all periods for which the 

exemption is not in effect, even if such 

requirements arise, or must be complied 

with, after the exemption takes effect. 

(4) A unit exempt under paragraph (a) 

of this section shall lose its exemption 

on the first date on which the unit 

resumes operation. Such unit shall be 

treated, for purposes of applying 

allocation, monitoring, reporting, and 

recordkeeping requirements under this 

subpart, as a unit that commences 

commercial operation on the first date 

on which the unit resumes operation. 

§ 97.506 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 

§§ 97.513 through 97.518. 

(b) Emissions monitoring, reporting, 

and recordkeeping requirements. (1) 

The owners and operators, and the 

designated representative, of each TR 

NOX Ozone Season source and each TR 

NOX Ozone Season unit at the source 

shall comply with the monitoring, 

reporting, and recordkeeping 

requirements of §§ 97.530 through 

97.535. 

(2) The emissions data determined in 

accordance with §§ 97.530 through 

97.535 shall be used to calculate 

allocations of TR NOX Ozone Season 

allowances under §§ 97.511(a)(2) and (b) 

and 97.512 and to determine 

compliance with the TR NOX Ozone 

Season 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 

§§ 97.530 through 97.535 and rounded 

to the nearest ton, with any fraction of 

a ton less than 0.50 being deemed to be 

zero. 

(c) NOX emissions requirements—(1) 

TR NOX Ozone Season emissions 

limitation. (i) As of the allowance 

transfer deadline for a control period, 

the owners and operators of each TR 

NOX Ozone Season source and each TR 

NOX Ozone Season unit at the source 

shall hold, in the source’s compliance 

account, TR NOX Ozone Season 

allowances available for deduction for 

such control period under § 97.524(a) in 

an amount not less than the tons of total 

NOX emissions for such control period 

from all TR NOX Ozone Season units at 

the source. 

(ii) If a TR NOX Ozone Season source 

emits NOX during any control period in 

excess of the TR NOX Ozone Season 

emissions limitation set forth in 

paragraph (c)(1)(i) of this section, then: 

(A) The owners and operators of the 

source and each TR NOX Ozone Season 

unit at the source shall hold the TR NOX

Ozone Season allowances required for 

deduction under § 97.524(d) and pay 

any fine, penalty, or assessment or 

comply with any other remedy imposed, 

for the same violations, under the Clean 

Air Act; and 

(B) 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) TR NOX Ozone Season assurance 

provisions. (i) If the total amount of 

NOX emissions from all TR NOX Ozone 

Season units in a State during a control 

period in 2014 or any year thereafter 

exceeds the State assurance level as 

described in paragraph (c)(2)(iii) of this 

section, then each owner whose share of 

such NOX emissions during such 

control period exceeds the owner’s 

assurance level for the State and such 

control period shall hold, in a 

compliance account designated by the 

owner in accordance with 

§ 97.525(b)(4)(ii), TR NOX Ozone Season 

allowances available for deduction for 

such control period under § 97.525(a) in 

an amount equal to the product, as 

determined by the Administrator in 

accordance with § 97.525(b), of 

multiplying— 

(A) The quotient (rounded to the 

nearest whole number) of the amount by 

which the owner’s share of such NOX

emissions exceeds the owner’s 

assurance level divided by the sum of 

the amounts, determined for all such 

owners, by which each owner’s share of 

such NOX emissions exceeds that 

owner’s assurance level; and 

(B) The amount by which total NOX

emissions for all TR NOX Ozone Season 


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units in the State for such control period 

exceed the State assurance level as 

determined in accordance with 

paragraph (c)(2)(iii) of this section. 

(ii) The owner shall hold the TR NOX

Ozone Season allowances required 

under paragraph (c)(2)(i) of this section, 

as of midnight of August 1 (if it is a 

business day), or midnight of the first 

business day thereafter (if August 1 is 

not a business day), immediately after 

such control period. 

(iii) The total amount of NOX

emissions from all TR NOX Ozone 

Season units in a State during a control 

period in 2014 or any year thereafter 

exceeds the State assurance level: 

(A) If such total amount of NOX

emissions exceeds the sum, for such 

control period, of the State NOX Ozone 

Season trading budget and the State’s 

one-year variability limit under 

§ 97.510(b); or 

(B) If, with regard to a control period 

in 2016 or any year thereafter, the sum, 

divided by three, of such total amount 

of NOX emissions and the total amounts 

of NOX emissions from all TR NOX

Ozone Season units in the State during 

the control periods in the immediately 

preceding two years exceeds the sum, 

for such control period, of the State NOX

Ozone Season trading budget and the 

State’s three-year variability limit under 

§ 97.510(b); 

(C) Provided that the amount by 

which such total amount of NOX

emissions exceeds the State assurance 

level shall be the greater of the amounts 

of the exceedance calculated under 

paragraph (c)(2)(iii)(A) of this section 

and under paragraph (c)(2)(iii)(B) of this 

section. 

(iv) It shall not be a violation of this 

subpart or of the Clean Air Act if the 

total amount of NOX emissions from all 

TR NOX Ozone Season units in a State 

during a control period exceeds the 

State assurance level or if an owner’s 

share of total NOX emissions from the 

TR NOX Ozone Season units in a State 

during a control period exceeds the 

owner’s assurance level. 

(v) To the extent an owner fails to 

hold TR NOX Ozone Season allowances 

for a control period in accordance with 

paragraphs (c)(2)(i) and (ii) of this 

section, 

(A) The owner shall pay any fine, 

penalty, or assessment or comply with 

any other remedy imposed under the 

Clean Air Act; and 

(B) Each TR NOX Ozone Season 

allowance that the owner fails to hold 

for a control period in accordance with 

paragraphs (c)(2)(i) and (ii) 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. A TR NOX

Ozone Season unit shall be subject to 

the requirements: 

(i) Under paragraph (c)(1) of this 

section for the control period starting on 

the later of September 1, 2012 or the 

deadline for meeting the unit’s monitor 

certification requirements under 

§ 97.530(b) and for each control period 

thereafter; and 

(ii) Under paragraph (c)(2) of this 

section for the control period starting on 

the later of September 1, 2014 or the 

deadline for meeting the unit’s monitor 

certification requirements under 

§ 97.530(b) and for each control period 

thereafter. 

(4) Vintage of deducted allowances. A 

TR NOX Ozone Season allowance shall 

not be deducted, for compliance with 

the requirements under paragraphs 

(c)(1) and (2) of this section, for a 

control period in a calendar year before 

the year for which the TR NOX Ozone 

Season allowance was allocated. 

(5) Allowance Management System 

requirements. Each TR NOX Ozone 

Season 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. (i) A TR 

NOX Ozone Season allowance is a 

limited authorization to emit one ton of 

NOX in accordance with the TR NOX

Ozone Season Trading Program. 

(ii) Notwithstanding any other 

provision of this subpart, the 

Administrator has the authority to 

terminate or limit 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 TR NOX Ozone 

Season 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 TR NOX Ozone Season 

allowances in accordance with this 

subpart. 

(2) A description of whether a unit is 

required to monitor and report NOX

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 

§§ 97.530 through 97.535 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 TR NOX

Ozone Season source and each TR NOX

Ozone Season 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 § 97.516 for the designated 

representative for the source and each 

TR NOX Ozone Season unit at the 

source and all documents that 

demonstrate the truth of the statements 

in the certificate of representation; 

provided that the certificate and 

documents shall be retained on site at 

the source beyond such 5-year period 

until such documents are superseded 

because of the submission of a new 

certificate of representation under 

§ 97.516 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 TR NOX Ozone 

Season Trading Program, including any 

monitoring plans and monitoring 

system certification and recertification 

applications. 

(2) The designated representative of a 

TR NOX Ozone Season source and each 

TR NOX Ozone Season unit at the 

source shall make all submissions 

required under the TR NOX Ozone 

Season Trading Program, including any 

submissions required for compliance 

with the TR NOX Ozone Season 

assurance provisions. This requirement 

does not change, create an exemption 

from, or or otherwise affect the 

responsible official submission 

requirements under a title V operating 


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permit program in parts 70 and 71 of 

this chapter. 

(f) Liability. (1) Any provision of the 

TR NOX Ozone Season Trading Program 

that applies to a TR NOX Ozone Season 

source or the designated representative 

of a TR NOX Ozone Season source shall 

also apply to the owners and operators 

of such source and of the TR NOX

Ozone Season units at the source. 

(2) Any provision of the TR NOX

Ozone Season Trading Program that 

applies to a TR NOX Ozone Season unit 

or the designated representative of a TR 

NOX Ozone Season unit shall also apply 

to the owners and operators of such 

unit. 

(g) Effect on other authorities. No 

provision of the TR NOX Ozone Season 

Trading Program or exemption under 

§ 97.505 shall be construed as 

exempting or excluding the owners and 

operators, and the designated 

representative, of a TR NOX Ozone 

Season source or TR NOX Ozone Season 

unit from compliance with any other 

provision of the applicable, approved 

State implementation plan, a federally 

enforceable permit, or the Clean Air Act. 

§ 97.507 Computation of time. 

(a) Unless otherwise stated, any time 

period scheduled, under the TR NOX

Ozone Season Trading Program, to begin 

on the occurrence of an act or event 

shall begin on the day the act or event 

occurs. 

(b) Unless otherwise stated, any time 

period scheduled, under the TR NOX

Ozone Season Trading Program, to begin 

before the occurrence of an act or event 

shall be computed so that the period 

ends the day before the act or event 

occurs. 

(c) Unless otherwise stated, if the final 

day of any time period, under the TR 

NOX Ozone Season Trading Program, 

falls on a weekend or a State or Federal 

holiday, the time period shall be 

extended to the next business day. 

§ 97.508 Administrative appeal 

procedures. 

The administrative appeal procedures 

for decisions of the Administrator under 

the TR NOX Ozone Season Trading 

Program are set forth in part 78 of this 

chapter. 

§ 97.509 [Reserved] 

§ 97.510 State NOX Ozone Season trading 

budgets, new-unit set-asides, and variability 

limits. 

(a) The State NOX Ozone Season 

trading budgets and new-unit set-asides 

for allocations of TR NOX Ozone Season 

allowances for the control periods in 

2012 and thereafter are as follows: 

State 

NOX ozone season trading budget 

(tons)* 

New-unit set-aside 

(tons) 

For 2012 and 

thereafter 

For 2012 and 

thereafter 

Alabama ....................................................................................................................................................... 29,738 892 

Arkansas ...................................................................................................................................................... 16,660 500 

Connecticut .................................................................................................................................................. 1,315 39 

Delaware ...................................................................................................................................................... 2,450 74 

District of Columbia ..................................................................................................................................... 105 3 

Florida .......................................................................................................................................................... 56,939 1,708 

Georgia ........................................................................................................................................................ 32,144 964 

Illinois ........................................................................................................................................................... 23,570 707 

Indiana ......................................................................................................................................................... 49,987 1,500 

Kansas ......................................................................................................................................................... 21,433 643 

Kentucky ...................................................................................................................................................... 30,908 927 

Louisiana ...................................................................................................................................................... 21,220 637 

Maryland ...................................................................................................................................................... 7,232 217 

Michigan ....................................................................................................................................................... 28,253 848 

Mississippi .................................................................................................................................................... 16,530 496 

New Jersey .................................................................................................................................................. 5,269 158 

New York ..................................................................................................................................................... 11,090 333 

North Carolina .............................................................................................................................................. 23,539 706 

Ohio ............................................................................................................................................................. 40,661 1,220 

Oklahoma ..................................................................................................................................................... 37,087 1,113 

Pennsylvania ................................................................................................................................................ 48,271 1,448 

South Carolina ............................................................................................................................................. 15,222 457 

Tennessee ................................................................................................................................................... 11,575 347 

Texas ........................................................................................................................................................... 75,574 2,267 

Virginia ......................................................................................................................................................... 12,608 378 

West Virginia ................................................................................................................................................ 22,234 667 

Total ...................................................................................................................................................... 641,614 19,249 

* Without variability limits. 

(b) The States’ one-year and three-year 

variability limits for the State NOX

Ozone Season trading budgets for the 

control periods in 2014 and thereafter 

are as follows: 


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State 

One-year variability limits Three-year variability limits 

2014 and thereafter 

(tons) 

2016 and thereafter 

(tons) 

Alabama ....................................................................................................................................................... 2,974 1,717 

Arkansas ...................................................................................................................................................... 2,100 1,212 

Connecticut .................................................................................................................................................. 2,100 1,212 

Delaware ...................................................................................................................................................... 2,100 1,212 

District of Columbia ..................................................................................................................................... 2,100 1,212 

Florida .......................................................................................................................................................... 5,694 3,287 

Georgia ........................................................................................................................................................ 3,214 1,856 

Illinois ........................................................................................................................................................... 2,357 1,361 

Indiana ......................................................................................................................................................... 4,999 2,886 

Kansas ......................................................................................................................................................... 2,143 1,237 

Kentucky ...................................................................................................................................................... 3,091 1,784 

Louisiana ...................................................................................................................................................... 2,122 1,225 

Maryland ...................................................................................................................................................... 2,100 1,212 

Michigan ....................................................................................................................................................... 2,825 1,631 

Mississippi .................................................................................................................................................... 2,100 1,212 

New Jersey .................................................................................................................................................. 2,100 1,212 

New York ..................................................................................................................................................... 2,100 1,212 

North Carolina .............................................................................................................................................. 2,354 1,359 

Ohio ............................................................................................................................................................. 4,066 2,348 

Oklahoma ..................................................................................................................................................... 3,709 2,141 

Pennsylvania ................................................................................................................................................ 4,827 2,787 

South Carolina ............................................................................................................................................. 2,100 1,212 

Tennessee ................................................................................................................................................... 2,100 1,212 

Texas ........................................................................................................................................................... 7,557 4,363 

Virginia ......................................................................................................................................................... 2,100 1,212 

West Virginia ................................................................................................................................................ 2,223 1,284 

§ 97.511 Timing requirements for TR NOX

Ozone Season allowance allocations. 

(a) Existing units. (1) TR NOX Ozone 

Season allowances are allocated, for the 

control periods in 2012 and each year 

thereafter, as set forth in appendix A to 

this subpart. Listing a unit in such 

appendix does not constitute a 

determination that the unit is a TR NOX

Ozone Season unit, and not listing a 

unit in such appendix does not 

constitute a determination that the unit 

is not a TR NOX Ozone Season unit. 

(2) Notwithstanding paragraph (a)(1) 

of this section, if a unit listed in 

appendix A to this subpart as being 

allocated TR NOX Ozone Season 

allowances does not operate, starting 

after 2011, during the control period in 

three consecutive years, such unit will 

not be allocated the TR NOX Ozone 

Season allowances set forth in appendix 

A to this subpart for the unit for the 

control periods in the seventh year after 

the first such year and in each year after 

that seventh year. All TR NOX Ozone 

Season allowances that would otherwise 

have been allocated to such unit will be 

allocated to the new unit set-aside for 

the respective years involved. If such 

unit resumes operation, the 

Administrator will allocate TR NOX

Ozone Season allowances to the unit in 

accordance with paragraph (b) of this 

section. 

(b) New units. (1) By April 1, 2012 

and April 1 of each year thereafter, the 

Administrator will calculate the TR 

NOX Ozone Season allowance allocation 

for each TR NOX Ozone Season unit, in 

accordance with § 97.512, for the 

control period in the year of the 

applicable calculation deadline under 

this paragraph and will promulgate a 

notice of availability of the results of the 

calculations. 

(2) For each notice of data availability 

required in paragraph (b)(1) of this 

section, the Administrator will provide 

an opportunity for submission of 

objections to the calculations referenced 

in such notice. 

(i) Objections shall be submitted by 

the deadline specified in such notice 

and shall be limited to addressing 

whether the calculations are in 

accordance with § 97.512 and 

§§ 97.506(b)(2) and 97.530 through 

97.535. 

(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 June 1 

immediately after the promulgation of 

such notice, the Administrator will 

promulgate a notice of availability of 

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. 

(c) Units that are not TR NOX Ozone 

Season units. For each control period in 

2012 and thereafter, if the Administrator 

determines that TR NOX Ozone Season 

allowances were allocated under 

paragraph (a) of this section for the 

control period to a recipient that is not 

actually a TR NOX Ozone Season unit 

under § 97.504 as of May 1, 2012 or 

whose deadline for meeting monitor 

certification requirements under 

§ 97.530(b)(1) and (2) is after May 1, 

2012 or if the Administrator determines 

that TR NOX Ozone Season allowances 

were allocated under paragraph (b) of 

this section and § 97.512 for the control 

period to a recipient that is not actually 

a TR NOX Ozone Season unit under 

§ 97.504 as of May 1 of the control 

period, then the Administrator will 

notify the designated representative and 

will act in accordance with the 

following procedures: 

(1) Except as provided in paragraph 

(c)(2) or (3) of this section, the 

Administrator will not record such TR 

NOX Ozone Season allowances under 

§ 97.521. 

(2) If the Administrator already 

recorded such TR NOX Ozone Season 

allowances under § 97.521 and if the 

Administrator makes such 

determination before making deductions 

for the source that includes such 

recipient under § 97.524(b) for such 

control period, then the Administrator 

will deduct from the account in which 

such TR NOX Ozone Season allowances 


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were recorded an amount of TR NOX

Ozone Season allowances allocated for 

the same or a prior control period equal 

to the amount of such already recorded 

TR NOX Ozone Season allowances. The 

authorized account representative shall 

ensure that there are sufficient TR NOX

Ozone Season allowances in such 

account for completion of the 

deduction. 

(3) If the Administrator already 

recorded such TR NOX Ozone Season 

allowances under § 97.521 and if the 

Administrator makes such 

determination after making deductions 

for the source that includes such 

recipient under § 97.524(b) for such 

control period, then the Administrator 

will not make any deduction to take 

account of such already recorded TR 

NOX Ozone Season allowances. 

(4) The Administrator will transfer the 

TR NOX Ozone Season allowances that 

are not recorded, or that are deducted, 

in accordance with paragraphs (c)(1) 

and (2) of this section to the new unit 

set-aside, for the State in which such 

recipient is located, for the control 

period in the year of such transfer if the 

notice required in paragraph (b)(1) of 

this section for the control period in that 

year has not been promulgated or, if 

such notice has been promulgated, in 

the next year. 

§ 97.512 TR NOX Ozone Season allowance 

allocations for new units. 

(a) For each control period in 2012 

and thereafter, the Administrator will 

allocate, in accordance with the 

following procedures, TR NOX Ozone 

Season allowances to TR NOX Ozone 

Season units in a State that are not 

listed in appendix A to this subpart, to 

TR NOX Ozone Season units that are so 

listed and whose allocation of NOX

Ozone Season allowances for such 

control period is covered by 

§ 97.511(c)(1) or (2), and to TR NOX

Ozone Season units that are so listed 

and, pursuant to § 97.511(a)(2), are not 

allocated TR NOX Ozone Season 

allowances for such control period but 

that operate during the immediately 

preceding control period: 

(1) The Administrator will establish a 

separate new unit set-aside for each 

State for each control period in a given 

year. Each new unit set-aside will be 

allocated TR NOX Ozone Season 

allowances in an amount equal to the 

applicable amount of tons of NOX

emissions as set forth in § 97.510(a). 

Each new unit set-aside will be 

allocated additional TR NOX Ozone 

Season allowances in accordance with 

§ 97.511(a)(2) and (c)(4). 

(2) The designated representative of 

such TR NOX Ozone Season unit may 

submit to the Administrator a request, 

in a format prescribed by the 

Administrator, to be allocated TR NOX

Ozone Season allowances for a control 

period, starting with the later of the 

control period in 2012, the first control 

period after the control period in which 

the TR NOX Ozone Season unit 

commences commercial operation (for a 

unit not listed in appendix A to this 

subpart), or the first control period after 

the control period in which the unit 

resumes operation (for a unit listed in 

appendix A of this subpart) and for each 

subsequent control period. 

(i) The request must be submitted on 

or before February 1 immediately 

preceding the first control period for 

which TR NOX Ozone Season 

allowances are sought and after the date 

on which the TR NOX Ozone Season 

unit commences commercial operation 

(for a unit not listed in appendix A of 

this subpart) or on which the unit 

resumes operation (for a unit listed in 

appendix A of this subpart). 

(ii) For each control period for which 

an allocation is sought, the request must 

be for TR NOX Ozone Season 

allowances in an amount equal to the 

unit’s total tons of NOX emissions 

during the immediately preceding 

control period. 

(3) The Administrator will review 

each TR NOX Ozone Season allowance 

allocation request under paragraph 

(a)(2) of this section and will accept the 

request only if it meets the requirements 

of paragraph (a)(2) of this section. The 

Administrator will allocate TR NOX

Ozone Season allowances for each 

control period pursuant to an accepted 

request as follows: 

(i) After February 1 immediately 

preceding such control period, the 

Administrator will determine the sum of 

the TR NOX Ozone Season allowances 

requested in all accepted allowance 

allocation requests for such control 

period. 

(ii) If the amount of TR NOX Ozone 

Season allowances in the new unit setaside for such control period is greater 

than or equal to the sum under 

paragraph (a)(3)(i) of this section, then 

the Administrator will allocate the 

amount of TR NOX Ozone Season 

allowances requested to each TR NOX

Ozone Season unit covered by an 

accepted allowance allocation request. 

(iii) If the amount of TR NOX Ozone 

Season allowances in the new unit setaside for such control period is less than 

the sum under paragraph (a)(3)(i) of this 

section, then the Administrator will 

allocate to each TR NOX Ozone Season 

unit covered by an accepted allowance 

allocation request the amount of the TR 

NOX Ozone Season allowances 

requested, multiplied by the amount of 

TR NOX Ozone Season allowances in 

the new unit set-aside for such control 

period, divided by the sum determined 

under paragraph (a)(3)(i) of this section, 

and rounded to the nearest allowance. 

(iv) The Administrator will notify, 

through the promulgation of the notices 

of data availability described in 

§ 97.511(b), each designated 

representative that submitted an 

allowance allocation request of the 

amount of TR NOX Ozone Season 

allowances (if any) allocated for such 

control period to the TR NOX Ozone 

Season unit covered by the request. 

(b) If, after completion of the 

procedures under paragraph (a)(4) of 

this section for a control period, any 

unallocated TR NOX Ozone Season 

allowances remain in the new unit setaside under paragraph (a) of this section 

for a State for such control period, the 

Administrator will allocate to each TR 

NOX Ozone Season unit that is in the 

State, is listed in appendix A to this 

subpart, and continues to be allocated 

TR NOX Ozone Season allowances for 

such control period in accordance with 

§ 97.511(a)(2), an amount of TR NOX

Ozone Season allowances equal to the 

following: The total amount of such 

remaining unallocated TR NOX Ozone 

Season allowances in such new unit setaside, multiplied by the unit’s allocation 

under § 97.511(a) for such control 

period, divided by the remainder of the 

amount of tons in the applicable State 

NOX Ozone Season trading budget 

minus the amount of tons in such new 

unit set-aside, and rounded to the 

nearest allowance. 

§ 97.513 Authorization of designated 

representative and alternate designated 

representative. 

(a) Except as provided under § 97.515, 

each TR NOX Ozone Season source, 

including all TR NOX Ozone Season 

units at the source, shall have one and 

only one designated representative, with 

regard to all matters under the TR NOX

Ozone Season Trading Program. 

(1) The designated representative 

shall be selected by an agreement 

binding on the owners and operators of 

the source and all TR NOX Ozone 

Season units at the source and shall act 

in accordance with the certification 

statement in § 97.516(a)(4)(iii). 

(2) Upon and after receipt by the 

Administrator of a complete certificate 

of representation under § 97.516: 

(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 TR NOX Ozone Season unit at 


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the source in all matters pertaining to 

the TR NOX Ozone Season 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 TR NOX Ozone Season 

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 § 97.515, 

each TR NOX Ozone Season 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 TR NOX

Ozone Season units at the source and 

shall act in accordance with the 

certification statement in 

§ 97.516(a)(4)(iii). 

(2) Upon and after receipt by the 

Administrator of a complete certificate 

of representation under § 97.516, 

(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 TR NOX Ozone Season 

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, § 97.502, 

and §§ 97.514 through 97.518, whenever 

the term ‘‘designated representative’’ is 

used in this subpart, the term shall be 

construed to include the designated 

representative or any alternate 

designated representative. 

§ 97.514 Responsibilities of designated 

representative and alternate designated 

representative. 

(a) Except as provided under § 97.518 

concerning delegation of authority to 

make submissions, each submission 

under the TR NOX Ozone Season 

Trading Program shall be made, signed, 

and certified by the designated 

representative or alternate designated 

representative for each TR NOX Ozone 

Season source and TR NOX Ozone 

Season 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 TR NOX

Ozone Season source or a TR NOX

Ozone Season unit only if the 

submission has been made, signed, and 

certified in accordance with paragraph 

(a) of this section and § 97.518. 

§ 97.515 Changing designated 

representative and alternate designated 

representative; changes in owners and 

operators. 

(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 § 97.516. 

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 TR NOX Ozone Season 

source and the TR NOX Ozone Season 

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 § 97.516. 

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 TR NOX

Ozone Season source and the TR NOX

Ozone Season units at the source. 

(c) Changes in owners and operators. 

(1) In the event an owner or operator of 

a TR NOX Ozone Season source or a TR 

NOX Ozone Season unit is not included 

in the list of owners and operators in the 

certificate of representation under 

§ 97.516, 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 TR NOX

Ozone Season source or a TR NOX

Ozone Season unit, including the 

addition of a new owner or operator, the 

designated representative or any 

alternate designated representative shall 

submit a revision to the certificate of 

representation under § 97.516 amending 

the list of owners and operators to 

include the change. 

§ 97.516 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 TR NOX

Ozone Season source, and each TR NOX

Ozone Season 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, and actual or 

projected date of commencement of 

commercial operation. 

(2) The name, address, e-mail 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 TR NOX Ozone Season source and 

of each TR NOX Ozone Season unit at 

the source. 

(4) The following certification 

statements by the designated 

representative and any alternate 

designated representative— 


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(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 TR 

NOX Ozone Season unit at the source.’’ 

(ii) ‘‘I certify that I have all the 

necessary authority to carry out my 

duties and responsibilities under the TR 

NOX Ozone Season Trading Program on 

behalf of the owners and operators of 

the source and of each TR NOX Ozone 

Season 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 

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 TR NOX Ozone 

Season unit, or where a utility or 

industrial customer purchases power 

from a TR NOX Ozone Season unit 

under a life-of-the-unit, firm power 

contractual arrangement, I certify that: I 

have given a written notice of my 

selection as the ‘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 TR NOX Ozone Season unit 

at the source; and TR NOX Ozone 

Season allowances and proceeds of 

transactions involving TR NOX Ozone 

Season allowances will be deemed to be 

held or distributed in proportion to each 

holder’s legal, equitable, leasehold, or 

contractual reservation or entitlement, 

except that, if such multiple holders 

have expressly provided for a different 

distribution of TR NOX Ozone Season 

allowances by contract, TR NOX Ozone 

Season allowances and proceeds of 

transactions involving TR NOX Ozone 

Season 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. 

§ 97.517 Objections concerning 

designated representative and alternate 

designated representative. 

(a) Once a complete certificate of 

representation under § 97.516 has been 

submitted and received, the 

Administrator will rely on the certificate 

of representation unless and until a 

superseding complete certificate of 

representation under § 97.516 is 

received by the Administrator. 

(b) Except as provided in § 97.515(a) 

or (b), 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 TR NOX Ozone Season 

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 TR 

NOX Ozone Season allowance transfers. 

§ 97.518 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 

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, e-mail address, 

telephone number, and facsimile 

transmission number (if any) of such 

designated representative or alternate 

designated representative; 

(2) The name, address, e-mail address, 

telephone number, and facsimile 

transmission number (if any) of each 

such natural person (referred to as an 

‘‘agent’’); 

(3) For each such natural person, a list 

of the type or types of electronic 

submissions under paragraph (a) or (b) 

of this section for which authority is 

delegated to him or her; and 

(4) The following certification 

statements by such 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 

97.518(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 97.518(d), I 

agree to maintain an e-mail account and 

to notify the Administrator immediately 

of any change in my e-mail address 

unless all delegation of authority by me 

under 40 CFR 97.518 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. 

§ 97.519 [Reserved] 

§ 97.520 Establishment of Allowance 

Management System accounts. 

(a) Compliance accounts. Upon 

receipt of a complete certificate of 

representation under § 97.516, the 

Administrator will establish a 

compliance account for the TR NOX

Ozone Season 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 


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shall be the authorized account 

representative and the alternate 

authorized account representative 

respectively of the compliance account. 

(b) General accounts—(1) Application 

for general account. (i) Any person may 

apply to open a general account, for the 

purpose of holding and transferring TR 

NOX Ozone Season 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 TR NOX Ozone Season 

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, e-mail 

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 TR NOX Ozone Season 

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 TR NOX Ozone Season 

allowances held in the general account. 

I certify that I have all the necessary 

authority to carry out my duties and 

responsibilities under the TR NOX

Ozone Season Trading Program on 

behalf of such persons and that each 

such person shall be fully bound by my 

representations, actions, inactions, or 

submissions and by any order or 

decision issued to me by the 

Administrator regarding the general 

account.’’ 

(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. 

(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 (b)(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 TR 

NOX Ozone Season allowances held in 

the general account in all matters 

pertaining to the TR NOX Ozone Season 

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 TR 

NOX Ozone Season allowances held in 

the general account shall be bound by 

any order or decision issued to the 

authorized account representative or 

alternate authorized account 

representative by the Administrator 

regarding the general account. 

(ii) Except as provided in paragraph 

(b)(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 TR 

NOX Ozone Season 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 

TR NOX Ozone Season allowances held 

in the general account. I certify under 

penalty of law that I have personally 

examined, and am familiar with, the 

statements and information submitted 

in this document and all its 

attachments. Based on my inquiry of 

those individuals with primary 

responsibility for obtaining the 

information, I certify that the statements 

and information are to the best of my 

knowledge and belief true, accurate, and 

complete. I am aware that there are 

significant penalties for submitting false 

statements and information or omitting 

required statements and information, 

including the possibility of fine or 

imprisonment.’’ 

(iii) 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. 

(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 

(b)(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 TR NOX Ozone 

Season 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 (b)(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 


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alternate authorized account 

representative, the authorized account 

representative, and the persons with an 

ownership interest with respect to the 

TR NOX Ozone Season allowances in 

the general account. 

(iii)(A) In the event a person having 

an ownership interest with respect to 

TR NOX Ozone Season allowances in 

the general account is not included in 

the list of such persons in the 

application for a general account, such 

person shall be deemed to be subject to 

and bound by the application for a 

general account, the representation, 

actions, inactions, and submissions of 

the 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 NOX Ozone 

Season allowances in the general 

account, including the addition of a new 

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 TR NOX Ozone 

Season 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 (b)(1) 

of this section has been submitted and 

received, the Administrator will rely on 

the application unless and until a 

superseding complete application for a 

general account under paragraph (b)(1) 

of this section is received by the 

Administrator. 

(ii) Except as provided in paragraph 

(b)(3)(i) or (ii) of this section, no 

objection or other communication 

submitted to the Administrator 

concerning the authorization, or any 

representation, action, inaction, or 

submission of the 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 TR NOX Ozone 

Season Trading Program. 

(iii) The Administrator will not 

adjudicate any private legal dispute 

concerning the authorization or any 

representation, action, inaction, or 

submission of the authorized account 

representative or any alternate 

authorized account representative of a 

general account, including private legal 

disputes concerning the proceeds of TR 

NOX Ozone Season 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 

make an electronic submission to the 

Administrator in accordance with 

paragraph (b)(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, e-mail 

address, telephone number, and 

facsimile transmission number (if any) 

of such authorized account 

representative or alternate authorized 

account representative; 

(B) The name, address, e-mail 

address, telephone number, and 

facsimile transmission number (if any) 

of each such natural person (referred to 

as an ‘‘agent’’); 

(C) For each such natural person, a 

list of the type or types of electronic 

submissions under paragraph (b)(5)(i) or 

(ii) of this section for which authority is 

delegated to him or her; 

(D) The following certification 

statement by such 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 

representative, as appropriate, and 

before this notice of delegation is 

superseded by another notice of 

delegation under 40 CFR 

97.520(b)(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 97.520(b)(5)(iv), I agree to maintain 

an e-mail account and to notify the 

Administrator immediately of any 

change in my e-mail address unless all 

delegation of authority by me under 40 

CFR 97.520(b)(5) is terminated.’’. 

(iv) A notice of delegation submitted 

under paragraph (b)(5)(iii) of this 

section shall be effective, with regard to 

the 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 

(b)(5)(iii)(D) of this section and made in 

accordance with a notice of delegation 

effective under paragraph (b)(5)(iv) of 

this section shall be deemed to be an 

electronic submission by the designated 

representative or alternate designated 

representative submitting such notice of 

delegation. 

(6)(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 TR NOX Ozone 

Season allowance transfer under 

§ 97.522 for any TR NOX Ozone Season 

allowances in the account to one or 

more other Allowance Management 

System accounts. 

(ii) If a general account has no TR 

NOX Ozone Season allowance transfers 

to or from the account for a 12-month 

period or longer and does not contain 

any TR NOX Ozone Season allowances, 

the Administrator may notify the 

authorized account representative for 

the account that the account will be 

closed after 20 business days after the 

notice is sent. The account will be 

closed after the 20-day period unless, 

before the end of the 20-day period, the 

Administrator receives a correctly 

submitted TR NOX Ozone Season 

allowance transfer under § 97.522 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 


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cause as to why the account should not 

be closed. 

(c) Account identification. The 

Administrator will assign a unique 

identifying number to each account 

established under paragraph (a) or (b) of 

this section. 

(d) Responsibilities of authorized 

account representative and alternate 

authorized account representative. After 

the establishment of an Allowance 

Management System 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 TR NOX Ozone Season 

allowances in the account, only if the 

submission has been made, signed, and 

certified in accordance with §§ 97.514(a) 

and 97.518 or paragraphs (b)(2)(ii) and 

(b)(5) of this section. 

§ 97.521 Recordation of TR NOX Ozone 

Season allowance allocations. 

(a) By September 1, 2011, the 

Administrator will record in each TR 

NOX Ozone Season source’s compliance 

account the TR NOX Ozone Season 

allowances allocated for the TR NOX

Ozone Season units at the source in 

accordance with §§ 97.511(a) for the 

control periods in 2012, 2013, and 2014. 

(b) By June 1, 2012 and June 1 of each 

year thereafter, the Administrator will 

record in each TR NOX Ozone Season 

source’s compliance account the TR 

NOX Ozone Season allowances allocated 

for the TR NOX Ozone Season units at 

the source in accordance with 

§ 97.511(a) for the control period in the 

third year after the year of the 

applicable recordation deadline under 

this paragraph. 

(c) By June 1, 2012 and June 1 of each 

year thereafter, the Administrator will 

record in each TR NOX Ozone Season 

source’s compliance account the TR 

NOX Ozone Season allowances allocated 

for the TR NOX Ozone Season units at 

the source in accordance with § 97.512 

for the control period in the year of the 

applicable recordation deadline under 

this paragraph. 

(d) When recording the allocation of 

TR NOX Ozone Season allowances for a 

TR NOX Ozone Season unit in a 

compliance account, the Administrator 

will assign each TR NOX Ozone Season 

allowance a unique identification 

number that will include digits 

identifying the year of the control 

period for which the TR NOX Ozone 

Season allowance is allocated. 

§ 97.522 Submission of TR NOX Ozone 

Season allowance transfers. 

(a) An authorized account 

representative seeking recordation of a 

TR NOX Ozone Season allowance 

transfer shall submit the transfer to the 

Administrator. 

(b) A TR NOX Ozone Season 

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 TR NOX

Ozone Season 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 TR NOX Ozone 

Season allowance identified by serial 

number in the transfer. 

§ 97.523 Recordation of TR NOX Ozone 

Season allowance transfers. 

(a) Within 5 business days (except as 

provided in paragraph (b) of this 

section) of receiving a TR NOX Ozone 

Season allowance transfer, the 

Administrator will record a TR NOX

Ozone Season allowance transfer by 

moving each TR NOX Ozone Season 

allowance from the transferor account to 

the transferee account as specified by 

the request, provided that the transfer is 

correctly submitted under § 97.522. 

(b)(1) A TR NOX Ozone Season 

allowance transfer that is submitted for 

recordation after the allowance transfer 

deadline for a control period and that 

includes any TR NOX Ozone Season 

allowances allocated for any control 

period before such allowance transfer 

deadline will not be recorded until after 

the Administrator completes the 

deductions under § 97.524 for the 

control period immediately before such 

allowance transfer deadline. 

(2) A TR NOX Ozone Season 

allowance transfer that is submitted for 

recordation after the deadline for 

holding TR NOX Ozone Season 

allowances described in § 97.525(b)(5) 

and that includes any TR NOX Ozone 

Season allowances allocated for a 

control period before the year of such 

deadline will not be recorded until after 

the Administrator completes the 

deductions under § 97.525 for the 

control period immediately before the 

year of such deadline. 

(c) Where a TR NOX Ozone Season 

allowance transfer is not correctly 

submitted under § 97.522, the 

Administrator will not record such 

transfer. 

(d) Within 5 business days of 

recordation of a TR NOX Ozone Season 

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 TR NOX Ozone Season allowance 

transfer that is not correctly submitted 

under § 97.522, 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 nonrecordation. 

§ 97.524 Compliance with TR NOX Ozone 

Season emissions limitation. 

(a) Availability for deduction for 

compliance. TR NOX Ozone Season 

allowances are available to be deducted 

for compliance with a source’s TR NOX

Ozone Season emissions limitation for a 

control period in a given year only if the 

TR NOX Ozone Season allowances: 

(1) Were allocated for the control 

period in the year or a prior year; and 

(2) Are held in the source’s 

compliance account as of the allowance 

transfer deadline for such control 

period. 

(b) Deductions for compliance. After 

the recordation, in accordance with 

§ 97.523, of TR NOX Ozone Season 

allowance transfers submitted by the 

allowance transfer deadline for a control 

period, the Administrator will deduct 

from the compliance account TR NOX

Ozone Season allowances available 

under paragraph (a) of this section in 

order to determine whether the source 

meets the TR NOX Ozone Season 

emissions limitation for such control 

period, as follows: 

(1) Until the amount of TR NOX

Ozone Season allowances deducted 

equals the number of tons of total NOX

emissions from all TR NOX Ozone 

Season units at the source for such 

control period; or 

(2) If there are insufficient TR NOX

Ozone Season allowances to complete 

the deductions in paragraph (b)(1) of 

this section, until no more TR NOX

Ozone Season allowances available 

under paragraph (a) of this section 

remain in the compliance account. 

(c)(1) Identification of TR NOX Ozone 

Season allowances by serial number. 

The authorized account representative 

for a source’s compliance account may 

request that specific TR NOX Ozone 

Season allowances, identified by serial 

number, in the compliance account be 

deducted for emissions or excess 

emissions for a control period in 


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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 

TR NOX Ozone Season source and the 

appropriate serial numbers. 

(2) First-in, first-out. The 

Administrator will deduct TR NOX

Ozone Season 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 TR NOX Ozone Season 

allowances in such request, on a first-in, 

first-out (FIFO) accounting basis in the 

following order: 

(i) Any TR NOX Ozone Season 

allowances that were allocated to the 

units at the source and not transferred 

out of the compliance account, in the 

order of recordation; and then 

(ii) Any TR NOX Ozone Season 

allowances that were allocated to any 

unit and transferred to and recorded in 

the compliance account pursuant to this 

subpart, 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 TR NOX Ozone Season source 

has excess emissions, the Administrator 

will deduct from the source’s 

compliance account an amount of TR 

NOX Ozone Season allowances, 

allocated for the control period in the 

immediately following year, equal to 

two times the number of tons of the 

source’s excess emissions. 

(e) Recordation of deductions. The 

Administrator will record in the 

appropriate compliance account all 

deductions from such an account under 

paragraphs (b) and (d) of this section. 

§ 97.525 Compliance with TR NOX Ozone 

Season assurance provisions. 

(a) Availability for deduction. TR NOX

Ozone Season allowances are available 

to be deducted for compliance with the 

TR NOX Ozone Season assurance 

provisions for a control period in a 

given year by an owner of one or more 

TR NOX Ozone Season units in a State 

only if the TR NOX Ozone Season 

allowances: 

(1) Were allocated for the control 

period in the year or a prior year; and 

(2) Are held in a compliance account, 

designated by the owner in accordance 

with paragraph (b)(4)(ii) of this section, 

of one of the owner’s TR NOX Ozone 

Season sources in the State as of the 

deadline established in paragraph (b)(5) 

of this section. 

(b) Deductions for compliance. The 

Administrator will deduct TR NOX

Ozone Season allowances available 

under paragraph (a) of this section for 

compliance with the TR NOX Ozone 

Season assurance provisions for a State 

for a control period in a given year in 

accordance with the following 

procedures: 

(1) By March 1, 2015 and March 1 of 

each year thereafter, the Administrator 

will: 

(i) Calculate, separately for each State, 

the total amount of NOX emissions from 

all TR NOX Ozone Season units in the 

State during the control period in the 

year before the year of this calculation 

deadline and the amount, if any, by 

which such total amount of NOX

emissions exceeds the State assurance 

level as described in § 97.506(c)(2)(iii); 

and 

(ii) Promulgate a notice of availability 

of the results of the calculations 

required in paragraph (b)(1)(i) of this 

section, including separate calculations 

of the NOX emissions for each TR NOX

Ozone Season unit and of the amounts 

described in §§ 97.506(c)(2)(iii)(A) and 

(B) for each State. 

(2) The Administrator will provide an 

opportunity for submission of objections 

to the calculations referenced by each 

notice described in paragraph (b)(1) of 

this section. 

(i) Objections shall be submitted by 

the deadline specified in such notice 

and shall be limited to addressing 

whether the calculations for each TR 

NOX Ozone Season unit and each State 

for the control period in the year 

involved are in accordance with 

§ 97.506(c)(2)(iii) and §§ 97.506(b) and 

97.530 through 97.535. 

(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 May 1 

immediately after the promulgation of 

such notice, the Administrator will 

promulgate a notice of availability of 

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 each notice of data availability 

required in paragraph (b)(2)(ii) of this 

section and for any State identified in 

such notice as having TR NOX Ozone 

Season sources with total NOX

emissions exceeding the State assurance 

level for a control period, as described 

in § 97.506(c)(2)(iii): 

(i) By May 15 immediately after the 

promulgation of such notice, the 

designated representative of each TR 

NOX Ozone Season source in each such 

State shall submit a statement, in a 

format prescribed by the Administrator: 

(A) Listing all the owners of each TR 

NOX Ozone Season unit at the source, 

explaining how the selection of each 

owner for inclusion on the list is 

consistent with the definition of 

‘‘owner’’ in § 97.502, and listing, 

separately for each unit, the percentage 

of the legal, equitable, leasehold, or 

contractual reservation or entitlement 

for each such owner as of midnight of 

December 31 of the control period in the 

year involved; and 

(B) For each TR NOX Ozone Season 

unit at the source that operates during, 

but is allocated no TR NOX Ozone 

Season allowances for, the control 

period in the year involved, identifying 

whether the unit is a coal-fired boiler, 

simple combustion turbine, or 

combined cycle turbine cycle and 

providing the unit’s allowable NOX

emission rate for such control period. 

(ii) By June 15 immediately after the 

promulgation of such notice, the 

Administrator will calculate, for each 

such State and each owner of one or 

more TR NOX Ozone Season units in the 

State and for the control period in the 

year involved, each owner’s share of the 

total NOX emissions from all TR NOX

Ozone Season units in the State, each 

owner’s assurance level, and the amount 

(if any) of TR NOX Ozone Season 

allowances that each owner must hold 

in accordance with the calculation 

formula in § 97.506(c)(2)(i) and will 

promulgate a notice of availability of the 

results of these calculations. 

(iii) The Administrator will provide 

an opportunity for submission of 

objections to the calculations referenced 

by the notice of data availability 

required in paragraph (b)(3)(ii) of this 

section. 

(A) Objections shall be submitted by 

the deadline specified in such notice 

and shall be limited to addressing 

whether the calculations for each owner 

for the control period in the year 

involved are consistent with the NOX

emissions for the relevant TR NOX

Ozone Season units as set forth in the 

notice required in paragraph (b)(2)(ii) of 

this section, the definitions of ‘‘owner’’, 

‘‘owner’s assurance level’’, and ‘‘owner’s 

share’’ in § 97.502, and the calculation 

formula in § 97.506(c)(2)(i) and shall not 

raise any issues about any data used in 

the notice of data availability required 

in paragraph (b)(2)(ii) of this section. 

(B) The Administrator will adjust the 

calculations to the extent necessary to 

ensure that they are consistent with the 

data and provisions referenced in 

paragraph (b)(3)(iii)(A) of this section. 


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By August 15 immediately after the 

promulgation of such notice, the 

Administrator will promulgate a notice 

of availability of any adjustments that 

the Administrator determines to be 

necessary and the reasons for accepting 

or rejecting any objections submitted in 

accordance with paragraph (b)(3)(iii)(A) 

of this section. 

(4) By September 1 immediately after 

the promulgation of each notice of data 

availability required in paragraph 

(b)(3)(iii)(B) of this section: 

(i) Each owner identified, in such 

notice, as owning one or more TR NOX

Ozone Season units in a State and as 

being required to hold TR NOX Ozone 

Season allowances shall designate the 

compliance account of one of the 

sources at which such unit or units are 

located to hold such required TR NOX

Ozone Season allowances; 

(ii) The authorized account 

representative for the compliance 

account designated under paragraph 

(b)(4)(i) of this section shall submit to 

the Administrator a statement, in a 

format prescribed by the Administrator, 

making this designation. 

(5)(i) As of midnight of September 15 

immediately after the promulgation of 

each notice of data availability required 

in paragraph (b)(3)(iii)(B) of this section, 

each owner described in paragraph 

(b)(4)(i) of this section shall hold in the 

compliance account designated by the 

owner in accordance with paragraph 

(b)(4)(ii) of this section the total amount 

of TR NOX Ozone Season allowances, 

available for deduction under paragraph 

(a) of this section, equal to the amount 

the owner is required to hold as 

calculated by the Administrator and 

referenced in such notice. 

(ii) Notwithstanding the allowanceholding deadline specified in paragraph 

(b)(5)(i) of this section, if September 15 

is not a business day, then such 

allowance-holding deadline shall be 

midnight of the first business day 

thereafter. 

(6) After September 15 (or the date 

described in paragraph (b)(5)(ii) of this 

section) immediately after the 

promulgation of each notice of data 

availability required in paragraph 

(b)(3)(iii)(B) of this section and after the 

recordation, in accordance with 

§ 97.523, of TR NOX Ozone Season 

allowance transfers submitted by 

midnight of such date, the 

Administrator will deduct from each 

compliance account designated in 

accordance with paragraph (b)(4)(ii) of 

this section, TR NOX Ozone Season 

allowances available under paragraph 

(a) of this section, as follows: 

(i) Until the amount of TR NOX Ozone 

Season allowances deducted equals the 

amount that the owner designating the 

compliance account is required to hold 

as calculated by the Administrator and 

referenced in the notice required in 

paragraph (b)(3)(iii)(B) of this section; or 

(ii) If there are insufficient TR NOX

Ozone Season allowances to complete 

the deductions in paragraph (b)(6)(i) of 

this section, until no more TR NOX

Ozone Season allowances available 

under paragraph (a) of this section 

remain in the compliance account. 

(7) Notwithstanding any other 

provision of this subpart and any 

revision, made by or submitted to the 

Administrator after the promulgation of 

the notices of data availability required 

in paragraphs (b)(2)(ii) and (b)(3)(iii)(B) 

of this section respectively for a control 

period, of any data used in making the 

calculations referenced in such notice, 

the amount of TR NOX Ozone Season 

allowances that each owner is required 

to hold in accordance with 

§ 97.506(c)(2)(i) for the control period in 

the year involved shall continue to be 

such amount as calculated by the 

Administrator and referenced in such 

notice required in paragraph 

(b)(3)(iii)(B) 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 TR NOX Ozone Season allowances 

that owners are required to hold in 

accordance with the calculation formula 

in § 97.506(c)(2)(i) for the control period 

in the year involved with regard to the 

State involved, provided that— 

(A) With regard to such litigation 

involving such notice required in 

paragraph (b)(2)(ii) of this section, 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; and 

(B) With regard to such litigation 

involving such notice required in 

paragraph (b)(3)(iii) of this section, 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)(3)(iii) of this section. 

(ii) If any such data are revised by the 

owners and operators of a source whose 

designated representative submitted 

such data under paragraph (b)(3)(i) of 

this section, as a result of a decision in 

or settlement of litigation concerning 

such submission, then the 

Administrator will use the data as so 

revised to recalculate the amounts of TR 

NOX Ozone Season allowances that 

owners are required to hold in 

accordance with the calculation formula 

in § 97.506(c)(2)(i) for the control period 

in the year involved with regard to the 

State involved, provided that such 

litigation was initiated no later than 30 

days after promulgation of such notice 

required in paragraph (b)(3)(iii)(B) of 

this section. 

(iii) If the revised data are used to 

recalculate, in accordance with 

paragraphs (b)(7)(i) and (b)(7)(ii) of this 

section, the amount of TR NOX Ozone 

Season allowances that an owner is 

required to hold for the control period 

in the year involved with regard to the 

State involved- 

(A) Where the amount of TR NOX

Ozone Season allowances that an owner 

is 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 owner 

shall hold the additional amount of TR 

NOX Ozone Season allowances in the 

compliance account designated by the 

owner in accordance with paragraph 

(b)(4)(ii) of this section. The owner’s 

failure to hold such additional amount, 

as required, before the new deadline 

shall not be a violation of the Clean Air 

Act. The owner’s failure to hold such 

additional amount, as required, as of the 

new deadline shall be a violation of the 

Clean Air Act. Each TR NOX Ozone 

Season allowance that the owner fails to 

hold as required as of the new deadline, 

and each day in the control period in 

the year involved, shall be a separate 

violation of the Clean Air Act. After 

such deadline, the Administrator will 

make the appropriate deductions from 

the compliance account. 

(B) For an owner for which the 

amount of TR NOX Ozone Season 

allowances required to be held 

decreases as a result of the use of all 

such revised data, the Administrator 

will record, in the compliance account 

that the owner designated in accordance 

with paragraph (b)(4)(ii) of this section, 

an amount of TR NOX Ozone Season 

allowances equal to the amount of the 

decrease to the extent such amount was 

previously deducted from the 

compliance account under paragraph 

(b)(6) of this section (and has not 

already been restored to the compliance 


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account) for the control period in the 

year involved. 

(C) Each TR NOX Ozone Season 

allowance held and deducted under 

paragraph (b)(7)(iii)(A) of this section, or 

recorded under paragraph (b)(7)(iii)(B) 

of this section, as a result of 

recalculation of requirements for 

compliance with the TR NOX Ozone 

Season assurance provisions for a 

control period in a given year must be 

a TR NOX Ozone Season allowance 

allocated for a control period in the 

same or a prior year. 

(c)(1) Identification of TR NOX Ozone 

Season allowances by serial number. 

The authorized account representative 

for each source’s compliance account 

designated in accordance with 

paragraph (b)(4)(ii) of this section may 

request that specific TR NOX Ozone 

Season allowances, identified by serial 

number, in the compliance account be 

deducted in accordance with paragraph 

(b)(6) or (7) of this section. In order to 

be complete, such request shall be 

submitted to the Administrator by the 

allowance-holding deadline described 

in paragraph (b)(5) of this section and 

include, in a format prescribed by the 

Administrator, the identification of the 

compliance account and the appropriate 

serial numbers. 

(2) First-in, first-out. The 

Administrator will deduct TR NOX

Ozone Season allowances under 

paragraphs (b)(6) and (7) of this section 

from each source’s compliance account 

designated under paragraph (b)(4)(ii) of 

this section 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 TR NOX

Ozone Season allowances in such 

request, on a first-in, first-out (FIFO) 

accounting basis in the following order: 

(i) Any TR NOX Ozone Season 

allowances that were allocated to the 

units at the source and not transferred 

out of the compliance account, in the 

order of recordation; and then 

(ii) Any TR NOX Ozone Season 

allowances that were allocated to any 

unit and transferred to and recorded in 

the compliance account pursuant to this 

subpart, in the order of recordation. 

(d) Recordation of deductions. The 

Administrator will record in the 

appropriate compliance account all 

deductions from such an account under 

paragraph (b) of this section. 

§ 97.526 Banking. 

(a) A TR NOX Ozone Season 

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 TR NOX Ozone Season 

allowance that is held in a compliance 

account or a general account will 

remain in such account unless and until 

the TR NOX Ozone Season allowance is 

deducted or transferred under 

§ 97.511(c), § 97.523, § 97.524, § 97.525, 

97.527, 97.528, 97.542, or 97.543. 

§ 97.527 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. 

§ 97.528 Administrator’s action on 

submissions. 

(a) The Administrator may review and 

conduct independent audits concerning 

any submission under the TR NOX

Ozone Season Trading Program and 

make appropriate adjustments of the 

information in the submission. 

(b) The Administrator may deduct TR 

NOX Ozone Season allowances from or 

transfer TR NOX Ozone Season 

allowances to a source’s compliance 

account based on the information in a 

submission, as adjusted under 

paragraph (a)(1) of this section, and 

record such deductions and transfers. 

§ 97.529 [Reserved] 

§ 97.530 General monitoring, 

recordkeeping, and reporting requirements. 

The owners and operators, and to the 

extent applicable, the designated 

representative, of a TR NOX Ozone 

Season 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 

§ 97.502 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 ‘‘TR NOX Ozone Season unit,’’ 

‘‘designated representative,’’ and 

‘‘continuous emission monitoring 

system’’ (or ‘‘CEMS’’) respectively as 

defined in § 97.502, and the term ‘‘newly 

affected unit’’ shall be deemed to mean 

‘‘newly affected TR NOX Ozone Season 

unit’’. The owner or operator of a unit 

that is not a TR NOX Ozone Season unit 

but that is monitored under 

§ 75.72(b)(2)(ii) of this chapter shall 

comply with the same monitoring, 

recordkeeping, and reporting 

requirements as a TR NOX Ozone 

Season unit. 

(a) Requirements for installation, 

certification, and data accounting. The 

owner or operator of each TR NOX

Ozone Season unit shall: 

(1) Install all monitoring systems 

required under this subpart for 

monitoring NOX mass emissions and 

individual unit heat input (including all 

systems required to monitor NOX

emission rate, NOX concentration, stack 

gas moisture content, stack gas flow 

rate, CO2 or O2 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 

§ 97.531 and meet all other 

requirements of this subpart and part 75 

of this chapter applicable to the 

monitoring systems under paragraph 

(a)(1) of this section; and 

(3) Record, report, and quality-assure 

the data from the monitoring systems 

under paragraph (a)(1) of this section. 

(b) Compliance deadlines. Except as 

provided in paragraph (e) of this 

section, the owner or operator shall 

meet the monitoring system certification 

and other requirements of paragraphs 

(a)(1) and (2) of this section on or before 

the following dates. The owner or 

operator shall record, report, and 

quality-assure the data from the 

monitoring systems under paragraph 

(a)(1) of this section on and after the 

following dates. 

(1) For the owner or operator of a TR 

NOX Ozone Season unit that 

commences commercial operation 

before July 1, 2011, by May 1, 2012. 

(2) For the owner or operator of a TR 

NOX Ozone Season unit that 

commences commercial operation on or 

after July 1, 2011 and that reports on an 

annual basis under § 97.534(d), by the 

later of the following dates: 

(i) 180 calendar days, whichever 

occurs first, after the date on which the 

unit commences commercial operation; 

or 

(ii) May 1, 2012. 

(3) For the owner or operator of a TR 

NOX Ozone Season unit that 

commences commercial operation on or 

after July 1, 2011 and that reports on a 

control period basis under 

§ 97.534(d)(2)(ii), by the later of the 

following dates: 

(i) 180 calendar days, whichever 

occurs first, after the date on which the 

unit commences commercial operation; 

or 

(ii) If the compliance date under 

paragraph (b)(3)(i) of this section is not 

during a control period, May 1 

immediately after the compliance date 

under paragraph (b)(3)(i) of this section. 

(4) For the owner or operator of a TR 

NOX Ozone Season unit for which 


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construction of a new stack or flue or 

installation of add-on NOX emission 

controls is completed after the 

applicable deadline under paragraph 

(b)(1) or (2) of this section and that 

reports on an annual basis under 

§ 97.534(d), by 90 unit operating days or 

180 calendar days, whichever occurs 

first, after the date on which emissions 

first exit to the atmosphere through the 

new stack or flue or add-on NOX

emissions controls. 

(5) For the owner or operator of a TR 

NOX Ozone Season unit for which 

construction of a new stack or flue or 

installation of add-on NOX emission 

controls is completed after the 

applicable deadline under paragraph 

(b)(1) or (3) of this section and that 

reports on a control period basis under 

§ 97.534(d)(2)(ii), by the later of the 

following dates: 

(i) 90 unit operating days or 180 

calendar days, whichever occurs first, 

after the date on which emissions first 

exit to the atmosphere through the new 

stack or flue or add-on NOX emissions 

controls; or 

(ii) If the compliance date under 

paragraph (b)(5)(i) of this section is not 

during a control period, May 1 

immediately after the compliance date 

under paragraph (b)(5)(i) of this section. 

(6) Notwithstanding the dates in 

paragraphs (b)(1), (2), and (3) of this 

section, for the owner or operator of a 

unit for which a TR opt-in application 

is submitted and not withdrawn and is 

not yet approved or disapproved, by the 

date specified in § 97.541(c). 

(7) Notwithstanding the dates in 

paragraphs (b)(1), (2), and (3) of this 

section, for the owner or operator of a 

TR NOX Ozone Season opt-in unit, by 

the date on which the TR NOX Annual 

opt-in unit enters the TR NOX Ozone 

Season Trading Program as provided in 

§ 97.541(h). 

(c) Reporting data. The owner or 

operator of a TR NOX Ozone Season unit 

that does not meet the applicable 

compliance date set forth in paragraph 

(b) of this section for any monitoring 

system under paragraph (a)(1) of this 

section shall, for each such monitoring 

system, determine, record, and report 

maximum potential (or, as appropriate, 

minimum potential) values for NOX

concentration, NOX emission rate, stack 

gas flow rate, stack gas moisture 

content, fuel flow rate, and any other 

parameters required to determine NOX

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 TR NOX Ozone Season unit 

shall use any alternative monitoring 

system, alternative reference method, or 

any other alternative to any requirement 

of this subpart without having obtained 

prior written approval in accordance 

with § 97.535. 

(2) No owner or operator of a TR NOX

Ozone Season unit shall operate the unit 

so as to discharge, or allow to be 

discharged, NOX emissions to the 

atmosphere without accounting for all 

such emissions in accordance with the 

applicable provisions of this subpart 

and part 75 of this chapter. 

(3) No owner or operator of a TR NOX

Ozone Season unit shall disrupt the 

continuous emission monitoring system, 

any portion thereof, or any other 

approved emission monitoring method, 

and thereby avoid monitoring and 

recording NOX mass emissions 

discharged into the atmosphere or heat 

input, except for periods of 

recertification or periods when 

calibration, quality assurance testing, or 

maintenance is performed in accordance 

with the applicable provisions of this 

subpart and part 75 of this chapter. 

(4) No owner or operator of a TR NOX

Ozone Season unit shall retire or 

permanently discontinue use of the 

continuous emission monitoring system, 

any component thereof, or any other 

approved monitoring system under this 

subpart, except under any one of the 

following circumstances: 

(i) During the period that the unit is 

covered by an exemption under § 97.505 

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 § 97.531(d)(3)(i). 

(e) Long-term cold storage. The owner 

or operator of a TR NOX Ozone Season 

unit is subject to the applicable 

provisions of § 75.4(d) of this chapter 

concerning units in long-term cold 

storage. 

§ 97.531 Initial monitoring system 

certification and recertification procedures. 

(a) The owner or operator of a TR NOX

Ozone Season unit shall be exempt from 

the initial certification requirements of 

this section for a monitoring system 

under § 97.530(a)(1) if the following 

conditions are met: 

(1) The monitoring system has been 

previously certified in accordance with 

part 75 of this chapter; and 

(2) The applicable quality-assurance 

and quality-control requirements of 

§ 75.21 of this chapter and appendices 

B, D, and E to part 75 of this chapter are 

fully met for the certified monitoring 

system described in paragraph (a)(1) of 

this section. 

(b) The recertification provisions of 

this section shall apply to a monitoring 

system under § 97.530(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 

NOX emission rate measured in a 

common stack or a petition under 

§ 75.66 of this chapter for an alternative 

to a requirement in § 75.12 or § 75.17 of 

this chapter, the designated 

representative shall resubmit the 

petition to the Administrator under 

§ 97.535 to determine whether the 

approval applies under the TR NOX

Ozone Season Trading Program. 

(d) Except as provided in paragraph 

(a) of this section, the owner or operator 

of a TR NOX Ozone Season unit shall 

comply with the following initial 

certification and recertification 

procedures for a continuous monitoring 

system (i.e., a continuous emission 

monitoring system and an excepted 

monitoring system under appendices D 

and E to part 75 of this chapter) under 

§ 97.530(a)(1). The owner or operator of 

a unit that qualifies to use the low mass 

emissions excepted monitoring 

methodology under § 75.19 of this 

chapter or that qualifies to use an 

alternative monitoring system under 

subpart E of part 75 of this chapter shall 

comply with the procedures in 

paragraph (e) or (f) of this section 

respectively. 

(1) Requirements for initial 

certification. The owner or operator 

shall ensure that each continuous 

monitoring system under § 97.530(a)(1) 

(including the automated data 

acquisition and handling system) 

successfully completes all of the initial 

certification testing required under 

§ 75.20 of this chapter by the applicable 

deadline in § 97.530(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. 


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(2) Requirements for recertification. 

Whenever the owner or operator makes 

a replacement, modification, or change 

in any certified continuous emission 

monitoring system under § 97.530(a)(1) 

that may significantly affect the ability 

of the system to accurately measure or 

record NOX mass emissions or heat 

input rate or to meet the qualityassurance 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 

NOX monitoring system under appendix 

E to part 75 of this chapter, under 

§ 97.530(a)(1) are subject to the 

recertification requirements in 

§ 75.20(g)(6) of this chapter. 

(3) Approval process for initial 

certification and recertification. For 

initial certification of a continuous 

monitoring system under § 97.530(a)(1), 

paragraphs (d)(3)(i) through (v) of this 

section apply. For recertifications of 

such monitoring systems, paragraphs 

(d)(3)(i) through (iv) of this section and 

the procedures in §§ 75.20(b)(5) and 

(g)(7) of this chapter (in lieu of the 

procedures in paragraph (d)(3)(v) of this 

section) apply, provided that in 

applying paragraphs (d)(3)(i) through 

(iv) of this section, the words 

‘‘certification’’ and ‘‘initial certification’’ 

are replaced by the word 

‘‘recertification’’ and the word ‘‘certified’’ 

is replaced by with the word 

‘‘recertified’’. 

(i) Notification of certification. The 

designated representative shall submit 

to the appropriate EPA Regional Office 

and the Administrator written notice of 

the dates of certification testing, in 

accordance with § 97.533. 

(ii) Certification application. The 

designated representative shall submit 

to the Administrator a certification 

application for each monitoring system. 

A complete certification application 

shall include the information specified 

in § 75.63 of this chapter. 

(iii) Provisional certification date. The 

provisional certification date for a 

monitoring system shall be determined 

in accordance with § 75.20(a)(3) of this 

chapter. A provisionally certified 

monitoring system may be used under 

the TR NOX Ozone Season Trading 

Program for a period not to exceed 120 

days after receipt by the Administrator 

of the complete certification application 

for the monitoring system under 

paragraph (d)(3)(ii) of this section. Data 

measured and recorded by the 

provisionally certified monitoring 

system, in accordance with the 

requirements of part 75 of this chapter, 

will be considered valid quality-assured 

data (retroactive to the date and time of 

provisional certification), provided that 

the Administrator does not invalidate 

the provisional certification by issuing a 

notice of disapproval within 120 days of 

the date of receipt of the complete 

certification application by the 

Administrator. 

(iv) Certification application approval 

process. The Administrator will issue a 

written notice of approval or 

disapproval of the certification 

application to the owner or operator 

within 120 days of receipt of the 

complete certification application under 

paragraph (d)(3)(ii) of this section. In the 

event the Administrator does not issue 

such a notice within such 120-day 

period, each monitoring system that 

meets the applicable performance 

requirements of part 75 of this chapter 

and is included in the certification 

application will be deemed certified for 

use under the TR NOX Ozone Season 

Trading Program. 

(A) Approval notice. If the 

certification application is complete and 

shows that each monitoring system 

meets the applicable performance 

requirements of part 75 of this chapter, 

then the Administrator will issue a 

written notice of approval of the 

certification application within 120 

days of receipt. 

(B) Incomplete application notice. If 

the certification application is not 

complete, then the Administrator will 

issue a written notice of incompleteness 

that sets a reasonable date by which the 

designated representative must submit 

the additional information required to 

complete the certification application. If 

the designated representative does not 

comply with the notice of 

incompleteness by the specified date, 

then the Administrator may issue a 

notice of disapproval under paragraph 

(d)(3)(iv)(C) of this section. The 120-day 

review period specified in paragraph 

(d)(3) of this section shall not begin 

before receipt of a complete certification 

application. 

(C) Disapproval notice. If the 

certification application shows that any 

monitoring system does not meet the 

performance requirements of part 75 of 

this chapter or if the certification 

application is incomplete and the 

requirement for disapproval under 

paragraph (d)(3)(iv)(B) of this section is 

met, then the Administrator will issue a 

written notice of disapproval of the 

certification application. Upon issuance 

of such notice of disapproval, the 

provisional certification is invalidated 

by the Administrator and the data 

measured and recorded by each 

uncertified monitoring system shall not 

be considered valid quality-assured data 

beginning with the date and hour of 

provisional certification (as defined 

under § 75.20(a)(3) of this chapter). 

(D) Audit decertification. The 

Administrator may issue a notice of 

disapproval of the certification status of 

a monitor in accordance with 

§ 97.532(b). 

(v) Procedures for loss of certification. 

If the Administrator issues a notice of 

disapproval of a certification 

application under paragraph 

(d)(3)(iv)(C) of this section or a notice of 

disapproval of certification status under 

paragraph (d)(3)(iv)(D) of this section, 

then: 

(A) The owner or operator shall 

substitute the following values, for each 

disapproved monitoring system, for 

each hour of unit operation during the 

period of invalid data specified under 

§ 75.20(a)(4)(iii), § 75.20(g)(7), or 

§ 75.21(e) of this chapter and continuing 

until the applicable date and hour 

specified under § 75.20(a)(5)(i) or (g)(7) 

of this chapter: 

(1) For a disapproved NOX emission 

rate (i.e., NOX-diluent) system, the 

maximum potential NOX emission rate, 

as defined in § 72.2 of this chapter. 

(2) For a disapproved NOX pollutant 

concentration monitor and disapproved 

flow monitor, respectively, the 

maximum potential concentration of 

NOX 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 CO2 concentration 

or the minimum potential O2

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 


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flow rate, as defined in section 2.4.2.1 

of appendix D to part 75 of this chapter. 

(5) For a disapproved excepted NOX

monitoring system under appendix E to 

part 75 of this chapter, the fuel-specific 

maximum potential NOX emission rate, 

as defined in § 72.2 of this chapter. 

(B) The designated representative 

shall submit a notification of 

certification retest dates and a new 

certification application in accordance 

with paragraphs (d)(3)(i) and (ii) of this 

section. 

(C) The owner or operator shall repeat 

all certification tests or other 

requirements that were failed by the 

monitoring system, as indicated in the 

Administrator’s notice of disapproval, 

no later than 30 unit operating days 

after the date of issuance of the notice 

of disapproval. 

(e) The owner or operator of a unit 

qualified to use the low mass emissions 

(LME) excepted methodology under 

§ 75.19 of this chapter shall meet the 

applicable certification and 

recertification requirements in 

§§ 75.19(a)(2) and 75.20(h) of this 

chapter. If the owner or operator of such 

a unit elects to certify a fuel flowmeter 

system for heat input determination, the 

owner or operator shall also meet the 

certification and recertification 

requirements in § 75.20(g) of this 

chapter. 

(f) The designated representative of 

each unit for which the owner or 

operator intends to use an alternative 

monitoring system approved by the 

Administrator under subpart E of part 

75 of this chapter shall comply with the 

applicable notification and application 

procedures of § 75.20(f) of this chapter. 

§ 97.532 Monitoring system out-of-control 

periods. 

(a) General provisions. Whenever any 

monitoring system fails to meet the 

quality-assurance and quality-control 

requirements or data validation 

requirements of part 75 of this chapter, 

data shall be substituted using the 

applicable missing data procedures in 

subpart D or subpart H of, or appendix 

D or appendix E to, part 75 of this 

chapter. 

(b) Audit decertification. Whenever 

both an audit of a monitoring system 

and a review of the initial certification 

or recertification application reveal that 

any monitoring system should not have 

been certified or recertified because it 

did not meet a particular performance 

specification or other requirement under 

§ 97.531 or the applicable provisions of 

part 75 of this chapter, both at the time 

of the initial certification or 

recertification application submission 

and at the time of the audit, the 

Administrator will issue a notice of 

disapproval of the certification status of 

such monitoring system. For the 

purposes of this paragraph, an audit 

shall be either a field audit or an audit 

of any information submitted to the 

Administrator or any permitting 

authority. By issuing the notice of 

disapproval, the Administrator revokes 

prospectively the certification status of 

the monitoring system. The data 

measured and recorded by the 

monitoring system shall not be 

considered valid quality-assured data 

from the date of issuance of the 

notification of the revoked certification 

status until the date and time that the 

owner or operator completes 

subsequently approved initial 

certification or recertification tests for 

the monitoring system. The owner or 

operator shall follow the applicable 

initial certification or recertification 

procedures in § 97.531 for each 

disapproved monitoring system. 

§ 97.533 Notifications concerning 

monitoring. 

The designated representative of a TR 

NOX Ozone Season unit shall submit 

written notice to the Administrator in 

accordance with § 75.61 of this chapter. 

§ 97.534 Recordkeeping and reporting. 

(a) General provisions. The designated 

representative shall comply with all 

recordkeeping and reporting 

requirements in this section, the 

applicable recordkeeping and reporting 

requirements under § 75.73 of this 

chapter, and the requirements of 

§ 97.514(a). 

(b) Monitoring plans. The owner or 

operator of a TR NOX Ozone Season unit 

shall comply with requirements of 

§ 75.73(c) and (e) of this chapter. 

(c) Certification applications. The 

designated representative shall submit 

an application to the Administrator 

within 45 days after completing all 

initial certification or recertification 

tests required under § 97.531, including 

the information required under § 75.63 

of this chapter. 

(d) Quarterly reports. The designated 

representative shall submit quarterly 

reports, as follows: 

(1) If the TR NOX Ozone Season unit 

is subject to the Acid Rain Program or 

a TR NOX Annual emissions limitation 

or if the owner or operator of such unit 

chooses to report on an annual basis 

under this subpart, the designated 

representative shall meet the 

requirements of subpart H of part 75 of 

this chapter (concerning monitoring of 

NOX mass emissions) for such unit for 

the entire year and shall report the NOX

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, 

2011, the calendar quarter covering May 

1, 2012 through June 30, 2012; 

(ii) For a unit that commences 

commercial operation on or after July 1, 

2011, the calendar quarter 

corresponding to the earlier of the date 

of provisional certification or the 

applicable deadline for initial 

certification under § 97.530(b), unless 

that quarter is the third or fourth quarter 

of 2011 or the first quarter of 2012, in 

which case reporting shall commence in 

the quarter covering May 1, 2012 

through June 30, 2012; 

(2) If the TR NOX Ozone Season unit 

is not subject to the Acid Rain Program 

or a TR NOX Annual emissions 

limitation, then the designated 

representative shall either: 

(i) Meet the requirements of subpart H 

of part 75 (concerning monitoring of 

NOX mass emissions) for such unit for 

the entire year and report the NOX 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 

NOX 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, 

2011, the calendar quarter covering May 

1, 2012 through June 30, 2012; 

(B) For a unit that commences 

commercial operation on or after July 1, 

2011, the calendar quarter 

corresponding to the earlier of the date 

of provisional certification or the 

applicable deadline for initial 

certification under § 97.530(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; 

(3) Notwithstanding paragraphs (d)(1) 

and (2) of this section, for a unit for 

which a TR opt-in application is 

submitted and not withdrawn and is not 

yet approved or disapproved, the 

calendar quarter corresponding to the 

date specified in § 97.541(c); and 

(4) Notwithstanding paragraphs (d)(1) 

and (2) of this section, for a TR NOX


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Ozone Season opt-in unit, the calendar 

quarter corresponding to the date on 

which the TR NOX Annual opt-in unit 

enters the TR NOX Ozone Season 

Trading Program as provided in 

§ 97.541(h). 

(5) The designated representative 

shall submit each quarterly report to the 

Administrator within 30 days after the 

end of the calendar quarter covered by 

the report. Quarterly reports shall be 

submitted in the manner specified in 

§ 75.73(f) of this chapter. 

(6) For TR NOX Ozone Season units 

that are also subject to the Acid Rain 

Program, TR NOX Annual Trading 

Program, TR SO2 Group 1 Trading 

Program, or TR SO2 Group 1 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 NOX mass emission data, 

heat input data, and other information 

required by this subpart. 

(7) The Administrator may review and 

conduct independent audits of any 

quarterly report in order to determine 

whether the quarterly report meets the 

requirements of this subpart and part 75 

of this chapter, including the 

requirement to use substitute data. 

(i) The Administrator will notify the 

designated representative of any 

determination that the quarterly report 

fails to meet any such requirements and 

specify in such notification any 

corrections that the Administrator 

believes are necessary to make through 

resubmission of the quarterly report and 

a reasonable time period within which 

the designated representative must 

respond. Upon request by the 

designated representative, the 

Administrator may specify reasonable 

extensions of such time period. Within 

the time period (including any such 

extensions) specified by the 

Administrator, the designated 

representative shall resubmit the 

quarterly report with the corrections 

specified by the Administrator, except 

to the extent the designated 

representative provides information 

demonstrating that a specified 

correction is not necessary because the 

quarterly report already meets the 

requirements of this subpart and part 75 

of this chapter that are relevant to the 

specified correction. 

(8) Any resubmission of a quarterly 

report shall meet the requirements 

applicable to the submission of a 

quarterly report under this subpart and 

part 75 of this chapter, except for the 

deadline set forth in paragraph (d)(5) of 

this section. 

(e) Compliance certification. The 

designated representative shall submit 

to the Administrator a compliance 

certification (in a format prescribed by 

the Administrator) in support of each 

quarterly report based on reasonable 

inquiry of those persons with primary 

responsibility for ensuring that all of the 

unit’s emissions are correctly and fully 

monitored. The certification shall state 

that: 

(1) The monitoring data submitted 

were recorded in accordance with the 

applicable requirements of this subpart 

and part 75 of this chapter, including 

the quality assurance procedures and 

specifications; 

(2) For a unit with add-on NOX

emission controls and for all hours 

where NOX 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 

NOX emissions; and 

(3) For a unit that is reporting on a 

control period basis under paragraph 

(d)(2)(ii) of this section, the NOX

emission rate and NOX 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 NOX

emissions. 

§ 97.535 Petitions for alternatives to 

monitoring, recordkeeping, or reporting 

requirements. 

(a) The designated representative of a 

TR NOX Ozone Season unit may submit 

a petition under § 75.66 of this chapter 

to the Administrator, requesting 

approval to apply an alternative to any 

requirement of §§ 97.530 through 97.534 

or paragraph (5)(i) or (ii) of the 

definition of ‘‘owner’s share’’ in 

§ 97.502. 

(b) A petition submitted under 

paragraph (a) of this section shall 

include sufficient information for the 

evaluation of the petition, including, at 

a minimum, the following information: 

(i) Identification of each unit and 

source covered by the petition; 

(ii) A detailed explanation of why the 

proposed alternative is being suggested 

in lieu of the requirement; 

(iii) A description and diagram of any 

equipment and procedures used in the 

proposed alternative; 

(iv) A demonstration that the 

proposed alternative is consistent with 

the purposes of the requirement for 

which the alternative is proposed and 

with the purposes of this subpart and 

part 75 of this chapter and that any 

adverse effect of approving the 

alternative will be de minimis; and 

(v) Any other relevant information 

that the Administrator may require. 

(c) Use of an alternative to any 

requirement referenced in paragraph (a) 

of this section is in accordance with this 

subpart only to the extent that the 

petition is approved in writing by the 

Administrator and that such use is in 

accordance with such approval. 

§ 97.540 General requirements for TR NOX

Ozone Season opt-in units. 

(a) A TR NOX Ozone Season opt-in 

unit must be a unit that: 

(1) Is located in a State; 

(2) Is not a TR NOX Ozone Season 

unit under § 97.504; 

(3) Is not covered by a retired unit 

exemption under § 72.8 of this chapter 

that is in effect; and 

(4) Vents all of its emissions to a stack 

and can meet the monitoring, 

recordkeeping, and reporting 

requirements of this subpart. 

(b) A TR NOX Ozone Season opt-in 

unit shall be deemed to be a TR NOX

Ozone Season unit for purposes of 

applying this subpart, except for 

§§ 97.505, 97.511, and 97.512. 

(c) Solely for purposes of applying the 

requirements of §§ 97.513 through 

97.518 and §§ 97.530 through 97.535, a 

unit for which a TR opt-in application 

is submitted and not withdrawn and is 

not yet approved or disapproved under 

§ 97.542 shall be deemed to be a TR 

NOX Ozone Season unit. 

(d) Any TR NOX Ozone Season opt-in 

unit, and any unit for which a TR optin application is submitted and not 

withdrawn and is not yet approved or 

disapproved under § 97.542, located at 

the same source as one or more TR NOX

Ozone Season units shall have the same 

designated representative and alternate 

designated representative as such TR 

NOX Ozone Season units. 

§ 97.541 Opt-in process. 

A unit meeting the requirements for a 

TR NOX Ozone Season opt-in unit in 

§ 97.540(a) may become a TR NOX

Ozone Season opt-in unit only if, in 

accordance with this section, the 

designated representative of the unit 

submits a complete TR opt-in 

application for the unit and the 

Administrator approves the application. 

(a) Applying to opt-in. The designated 

representative of the unit may submit a 

complete TR opt-in application for the 

unit at any time, except as provided 

under § 97.542(e). A complete TR opt-in 

application shall include the following 

elements in a format prescribed by the 

Administrator: 

(1) Identification of the unit and the 

source where the unit is located, 


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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, and unit identification 

number and type; 

(2) A certification that the unit: 

(i) Is not a TR NOX Ozone Season unit 

under § 97.504; 

(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 

(greater than 0 mmBtu) for more than 

876 hours during the 6 months 

immediately preceding submission of 

the TR opt-in application; 

(3) A monitoring plan in accordance 

with §§ 97.530 through 97.535; 

(4) A statement that the unit, if 

approved to become a TR NOX Ozone 

Season unit under paragraph (g) of this 

section, may withdraw from the TR NOX

Ozone Season Trading Program only in 

accordance with § 97.542; 

(5) A statement that the unit, if 

approved to become a TR NOX Ozone 

Season unit under paragraph (g) of this 

section, is subject to, and the owners 

and operators of the unit must comply 

with, the requirements of § 97.543; 

(6) A complete certificate of 

representation under § 97.516 consistent 

with § 97.540, if no designated 

representative has been previously 

designated for the source that includes 

the unit; and 

(7) The signature of the designated 

representative and the date signed. 

(b) Interim review of monitoring plan. 

The Administrator will determine, on 

an interim basis, the sufficiency of the 

monitoring plan submitted under 

paragraph (a)(3) of this section. The 

monitoring plan is sufficient, for 

purposes of interim review, if the plan 

appears to contain information 

demonstrating that the NOX emission 

rate and heat input of the unit and all 

other applicable parameters are 

monitored and reported in accordance 

with §§ 97.530 through 97.535. A 

determination of sufficiency shall not be 

construed as acceptance or approval of 

the monitoring plan. 

(c) Monitoring and reporting. (1)(i) If 

the Administrator determines that the 

monitoring plan is sufficient under 

paragraph (b) of this section, the owner 

or operator of the unit shall monitor and 

report the NOX emission rate and the 

heat input of the unit and all other 

applicable parameters, in accordance 

with §§ 97.530 through 97.535, starting 

on the date of certification of the 

necessary monitoring systems under 

§§ 97.530 through 97.535 and 

continuing until the TR opt-in 

application submitted under paragraph 

(a) of this section is disapproved under 

this section or, if such TR opt-in 

application is approved, the date and 

time when the unit is withdrawn from 

the TR NOX Ozone Season Trading 

Program in accordance with § 97.542. 

(ii) The monitoring and reporting 

under paragraph (c)(1)(i) of this section 

shall cover the entire control period 

immediately before the date on which 

the unit enters the TR NOX Ozone 

Season Trading Program under 

paragraph (h) of this section, during 

which period monitoring system 

availability must not be less than 98 

percent under §§ 97.530 through 97.535 

and the unit must be in full compliance 

with any applicable State or Federal 

emissions or emissions-related 

requirements. 

(2) To the extent the NOX emissions 

rate and the heat input of the unit are 

monitored and reported in accordance 

with §§ 97.530 through 97.535 for one or 

more entire control periods, in addition 

to the control period under paragraph 

(c)(1)(ii) of this section, during which 

control periods monitoring system 

availability is not less than 98 percent 

under §§ 97.530 through 97.535 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 

TR NOX Ozone Season Trading Program 

under paragraph (h) of this section, such 

information shall be used as provided in 

paragraphs (e) and (f) of this section. 

(d) Statement on compliance. After 

submitting to the Administrator all 

quarterly reports required for the unit 

under paragraph (c) of this section, the 

designated representative shall submit, 

in a format prescribed by the 

Administrator, to the Administrator a 

statement that, for the years covered by 

such quarterly reports, the unit was in 

full compliance with any applicable 

State or Federal emissions or emissionsrelated requirements. 

(e) Baseline heat input. The unit’s 

baseline heat input shall equal: 

(1) If the unit’s NOX emissions rate 

and heat input are monitored and 

reported for only one entire control 

period, in accordance with paragraph (c) 

of this section, the unit’s total heat input 

(in mmBtu) for such control period; or 

(2) If the unit’s NOX emission rate and 

heat input are monitored and reported 

for more than one entire control period, 

in accordance with paragraph (c) of this 

section, the average of the amounts of 

the unit’s total heat input (in mmBtu) 

for such control periods. 

(f) Baseline NOX emission rate. The 

unit’s baseline NOX emission rate shall 

equal: 

(1) If the unit’s NOX emission rate and 

heat input are monitored and reported 

for only one entire control period, in 

accordance with paragraph (c) of this 

section, the unit’s NOX emission rate (in 

lb/mmBtu) for such control period; 

(2) If the unit’s NOX emission rate and 

heat input are monitored and reported 

for more than one entire control period, 

in accordance with paragraph (c) of this 

section, and the unit does not have addon NOX emission controls during any 

such control periods, the average of the 

amounts of the unit’s NOX emission rate 

(in lb/mmBtu) for such control periods; 

or 

(3) If the unit’s NOX emission rate and 

heat input are monitored and reported 

for more than one entire control period, 

in accordance with paragraph (c) of this 

section, and the unit has add-on NOX

emission controls during any such 

control periods, the average of the 

amounts of the unit’s NOX emission rate 

(in lb/mmBtu) for such control periods 

during which the unit has add-on NOX

emission controls. 

(g) Review of TR opt-in application. 

(1) After the designated representative 

submits the complete TR opt-in 

application, quarterly reports, and 

statement required in paragraphs (a), (c), 

and (d) of this section and if the 

Administrator determines that the 

designated representative shows that the 

unit meets the requirements for a TR 

NOX Ozone Season opt-in unit in 

§ 97.540, the element certified in 

paragraph (a)(2)(iv) of this section, and 

the monitoring and reporting 

requirements of paragraph (c) of this 

section, the Administrator will issue a 

written approval of the TR opt-in 

application for the unit. The written 

approve will state the unit’s baseline 

heat input and baseline NOX emission 

rate. The Administrator will thereafter 

establish a compliance account for the 

source that includes the unit unless the 

source already has a compliance 

account. 

(2) Notwithstanding paragraphs (a) 

through (f) of this section, if, at any time 

before the TR opt-in application is 

approved under paragraph (g)(1) of this 

section, the Administrator determines 

that the unit cannot meet the 

requirements for a TR NOX Ozone 

Season opt-in unit in § 97.540, the 

element certified in paragraph (a)(2)(iv) 

of this section, or the monitoring and 

reporting requirements in paragraph (c) 

of this section, the Administrator will 

issue a written disapproval of the TR 

opt-in application for the unit. 


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(h) Date of entry into TR NOX Ozone 

Season Trading Program. A unit for 

which a TR opt-in application is 

approved under paragraph (g)(1) of this 

section shall become a TR NOX Ozone 

Season opt-in unit, and a TR NOX

Ozone Season unit, effective as of the 

later of May 1, 2012 or May 1 of the first 

control period during which such 

approval is issued. 

§ 97.542 Withdrawal of TR NOX Ozone 

Season opt-in unit from TR NOX Ozone 

Season Trading Program. 

A TR NOX Ozone Season opt-in unit 

may withdraw from the TR NOX Ozone 

Season Trading Program only if, in 

accordance with this section, the 

designated representative of the unit 

submits a request to withdraw the unit 

and the Administrator issues a written 

approval of the request. 

(a) Requesting withdrawal. In order to 

withdraw the TR NOX Ozone Season 

opt-in unit from the TR NOX Ozone 

Season Trading Program, the designated 

representative of the unit shall submit to 

the Administrator a request to withdraw 

the unit 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 the 

unit’s entry into the TR NOX Ozone 

Season Trading Program under 

§ 97.541(h). The request shall be in a 

format prescribed by the Administrator 

and shall be submitted no later than 90 

days before the requested effective date 

of withdrawal. 

(b) Conditions for withdrawal. Before 

a TR NOX Ozone Season opt-in unit 

covered by the request to withdraw may 

withdraw from the TR NOX Ozone 

Season Trading Program, 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 

TR NOX Ozone Season opt-in unit must 

meet the requirement to hold TR NOX

Ozone Season allowances under 

§§ 97.524 and 97.525 and cannot have 

any excess emissions. 

(2) After the requirement under 

paragraph (b)(1) of this section is met, 

the Administrator will deduct from the 

compliance account of the source that 

includes the TR NOX Ozone Season optin unit TR NOX Ozone Season 

allowances equal in amount to and 

allocated for the same or a prior control 

period as any TR NOX Ozone Season 

allowances allocated to the TR NOX

Ozone Season opt-in unit under 

§ 97.544 for any control period after the 

date on which the withdrawal is to be 

effective. If there are no other TR NOX

Ozone Season units at the source, the 

Administrator will close the compliance 

account, and the owners and operators 

of the TR NOX Ozone Season opt-in unit 

may submit a TR NOX Ozone Season 

allowance transfer for any remaining TR 

NOX Ozone Season allowances to 

another Allowance Management System 

account in accordance §§ 97.522 and 

97.523. 

(c) Approving withdrawal. (1) After 

the requirements for withdrawal under 

paragraphs (a) and (b) of this section are 

met (including deduction of the full 

amount of TR NOX Ozone Season 

allowances required), the Administrator 

will issue a written approval of the 

request to withdraw, which will become 

effective as of midnight on September 

30 of the calendar year for which the 

withdrawal was requested. The unit 

covered by the request shall continue to 

be a TR NOX Ozone Season opt-in unit 

until the effective date of the 

withdrawal and shall comply with all 

requirements under the TR NOX Ozone 

Season Trading Program concerning any 

control periods for which the unit is a 

TR NOX Ozone Season opt-in unit, even 

if such requirements arise or must be 

complied with after the withdrawal 

takes effect. 

(2) If the requirements for withdrawal 

under paragraphs (a) and (b) of this 

section are not met, the Administrator 

will issue a written disapproval of the 

request to withdraw. The unit covered 

by the request shall continue to be a TR 

NOX Ozone Season opt-in unit. 

(d) Reapplication upon failure to meet 

conditions of withdrawal. If the 

Administrator disapproves the request 

to withdraw, the designated 

representative of the unit may submit 

another request to withdraw in 

accordance with paragraphs (a) and (b) 

of this section. 

(e) Ability to reapply to the TR NOX

Ozone Season Trading Program. Once a 

TR NOX Ozone Season opt-in unit 

withdraws from the TR NOX Ozone 

Season Trading Program, the designated 

representative may not submit another 

opt-in application under § 97.541 for 

such unit before the date that is 4 years 

after the date on which the withdrawal 

became effective. 

§ 97.543 Change in regulatory status. 

(a) Notification. If a TR NOX Ozone 

Season opt-in unit becomes a TR NOX

Ozone Season unit under § 97.504, then 

the designated representative of the unit 

shall notify the Administrator in writing 

of such change in the TR NOX Ozone 

Season opt-in unit’s regulatory status, 

within 30 days of such change. 

(b) Administrator’s actions. (1) If a TR 

NOX Ozone Season opt-in unit becomes 

a TR NOX Ozone Season unit under 

§ 97.504, the Administrator will deduct, 

from the compliance account of the 

source that includes the TR NOX Ozone 

Season opt-in unit that becomes a TR 

NOX Ozone Season unit under § 97.504, 

TR NOX Ozone Season allowances equal 

in amount to and allocated for the same 

or a prior control period as: 

(i) Any TR NOX Ozone Season 

allowances allocated to the TR NOX

Ozone Season opt-in unit under 

§ 97.544 for any control period starting 

after the date on which the TR NOX

Ozone Season opt-in unit becomes a TR 

NOX Ozone Season unit under § 97.504; 

and 

(ii) If the date on which the TR NOX

Ozone Season opt-in unit becomes a TR 

NOX Ozone Season unit under § 97.504 

is not September 30, the TR NOX Ozone 

Season allowances allocated to the TR 

NOX Ozone Season opt-in unit under 

§ 97.544 for the control period that 

includes the date on which the TR NOX

Ozone Season opt-in unit becomes a TR 

NOX Ozone Season unit under 

§ 97.504— 

(A) Multiplied by the ratio of the 

number of days, in the control period, 

starting with the date on which the TR 

NOX Ozone Season opt-in unit becomes 

a TR NOX Ozone Season unit under 

§ 97.504, divided by the total number of 

days in the control period, and 

(B) Rounded to the nearest allowance. 

(2) The designated representative 

shall ensure that the compliance 

account of the source that includes the 

TR NOX Ozone Season opt-in unit that 

becomes a TR NOX Ozone Season unit 

under § 97.504 contains the TR NOX

Ozone Season allowances necessary for 

completion of the deduction under 

paragraph (b)(1) of this section. 

(3)(i) For control periods starting after 

the date on which the TR NOX Ozone 

Season opt-in unit becomes a TR NOX

Ozone Season unit under § 97.504, the 

TR NOX Ozone Season opt-in unit will 

be allocated TR NOX Ozone Season 

allowances in accordance with § 97.512. 

(ii) If the date on which the TR NOX

Ozone Season opt-in unit becomes a TR 

NOX Ozone Season unit under § 97.504 

is not September 30, the following 

amount of TR NOX Ozone Season 

allowances will be allocated to the TR 

NOX Ozone Season opt-in unit (as a TR 

NOX Ozone Season unit) in accordance 

with § 97.512 for the control period that 

includes the date on which the TR NOX

Ozone Season opt-in unit becomes a TR 

NOX Ozone Season unit under § 97.504: 

(A) The amount of TR NOX Ozone 

Season allowances otherwise allocated 

to the TR NOX Ozone Season opt-in unit 

(as a TR NOX Ozone Season unit) in 

accordance with § 97.512 for the control 

period; 


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(B) Multiplied by the ratio of the 

number of days, in the control period, 

starting with the date on which the TR 

NOX Ozone Season opt-in unit becomes 

a TR NOX Ozone Season unit under 

§ 97.504, divided by the total number of 

days in the control period; and 

(C) Rounded to the nearest allowance. 

§ 97.544 TR NOX Ozone Season allowance 

allocations to TR NOX Ozone Season opt-in 

units. 

(a) Timing requirements. (1) When the 

TR opt-in application is approved for a 

unit under § 97.541(g), the 

Administrator will issue TR NOX Ozone 

Season allowances and allocate them to 

the unit for the control period in which 

the unit enters the TR NOX Ozone 

Season Trading Program under 

§ 97.541(h), in accordance with 

paragraph (b) of this section. 

(2) By no later than July 30 of the 

control period after the control period in 

which a TR NOX Ozone Season opt-in 

unit enters the TR NOX Ozone Season 

Trading Program under § 97.541(h) and 

July 30 of each year thereafter, the 

Administrator will issue TR NOX Ozone 

Season allowances and allocate them to 

the TR NOX Ozone Season opt-in unit 

for the control period that includes such 

allocation deadline and in which the 

unit is a TR NOX Ozone Season opt-in 

unit, in accordance with paragraph (b) 

of this section. 

(b) Calculation of allocation. For each 

control period for which a TR NOX

Ozone Season opt-in unit is to be 

allocated TR NOX Ozone Season 

allowances, the Administrator will issue 

and allocate TR NOX Ozone Season 

allowances in accordance with the 

following procedures: 

(1) The heat input (in mmBtu) used 

for calculating the TR NOX Ozone 

Season allowance allocation will be the 

lesser of: 

(i) The TR NOX Ozone Season opt-in 

unit’s baseline heat input determined 

under § 97.541(g); or 

(ii) The TR NOX Ozone Season opt-in 

unit’s heat input, as determined in 

accordance with §§ 97.530 through 

97.535, for the immediately prior 

control period, except when the 

allocation is being calculated for the 

control period in which the TR NOX

Ozone Season opt-in unit enters the TR 

NOX Ozone Season Trading Program 

under § 97.541(h). 

(2) The NOX emission rate (in lb/ 

mmBtu) used for calculating TR NOX

Ozone Season allowance allocations 

will be the lesser of: 

(i) The TR NOX Ozone Season opt-in 

unit’s baseline NOX emission rate (in lb/ 

mmBtu) determined under § 97.541(g) 

and multiplied by 70 percent; or 

(ii) The most stringent State or 

Federal NOX emissions limitation 

applicable to the TR NOX Ozone Season 

opt-in unit at any time during the 

control period for which TR NOX Ozone 

Season allowances are to be allocated. 

(3) The Administrator will issue TR 

NOX Ozone Season allowances and 

allocate them to the TR NOX Ozone 

Season opt-in unit in an amount 

equaling the heat input under paragraph 

(b)(1) of this section, multiplied by the 

NOX emission rate under paragraph 

(b)(2) of this section, divided by 2,000 

lb/ton, and rounded to the nearest 

allowance. 

(c) Recordation. (1) The Administrator 

will record, in the compliance account 

of the source that includes the TR NOX

Ozone Season opt-in unit, the TR NOX

Ozone Season allowances allocated to 

the TR NOX Ozone Season opt-in unit 

under paragraph (a)(1) of this section. 

(2) By September 1 of the control 

period after the control period in which 

a TR NOX Ozone Season opt-in unit 

enters the TR NOX Ozone Season 

Trading Program under § 97.541(h) and 

September 1 of each year thereafter, the 

Administrator will record, in the 

compliance account of the source that 

includes the TR NOX Ozone Season optin unit, the TR NOX Ozone Season 

allowances allocated to the TR NOX

Ozone Season opt-in unit under 

paragraph (a)(2) of this section. 

37. Part 97 is amended by adding 

subpart CCCCC to read as follows: 

Subpart CCCCC—TR SO2 Group 1 Trading 

Program 

Sec. 

97.601 Purpose. 

97.602 Definitions. 

97.603 Measurements, abbreviations, and 

acronyms. 

97.604 Applicability. 

97.605 Retired unit exemption. 

97.606 Standard requirements. 

97.607 Computation of time. 

97.608 Administrative appeal procedures. 

97.609 [Reserved] 

97.610 State SO2 Group 1 trading budgets, 

new-unit set- asides, and variability 

limits. 

97.611 Timing requirements for TR SO2

Group 1 allowance allocations. 

97.612 TR SO2 Group 1 allowance 

allocations for new units. 

97.613 Authorization of designated 

representative and alternate designated 

representative. 

97.614 Responsibilities of designated 

representative and alternate designated 

representative. 

97.615 Changing designated representative 

and alternate designated representative; 

changes in owners and operators. 

97.616 Certificate of representation. 

97.617 Objections concerning designated 

representative and alternate designated 

representative. 

97.618 Delegation by designated 

representative and alternate designated 

representative. 

97.619 [Reserved] 

97.620 Establishment of Allowance 

Management System accounts. 

97.621 Recordation of TR SO2 Group 1 

allowance allocations. 

97.622 Submission of TR SO2 Group 1 

allowance transfers. 

97.623 Recordation of TR SO2 Group 1 

allowance transfers. 

97.624 Compliance with TR SO2 Group 1 

emissions limitation. 

97.625 Compliance with TR SO2 Group 1 

assurance provisions. 

97.626 Banking. 

97.627 Account error. 

97.628 Administrator’s action on 

submissions. 

97.629 [Reserved] 

97.630 General monitoring, recordkeeping, 

and reporting requirements. 

97.631 Initial monitoring system 

certification and recertification 

procedures. 

97.632 Monitoring system out-of-control 

periods. 

97.633 Notifications concerning 

monitoring. 

97.634 Recordkeeping and reporting. 

97.635 Petitions for alternatives to 

monitoring, recordkeeping, or reporting 

requirements. 

97.640 General requirements for TR SO2

Group 1 opt-in units. 

97.641 Opt-in process. 

97.642 Withdrawal of TR SO2 Group 1 optin unit from TR SO2 Group 1 Trading 

Program. 

97.643 Change in regulatory status. 

97.644 TR SO2 Group 1 allowance 

allocations to TR SO2 Group 1 opt-in 

units. 

Subpart CCCCC—TR SO2 Group 1 

Trading Program 

§ 97.601 Purpose. 

This subpart sets forth the general, 

designated representative, allowance, 

and monitoring provisions for the 

Transport Rule (TR) SO2 Group 1 

Trading Program, under section 110 of 

the Clean Air Act and § 52.38(b) of this 

chapter, as a means of mitigating 

interstate transport of fine particulates 

and nitrogen oxides. 

§ 97.602 Definitions. 

The terms used in this subpart shall 

have the meanings set forth in this 

section as follows: 

Acid Rain Program means a multistate SO2 and NOX air pollution control 

and emission reduction program 

established by the Administrator under 

title IV of the Clean Air Act and parts 

72 through 78 of this chapter. 

Administrator means the 

Administrator of the United States 

Environmental Protection Agency or the 

Director of the Clean Air Markets 

Division (or its successor) of the United 


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States Environmental Protection 

Agency, the Administrator’s duly 

authorized representative under this 

subpart. 

Allocate or allocation means, with 

regard to TR SO2 Group 1 allowances, 

the determination by the Administrator 

of the amount of such TR SO2 Group 1 

allowances to be initially credited to a 

TR SO2 Group 1 source or a new unit 

set-aside. 

Allowable SO2 emission rate means, 

with regard to a unit, the SO2 emission 

rate limit that is applicable to the unit 

and covers the longest averaging period 

not exceeding one year. 

Allowance Management System 

means the system by which the 

Administrator records allocations, 

deductions, and transfers of TR SO2

Group 1 allowances under the TR SO2

Group 1 Trading Program. Such 

allowances are allocated, held, 

deducted, or transferred only as whole 

allowances. The Allowance 

Management System is a component of 

the CAMD Business System, which is 

the system used by the Administrator to 

handle TR SO2 Group 1 allowances and 

data related to SO2 emissions. 

Allowance Management System 

account means an account in the 

Allowance Management System 

established by the Administrator for 

purposes of recording the allocation, 

holding, transfer, or deduction of TR 

SO2 Group 1 allowances. 

Allowance transfer deadline means, 

for a control period, midnight of March 

1 (if it is a business day), or midnight 

of the first business day thereafter (if 

March 1 is not a business day), 

immediately after such control period 

and is the deadline by which a TR SO2

Group 1 allowance transfer must be 

submitted for recordation in a TR SO2

Group 1 source’s compliance account in 

order to be available for use in 

complying with the source’s TR SO2

Group 1 Annual emissions limitation for 

such control period in accordance with 

§ 97.624. 

Alternate designated representative 

means, for a TR SO2 Group 1 source and 

each TR SO2 Group 1 unit at the source, 

the natural person who is authorized by 

the owners and operators of the source 

and all such units at the source, in 

accordance with this subpart, to act on 

behalf of the designated representative 

in matters pertaining to the TR SO2

Group 1 Trading Program. If the TR SO2

Group 1 source is also subject to the 

Acid Rain Program, TR NOX Annual 

Season Trading Program, or TR NOX

Ozone Season Trading Program, then 

this natural person shall be the same 

natural person as the alternate 

designated representative as defined in 

§ 72.2 of this chapter, § 97.402, or 

§ 97.502 respectively. 

Authorized account representative 

means, with regard to a general account, 

the natural person who is authorized, in 

accordance with this subpart, to transfer 

and otherwise dispose of TR SO2 Group 

1 allowances held in the general 

account and, with regard to a TR SO2

Group 1 source’s compliance account, 

the designated representative of the 

source. 

Automated data acquisition and 

handling system or DAHS means the 

component of the continuous emission 

monitoring system, or other emissions 

monitoring system approved for use 

under this subpart, designed to interpret 

and convert individual output signals 

from pollutant concentration monitors, 

flow monitors, diluent gas monitors, 

and other component parts of the 

monitoring system to produce a 

continuous record of the measured 

parameters in the measurement units 

required by this subpart. 

Biomass means— 

(1) Any organic material grown for the 

purpose of being converted to energy; 

(2) Any organic byproduct of 

agriculture that can be converted into 

energy; or 

(3) Any material that can be converted 

into energy and is nonmerchantable for 

other purposes, that is segregated from 

other material that is nonmerchantable 

for other purposes, and that is; 

(i) A forest-related organic resource, 

including mill residues, precommercial 

thinnings, slash, brush, or byproduct 

from conversion of trees to 

merchantable material; or 

(ii) A wood material, including 

pallets, crates, dunnage, manufacturing 

and construction materials (other than 

pressure-treated, chemically-treated, or 

painted wood products), and landscape 

or right-of-way tree trimmings. 

Boiler means an enclosed fossil- or 

other-fuel-fired combustion device used 

to produce heat and to transfer heat to 

recirculating water, steam, or other 

medium. 

Bottoming-cycle unit means a unit in 

which the energy input to the unit is 

first used to produce useful thermal 

energy, where at least some of the reject 

heat from the useful thermal energy 

application or process is then used for 

electricity production. 

Certifying official means a natural 

person who is: 

(1) For a corporation, a president, 

secretary, treasurer, or vice-president or 

the corporation in charge of a principal 

business function or any other person 

who performs similar policy or 

decision-making functions for the 

corporation; 

(2) For a partnership or sole 

proprietorship, a general partner or the 

proprietor respectively; or 

(3) For a local government entity or 

State, federal, or other public agency, a 

principal executive officer or ranking 

elected official. 

Clean Air Act means the Clean Air 

Act, 42 U.S.C. 7401, et seq. 

Coal means any solid fuel classified as 

anthracite, bituminous, subbituminous, 

or lignite. 

Coal-derived fuel means any fuel 

(whether in a solid, liquid, or gaseous 

state) produced by the mechanical, 

thermal, or chemical processing of coal. 

Coal-fired means combusting any 

amount of coal or coal-derived fuel, 

alone or in combination with any 

amount of any other fuel, during 1990 

or any year thereafter. 

Cogeneration system means an 

integrated group, at a source, of 

equipment (including a boiler, or 

combustion turbine, and a steam turbine 

generator) designed to produce useful 

thermal energy for industrial, 

commercial, heating, or cooling 

purposes and electricity through the 

sequential use of energy. 

Cogeneration unit means a stationary, 

fossil-fuel-fired boiler or stationary, 

fossil-fuel-fired combustion turbine— 

(1) Operating as part of a cogeneration 

system; and 

(2) Producing during the later of 1990 

or the 12-month period starting on the 

date that the unit first produces 

electricity and during each calendar 

year after the later of 1990 or the 

calendar year in which the unit first 

produces electricity— 

(i) For a topping-cycle unit, 

(A) Useful thermal energy not less 

than 5 percent of total energy output; 

and 

(B) Useful power that, when added to 

one-half of useful thermal energy 

produced, is not less then 42.5 percent 

of total energy input, if useful thermal 

energy produced is 15 percent or more 

of total energy output, or not less than 

45 percent of total energy input, if 

useful thermal energy produced is less 

than 15 percent of total energy output. 

(ii) For a bottoming-cycle unit, useful 

power not less than 45 percent of total 

energy input; 

(3) Provided that the total energy 

input under paragraphs (2)(i)(B) and 

(2)(ii) of this definition shall equal the 

unit’s total energy input from all fuel, 

except biomass if the unit is a boiler; 

and 

(4) Provided that, if a topping-cycle 

unit is operated as part of a cogeneration 

system during a calendar year and the 

cogeneration system meets on a systemwide basis the requirement in paragraph 


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(2)(i)(B) of this definition, the toppingcycle unit shall be deemed to meet such 

requirement during that calendar year. 

Combustion turbine means an 

enclosed device comprising: 

(1) If the device is simple cycle, a 

compressor, a combustor, and a turbine 

and in which the flue gas resulting from 

the combustion of fuel in the combustor 

passes through the turbine, rotating the 

turbine; and 

(2) If the device is combined cycle, 

the equipment described in paragraph 

(1) of this definition and any associated 

duct burner, heat recovery steam 

generator, and steam turbine. 

Commence commercial operation 

means, with regard to a unit: 

(1) To have begun to produce steam, 

gas, or other heated medium used to 

generate electricity for sale or use, 

including test generation, except as 

provided in § 97.605. 

(i) For a unit that is a TR SO2 Group 

1 unit under § 97.604 on the later of 

November 15, 1990 or the date the unit 

commences commercial operation as 

defined in the introductory text of 

paragraph (1) of this definition and that 

subsequently undergoes a physical 

change (other than replacement of the 

unit by a unit at the same source), such 

date shall remain the date of 

commencement of commercial 

operation of the unit, which shall 

continue to be treated as the same unit. 

(ii) For a unit that is a TR SO2 Group 

1 unit under § 97.604 on the later of 

November 15, 1990 or the date the unit 

commences commercial operation as 

defined in the introductory text of 

paragraph (1) of this definition and that 

is subsequently replaced by a unit at the 

same source, such date shall remain the 

replaced unit’s date of commencement 

of commercial operation, and the 

replacement unit shall be treated as a 

separate unit with a separate date for 

commencement of commercial 

operation as defined in paragraph (1) or 

(2) of this definition as appropriate. 

(2) Notwithstanding paragraph (1) of 

this definition and except as provided 

in § 97.605, for a unit that is not a TR 

SO2 Group 1 unit under § 97.604 on the 

later of November 15, 1990 or the date 

the unit commences commercial 

operation as defined in introductory text 

of paragraph (1) of this definition, the 

unit’s date for commencement of 

commercial operation shall be the date 

on which the unit becomes a TR SO2

Group 1 unit under § 97.604. 

(i) For a unit with a date for 

commencement of commercial 

operation as defined in the introductory 

text of paragraph (2) of this definition 

and that subsequently undergoes a 

physical change (other than replacement 

of the unit by a unit at the same source), 

such date shall remain the date of 

commencement of commercial 

operation of the unit, which shall 

continue to be treated as the same unit. 

(ii) For a unit with a date for 

commencement of commercial 

operation as defined in the introductory 

text of paragraph (2) of this definition 

and that is subsequently replaced by a 

unit at the same source, such date shall 

remain the replaced unit’s date of 

commencement of commercial 

operation, and the replacement unit 

shall be treated as a separate unit with 

a separate date for commencement of 

commercial operation as defined in 

paragraph (1) or (2) of this definition as 

appropriate. 

Commence operation means, with 

regard to a unit: 

(1) To have begun any mechanical, 

chemical, or electronic process, 

including start-up of the unit’s 

combustion chamber. 

(2) For a unit that undergoes a 

physical change (other than replacement 

of the unit by a unit at the same source) 

after the date the unit commences 

operation as defined in paragraph (1) of 

this definition, such date shall remain 

the date of commencement of operation 

of the unit, which shall continue to be 

treated as the same unit. 

(3) For a unit that is replaced by a unit 

at the same source after the date the unit 

commences operation as defined in 

paragraph (1) of this definition, such 

date shall remain the replaced unit’s 

date of commencement of operation, 

and the replacement unit shall be 

treated as a separate unit with a separate 

date for commencement of operation as 

defined in paragraph (1), (2), or (3) of 

this definition as appropriate. 

Common stack means a single flue 

through which emissions from 2 or 

more units are exhausted. 

Compliance account means an 

Allowance Management System 

account, established by the 

Administrator for a TR SO2 Group 1 

source under this subpart, in which any 

TR SO2 Group 1 allowance allocations 

for the TR SO2 Group 1 units at the 

source are recorded and in which are 

held any TR SO2 Group 1 allowances 

available for use for a control period in 

complying with the source’s TR SO2

Group 1 emissions limitation in 

accordance with § 97.624 and the TR 

SO2 Group 1 assurance provisions in 

accordance with § 97.625. 

Continuous emission monitoring 

system or CEMS means the equipment 

required under this subpart to sample, 

analyze, measure, and provide, by 

means of readings recorded at least once 

every 15 minutes and using an 

automated data acquisition and 

handling system (DAHS), a permanent 

record of SO2 emissions, stack gas 

volumetric flow rate, stack gas moisture 

content, and O2 or CO2 concentration (as 

applicable), in a manner consistent with 

part 75 of this chapter and §§ 97.630 

through 97.635. The following systems 

are the principal types of continuous 

emission monitoring systems: 

(1) A flow monitoring system, 

consisting of a stack flow rate monitor 

and an automated data acquisition and 

handling system and providing a 

permanent, continuous record of stack 

gas volumetric flow rate, in standard 

cubic feet per hour (scfh); 

(2) A SO2 monitoring system, 

consisting of a SO2 pollutant 

concentration monitor and an 

automated data acquisition and 

handling system and providing a 

permanent, continuous record of SO2

emissions, in parts per million (ppm); 

(3) A moisture monitoring system, as 

defined in § 75.11(b)(2) of this chapter 

and providing a permanent, continuous 

record of the stack gas moisture content, 

in percent H2O; 

(4) A CO2 monitoring system, 

consisting of a CO2 pollutant 

concentration monitor (or an O2 monitor 

plus suitable mathematical equations 

from which the CO2 concentration is 

derived) and an automated data 

acquisition and handling system and 

providing a permanent, continuous 

record of CO2 emissions, in percent CO2; 

and 

(5) An O2 monitoring system, 

consisting of an O2 concentration 

monitor and an automated data 

acquisition and handling system and 

providing a permanent, continuous 

record of O2, in percent O2. 

Control period means the period 

starting January 1 of a calendar year, 

except as provided in § 97.606(c)(3), and 

ending on December 31 of the same 

year, inclusive. 

Designated representative means, for 

a TR SO2 Group 1 source and each TR 

SO2 Group 1 unit at the source, the 

natural person who is authorized by the 

owners and operators of the source and 

all such units at the source, in 

accordance with this subpart, to 

represent and legally bind each owner 

and operator in matters pertaining to the 

TR SO2 Group 1 Trading Program. If the 

TR SO2 Group 1 source is also subject 

to the Acid Rain Program, TR NOX

Annual Trading Program, or TR NOX

Ozone Season Trading Program, then 

this natural person shall be the same 

natural person as the designated 

representative, as defined in § 72.2 of 

this chapter, § 97.402, or § 97.502 

respectively. 


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Emissions means air pollutants 

exhausted from a unit or source into the 

atmosphere, as measured, recorded, and 

reported to the Administrator by the 

designated representative and as 

modified by the Administrator in 

accordance with this subpart. 

Excess emissions means any ton of 

SO2 emitted from the TR SO2 Group 1 

units at a TR SO2 Group 1 source during 

a control period that exceeds the TR SO2

Group 1 emissions limitation for the 

source. 

Fossil fuel means— 

(1) Natural gas, petroleum, coal, or 

any form of solid, liquid, or gaseous fuel 

derived from such material; or 

(2) For purposes of applying 

§§ 97.604(b)(2)(i)(B), 97.604(b)(2)(ii)(B), 

and 97.604(b)(2)(iii), natural gas, 

petroleum, coal, or any form of solid, 

liquid, or gaseous fuel derived from 

such material for the purpose of creating 

useful heat. 

Fossil-fuel-fired means, with regard to 

a unit, combusting any amount of fossil 

fuel in 1990 or any calendar year 

thereafter. 

Fuel oil means any petroleum-based 

fuel (including diesel fuel or petroleum 

derivatives such as oil tar) and any 

recycled or blended petroleum products 

or petroleum by-products used as a fuel 

whether in a liquid, solid, or gaseous 

state. 

General account means an Allowance 

Management System account, 

established under this subpart, that is 

not a compliance account. 

Generator means a device that 

produces electricity. 

Gross electrical output means, with 

regard to a unit, electricity made 

available for use, including any such 

electricity used in the power production 

process (which process includes, but is 

not limited to, any on-site processing or 

treatment of fuel combusted at the unit 

and any on-site emission controls). 

Heat input means, with regard to a 

unit for a specified period of time, the 

product (in mmBtu/time) of the gross 

calorific value of the fuel (in mmBtu/lb) 

multiplied by the fuel feed rate into a 

combustion device (in lb of fuel/time), 

as measured, recorded, and reported to 

the Administrator by the designated 

representative and as modified by the 

Administrator in accordance with this 

subpart and excluding the heat derived 

from preheated combustion air, 

recirculated flue gases, or exhaust. 

Heat input rate means the amount of 

heat input (in mmBtu) divided by unit 

operating time (in hr) or, with regard to 

a specific fuel, the amount of heat input 

attributed to the fuel (in mmBtu) 

divided by the unit operating time (in 

hr) during which the unit combusts the 

fuel. 

Life-of-the-unit, firm power 

contractual arrangement means a unit 

participation power sales agreement 

under which a utility or industrial 

customer reserves, or is entitled to 

receive, a specified amount or 

percentage of nameplate capacity and 

associated energy generated by any 

specified unit and pays its proportional 

amount of such unit’s total costs, 

pursuant to a contract: 

(1) For the life of the unit; 

(2) For a cumulative term of no less 

than 30 years, including contracts that 

permit an election for early termination; 

or 

(3) For a period no less than 25 years 

or 70 percent of the economic useful life 

of the unit determined as of the time the 

unit is built, with option rights to 

purchase or release some portion of the 

nameplate capacity and associated 

energy generated by the unit at the end 

of the period. 

Maximum design heat input means 

the maximum amount of fuel per hour 

(in Btu/hr) that a unit is capable of 

combusting on a steady state basis as of 

the initial installation of the unit as 

specified by the manufacturer of the 

unit. 

Monitoring system means any 

monitoring system that meets the 

requirements of this subpart, including 

a continuous emission monitoring 

system, an alternative monitoring 

system, or an excepted monitoring 

system under part 75 of this chapter. 

Nameplate capacity means, starting 

from the initial installation of a 

generator, the maximum electrical 

generating output (in MWe) that the 

generator is capable of producing on a 

steady state basis and during continuous 

operation (when not restricted by 

seasonal or other deratings) as of such 

installation as specified by the 

manufacturer of the generator or, 

starting from the completion of any 

subsequent physical change in the 

generator resulting in an increase in the 

maximum electrical generating output 

(in MWe) that the generator is capable 

of producing on a steady state basis and 

during continuous operation (when not 

restricted by seasonal or other 

deratings), such increased maximum 

amount as of such completion as 

specified by the person conducting the 

physical change. 

Newly affected TR SO2 Group 1 unit 

means a unit that was not a TR SO2

Group 1 unit when it began operating 

but that thereafter becomes a TR SO2

Group 1 unit. 

Operate or operation means, with 

regard to a unit, to combust fuel. 

Operator means any person who 

operates, controls, or supervises a TR 

SO2 Group 1 unit or a TR SO2 Group 1 

source and shall include, but not be 

limited to, any holding company, utility 

system, or plant manager of such a unit 

or source. 

Owner means, with regard to a TR SO2

Group 1 source or a TR SO2 Group 1 

unit at a source respectively, any of the 

following persons: 

(1) Any holder of any portion of the 

legal or equitable title in a TR SO2

Group 1 unit at the source or the TR SO2

Group 1 unit; 

(2) Any holder of a leasehold interest 

in a TR SO2 Group 1 unit at the source 

or the TR SO2 Group 1 unit, provided 

that, unless expressly provided for in a 

leasehold agreement, ‘‘owner’’ shall not 

include a passive lessor, or a person 

who has an equitable interest through 

such lessor, whose rental payments are 

not based (either directly or indirectly) 

on the revenues or income from such TR 

SO2 Group 1 unit; 

(3) Any purchaser of power from a TR 

SO2 Group 1 unit at the source or the 

TR SO2 Group 1 unit under a life-of-theunit, firm power contractual 

arrangement; 

(4) Provided that, for purposes of 

applying the TR SO2 Group 1 assurance 

provisions in §§ 97.606(c)(2) and 97.625, 

if one or more owners (as defined in 

paragraphs (1) through (3) of this 

definition) of one or more TR SO2 Group 

1 units in a State are wholly owned by 

another, common owner, all such 

owners shall be treated collectively as a 

single owner in the State. 

Owner’s assurance level means: 

(1) With regard to a State and control 

period for which the State assurance 

level is exceeded as described in 

§ 97.606(c)(2)(iii)(A) and not as 

described in § 97.606(c)(2)(iii)(B), the 

owner’s share of the State SO2 Group 1 

trading budget with the one-year 

variability limit for the State for such 

control period; or 

(2) With regard to a State and control 

period for which the State assurance 

level is exceeded as described in 

§ 97.606(c)(2)(iii)(B), the owner’s share 

of the State SO2 Group 1 trading budget 

with the three-year variability limit for 

the State for such control period. 

Owner’s share means: 

(1) With regard to a total amount of 

SO2 emissions from all TR SO2 Group 1 

units in a State during a control period, 

the total tonnage of SO2 emissions 

during such control period from all of 

the owner’s TR SO2 Group 1 units in the 

State; 

(2) With regard to a State SO2 Group 

1 trading budget with a one-year 

variability limit for a control period, the 


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amount (rounded to the nearest 

allowance) equal to the total amount of 

TR SO2 Group 1 allowances allocated 

for such control period to all of the 

owner’s TR SO2 Group 1 units in the 

State, multiplied by the sum of the State 

SO2 Group 1 trading budget under 

§ 97.610(a) and the State’s one-year 

variability limit under § 97.610(b) and 

divided by such State SO2 Group 1 

trading budget; 

(3) With regard to a State SO2 Group 

1 trading budget with a three-year 

variability limit for a control period, the 

amount (rounded to the nearest 

allowance) equal to the total amount of 

TR SO2 Group 1 allowances allocated 

for such control period to all of the 

owner’s TR SO2 Group 1 units in the 

State, multiplied by the sum of the State 

SO2 Group 1 trading budget under 

§ 97.610(a) and the State’s three-year 

variability limit under § 97.610(b) and 

divided by such State SO2 Group 1 

trading budget; 

(4) Provided that, in the case of a unit 

with more than one owner, the amount 

of tonnage of SO2 emissions and of TR 

SO2 Group 1 allowances allocated for a 

control period, with regard to such unit, 

used in determining each owner’s share 

shall be the amount (rounded to the 

nearest ton and the nearest allowance) 

equal to the unit’s SO2 emissions and 

allocation of such allowances, 

respectively, for such control period 

multiplied by the percentage of 

ownership in the unit that the owner’s 

legal, equitable, leasehold, or 

contractual reservation or entitlement in 

the unit comprises as of December 31 of 

such control period; 

(5) Provided that, where two or more 

units emit through a common stack that 

is the monitoring location from which 

SO2 mass emissions are reported for a 

control period for a year, the amount of 

tonnage of each unit’s SO2 emissions 

used in determining each owner’s share 

for such control period shall be: 

(i) The amount (rounded to the 

nearest ton) of SO2 emissions reported 

at the common stack multiplied by the 

quotient of such unit’s heat input for 

such control period divided by the total 

heat input reported from the common 

stack for such control period; 

(ii) An amount determined in 

accordance with a methodology that the 

Administrator determines is consistent 

with the purposes of this definition and 

whose adverse effect (if any) the 

Administrator determines will be de 

minimis; or 

(iii) An amount approved by the 

Administrator in response to a petition 

for an alternative requirement submitted 

in accordance with § 97.635; and 

(6) Provided that, in the case of a unit 

that operates during, but is allocated no 

TR SO2 Group 1 allowances for, a 

control period, the unit shall be treated, 

solely for purposes of this definition, as 

being allocated an amount (rounded to 

the nearest allowance) of TR SO2 Group 

1 allowances for such control period 

equal to the lesser of— 

(i) The unit’s allowable SO2 emission 

rate (in lb per MWe) applicable to such 

control period, multiplied by a capacity 

factor of 0.84 (if the unit is a coal-fired 

boiler), 0.15 (if the unit is a simple 

combustion turbine), or 0.66 (if the unit 

is a combined cycle turbine), multiplied 

by the unit’s maximum hourly load as 

reported in accordance with this subpart 

and by 8,760 hours/control period, and 

divided by 2,000 lb/ton; or 

(ii) For a unit listed in appendix A to 

this subpart, the sum of the unit’s SO2

emissions in the control period in the 

last three years during which the unit 

operated during the control period, 

divided by three. 

Permanently retired means, with 

regard to a unit, a unit that is 

unavailable for service and that the 

unit’s owners and operators do not 

expect to return to service in the future. 

Permitting authority means 

‘‘permitting authority’’ as defined in 

§§ 70.2 and 71.2 of this chapter. 

Potential electrical output capacity 

means 33 percent of a unit’s maximum 

design heat input, divided by 3,413 Btu/ 

kWh, divided by 1,000 kWh/MWh, and 

multiplied by 8,760 hr/yr. 

Receive or receipt of means, when 

referring to the Administrator, to come 

into possession of a document, 

information, or correspondence 

(whether sent in hard copy or by 

authorized electronic transmission), as 

indicated in an official log, or by a 

notation made on the document, 

information, or correspondence, by the 

Administrator in the regular course of 

business. 

Recordation, record, or recorded 

means, with regard to TR SO2 Group 1 

allowances, the moving of TR SO2

Group 1 allowances by the 

Administrator into, out of, or between 

Allowance Management System 

accounts, for purposes of allocation, 

transfer, or deduction. 

Reference method means any direct 

test method of sampling and analyzing 

for an air pollutant as specified in 

§ 75.22 of this chapter. 

Replacement, replace, or replaced 

means, with regard to a unit, the 

demolishing of a unit, or the permanent 

retirement and permanent disabling of a 

unit, and the construction of another 

unit (the replacement unit) to be used 

instead of the demolished or retired unit 

(the replaced unit). 

Sequential use of energy means: 

(1) For a topping-cycle unit, the use 

of reject heat from electricity production 

in a useful thermal energy application 

or process; or 

(2) For a bottoming-cycle unit, the use 

of reject heat from useful thermal energy 

application or process in electricity 

production. 

Serial number means, for a TR SO2

Group 1 allowance, the unique 

identification number assigned to each 

TR SO2 Group 1 allowance by the 

Administrator. 

Solid waste incineration unit means a 

stationary, fossil-fuel-fired boiler or 

stationary, fossil-fuel-fired combustion 

turbine that is a ‘‘solid waste 

incineration unit’’ as defined in section 

129(g)(1) of the Clean Air Act. 

Source means all buildings, 

structures, or installations located in 

one or more contiguous or adjacent 

properties under common control of the 

same person or persons. This definition 

does not change or otherwise affect the 

definition of ‘‘major source’’, ‘‘stationary 

source’’, or ‘‘source’’ as set forth and 

implemented in a title V operating 

permit program or any other program 

under the Clean Air Act. 

State means one of the States or the 

District of Columbia that is subject to 

the TR SO2 Group 1 Trading Program 

pursuant to § 52.38(b) of this chapter. 

Submit or serve means to send or 

transmit a document, information, or 

correspondence to the person specified 

in accordance with the applicable 

regulation: 

(1) In person; 

(2) By United States Postal Service; or 

(3) By other means of dispatch or 

transmission and delivery; 

(4) Provided that compliance with any 

‘‘submission’’ or ‘‘service’’ deadline shall 

be determined by the date of dispatch, 

transmission, or mailing and not the 

date of receipt. 

Topping-cycle unit means a unit in 

which the energy input to the unit is 

first used to produce useful power, 

including electricity, where at least 

some of the reject heat from the 

electricity production is then used to 

provide useful thermal energy. 

Total energy input means total energy 

of all forms supplied to a unit, 

excluding energy produced by the unit. 

Each form of energy supplied shall be 

measured by the lower heating value of 

that form of energy calculated as 

follows: 

LHV = HHV ¥ 10.55(W + 9H) 

Where: 

LHV = lower heating value of the form of 

energy in Btu/lb, 


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HHV = higher heating value of the form of 

energy in Btu/lb, 

W = weight % of moisture in the form of 

energy, and 

H = weight % of hydrogen in the form of 

energy. 

Total energy output means the sum of 

useful power and useful thermal energy 

produced by the unit. 

TR NOX Annual Trading Program 

means a multi-state NOX air pollution 

control and emission reduction program 

established by the Administrator in 

accordance with subpart AAAAA and 

52.37(a) of this chapter, as a means of 

mitigating interstate transport of fine 

particulates and NOX.

TR NOX Ozone Season Trading 

Program means a multi-state NOX air 

pollution control and emission 

reduction program established by the 

Administrator in accordance with 

subpart BBBBB of this part and 52.37(b) 

of this chapter, as a means of mitigating 

interstate transport of ozone and NOX.

TR SO2 Group 1 allowance means a 

limited authorization issued and 

allocated by the Administrator under 

this subpart to emit one ton of SO2

during a control period of the specified 

calendar year for which the 

authorization is allocated or of any 

calendar year thereafter under the TR 

SO2 Group 1 Trading Program. 

TR SO2 Group 1 allowance deduction 

or deduct TR SO2 Group 1 allowances 

means the permanent withdrawal of TR 

SO2 Group 1 allowances by the 

Administrator from a compliance 

account, e.g., in order to account for 

compliance with the TR SO2 Group 1 

emissions limitation or assurance 

provisions. 

TR SO2 Group 1 allowances held or 

hold TR SO2 Group 1 allowances means 

the TR SO2 Group 1 allowances treated 

as included in an Allowance 

Management System account as of a 

specified point in time because at that 

time they: 

(1) Have been recorded by the 

Administrator in the account or 

transferred into the account by a 

correctly submitted, but not yet 

recorded, TR SO2 Group 1 allowance 

transfer in accordance with this subpart; 

and 

(2) Have not been transferred out of 

the account by a correctly submitted, 

but not yet recorded, TR SO2 Group 1 

allowance transfer in accordance with 

this subpart. 

TR SO2 Group 1 emissions limitation 

means, for a TR SO2 Group 1 source, the 

tonnage of SO2 emissions authorized in 

a control period by the TR SO2 Group 

1 allowances available for deduction for 

the source under § 97.624(a) for such 

control period. 

TR SO2 Group 1 source means a 

source that includes one or more TR 

SO2 Group 1 units. 

TR SO2 Group 1 Trading Program 

means a multi-state SO2 air pollution 

control and emission reduction program 

established by the Administrator in 

accordance with this subpart and 

52.38(b) of this chapter, as a means of 

mitigating interstate transport of fine 

particulates and SO2.

TR SO2 Group 1 unit means a unit 

that is subject to the TR SO2 Group 1 

Trading Program under § 97.604. 

Unit means a stationary, fossil-fuelfired boiler, stationary, fossil-fuel-fired 

combustion turbine, or other stationary, 

fossil-fuel-fired combustion device. 

Unit operating day means a calendar 

day in which a unit combusts any fuel. 

Unit operating hour or hour of unit 

operation means an hour in which a 

unit combusts any fuel. 

Useful power means electricity or 

mechanical energy that a unit makes 

available for use, excluding any such 

energy used in the power production 

process (which process includes, but is 

not limited to, any on-site processing or 

treatment of fuel combusted at the unit 

and any on-site emission controls). 

Useful thermal energy means thermal 

energy that is: 

(1) Made available to an industrial or 

commercial process (not a power 

production process), excluding any heat 

contained in condensate return or 

makeup water; 

(2) Used in a heating application (e.g., 

space heating or domestic hot water 

heating); or 

(3) Used in a space cooling 

application (i.e., in an absorption 

chiller). 

Utility power distribution system 

means the portion of an electricity grid 

owned or operated by a utility and 

dedicated to delivering electricity to 

customers. 

§ 97.603 Measurements, abbreviations, 

and acronyms. 

Measurements, abbreviations, and 

acronyms used in this subpart are 

defined as follows: 

Btu—British thermal unit 

CO2—carbon dioxide 

H2O—water 

hr—hour 

kW—kilowatt electrical 

kWh—kilowatt hour 

lb—pound 

mmBtu—million Btu 

MWe—megawatt electrical 

MWh—megawatt hour 

NOX—nitrogen oxides 

O2—oxygen 

ppm—parts per million 

scfh—standard cubic feet per hour 

SO2—sulfur dioxide 

yr—year 

§ 97.604 Applicability. 

(a) Except as provided in paragraph 

(b) of this section: 

(1) The following units in a State shall 

be TR SO2 Group 1 units, and any 

source that includes one or more such 

units shall be a TR SO2 Group 1 source, 

subject to the requirements of this 

subpart: Any stationary, fossil-fuel-fired 

boiler or stationary, fossil-fuel-fired 

combustion turbine serving at any time, 

since the later of November 15, 1990 or 

the start-up of the unit’s combustion 

chamber, a generator with nameplate 

capacity of more than 25 MWe 

producing electricity for sale. 

(2) If a stationary boiler or stationary 

combustion turbine that, under 

paragraph (a)(1) of this section, is not a 

TR SO2 Group 1 unit begins to combust 

fossil fuel or to serve a generator with 

nameplate capacity of more than 25 

MWe producing electricity for sale, the 

unit shall become a TR SO2 Group 1 

unit as provided in paragraph (a)(1) of 

this section on the first date on which 

it both combusts fossil fuel and serves 

such generator. 

(b) Any unit in a State that otherwise 

is a TR SO2 Group 1 unit under 

paragraph (a) of this section and that 

meets the requirements set forth in 

paragraph (b)(1)(i), (b)(2)(i), or (b)(2)(ii) 

of this section shall not be a TR SO2

Group 1 unit: 

(1)(i) Any unit: 

(A) Qualifying as a cogeneration unit 

during the later of 1990 or the 12-month 

period starting on the date the unit first 

produces electricity and continuing to 

qualify as a cogeneration unit; and 

(B) Not serving at any time, since the 

later of November 15, 1990 or the startup of the unit’s combustion chamber, a 

generator with nameplate capacity of 

more than 25 MWe supplying in any 

calendar year more than one-third of the 

unit’s potential electric output capacity 

or 219,000 MWh, whichever is greater, 

to any utility power distribution system 

for sale. 

(ii) If a unit qualifies as a cogeneration 

unit during the later of 1990 or the 12- 

month period starting on the date the 

unit first produces electricity and meets 

the requirements of paragraphs (b)(1)(i) 

of this section for at least one calendar 

year, but subsequently no longer meets 

such qualification and requirements, the 

unit shall become a TR SO2 Group 1 

unit starting on the earlier of January 1 

after the first calendar year during 

which the unit first no longer qualifies 

as a cogeneration unit or January 1 after 

the first calendar year during which the 

unit no longer meets the requirements of 

paragraph (b)(1)(i)(B) of this section. 


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(2)(i) Any unit commencing operation 

before January 1, 1985: 

(A) Qualifying as a solid waste 

incineration unit during the later of 

1990 or the 12-month period starting on 

the date the unit first produces 

electricity and continuing to qualify as 

a solid waste incineration unit; and 

(B) With an average annual fuel 

consumption of fossil fuel for 1985– 

1987 less than 20 percent (on a Btu 

basis) and an average annual fuel 

consumption of fossil fuel for any 3 

consecutive calendar years after 1990 

less than 20 percent (on a Btu basis). 

(ii) Any unit commencing operation 

on or after January 1, 1985: 

(A) Qualifying as a solid waste 

incineration unit during the later of 

1990 or the 12-month period starting on 

the date the unit first produces 

electricity and continuing to qualify as 

a solid waste incineration unit; and 

(B) With an average annual fuel 

consumption of fossil fuel for the first 

3 calendar years of operation less than 

20 percent (on a Btu basis) and an 

average annual fuel consumption of 

fossil fuel for any 3 consecutive 

calendar years after 1990 less than 20 

percent (on a Btu basis). 

(iii) If a unit qualifies as a solid waste 

incineration unit during the later of 

1990 or the 12-month period starting on 

the date the unit first produces 

electricity and meets the requirements 

of paragraph (b)(2)(i) or (ii) of this 

section for at least 3 consecutive 

calendar years, but subsequently no 

longer meets such qualification and 

requirements, the unit shall become a 

TR SO2 Group 1 unit starting on the 

earlier of January 1 after the first 

calendar year during which the unit first 

no longer qualifies as a solid waste 

incineration unit or January 1 after the 

first 3 consecutive calendar years after 

1990 for which the unit has an average 

annual fuel consumption of fossil fuel of 

20 percent or more. 

(c) A certifying official of an owner or 

operator of any unit or other equipment 

may submit a petition (including any 

supporting documents) to the 

Administrator at any time for a 

determination concerning the 

applicability, under paragraphs (a) and 

(b) of this section, of the TR SO2 Group 

1 Trading Program to the unit or other 

equipment. 

(1) Petition content. The petition shall 

be in writing and include the 

identification of the unit or other 

equipment and the relevant facts about 

the unit or other equipment. The 

petition and any other documents 

provided to the Administrator in 

connection with the petition shall 

include the following certification 

statement, signed by the certifying 

official: ‘‘I am authorized to make this 

submission on behalf of the owners and 

operators of the unit or other equipment 

for which the submission is made. I 

certify under penalty of law that I have 

personally examined, and am familiar 

with, the statements and information 

submitted in this document and all its 

attachments. Based on my inquiry of 

those individuals with primary 

responsibility for obtaining the 

information, I certify that the statements 

and information are to the best of my 

knowledge and belief true, accurate, and 

complete. I am aware that there are 

significant penalties for submitting false 

statements and information or omitting 

required statements and information, 

including the possibility of fine or 

imprisonment.’’ 

(2) Response. The Administrator will 

issue a written response to the petition 

and may request supplemental 

information determined by the 

Administrator to be relevant to such 

petition. The Administrator’s 

determination concerning the 

applicability, under paragraphs (a) and 

(b) of this section, of the TR SO2 Group 

1 Trading Program to the unit or other 

equipment shall be binding on any 

permitting authority unless the 

Administrator determines that the 

petition or other documents or 

information provided in connection 

with the petition contained significant, 

relevant errors or omissions. 

§ 97.605 Retired unit exemption. 

(a)(1) Any TR SO2 Group 1 unit that 

is permanently retired and is not a TR 

SO2 Group 1 opt-in unit shall be exempt 

from § 97.606(b) and (c)(1), § 97.624, 

and §§ 97.630 through 97.635. 

(2) The exemption under paragraph 

(a)(1) of this section shall become 

effective the day on which the TR SO2

Group 1 unit is permanently retired. 

Within 30 days of the unit’s permanent 

retirement, the designated 

representative shall submit a statement 

to the Administrator. The statement 

shall state, in a format prescribed by the 

Administrator, that the unit was 

permanently retired on a specified date 

and will comply with the requirements 

of paragraph (b) of this section. 

(b) Special provisions. (1) A unit 

exempt under paragraph (a) of this 

section shall not emit any SO2, starting 

on the date that the exemption takes 

effect. 

(2) For a period of 5 years from the 

date the records are created, the owners 

and operators of a unit exempt under 

paragraph (a) of this section shall retain, 

at the source that includes the unit, 

records demonstrating that the unit is 

permanently retired. The 5-year period 

for keeping records may be extended for 

cause, at any time before the end of the 

period, in writing by the Administrator. 

The owners and operators bear the 

burden of proof that the unit is 

permanently retired. 

(3) The owners and operators and, to 

the extent applicable, the designated 

representative of a unit exempt under 

paragraph (a) of this section shall 

comply with the requirements of the TR 

SO2 Group 1 Trading Program 

concerning all periods for which the 

exemption is not in effect, even if such 

requirements arise, or must be complied 

with, after the exemption takes effect. 

(4) A unit exempt under paragraph (a) 

of this section shall lose its exemption 

on the first date on which the unit 

resumes operation. Such unit shall be 

treated, for purposes of applying 

allocation, monitoring, reporting, and 

recordkeeping requirements under this 

subpart, as a unit that commences 

commercial operation on the first date 

on which the unit resumes operation. 

§ 97.606 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 

§§ 97.613 through 97.618. 

(b) Emissions monitoring, reporting, 

and recordkeeping requirements. (1) 

The owners and operators, and the 

designated representative, of each TR 

SO2 Group 1 source and each TR SO2

Group 1 unit at the source shall comply 

with the monitoring, reporting, and 

recordkeeping requirements of §§ 97.630 

through 97.635. 

(2) The emissions data determined in 

accordance with §§ 97.630 through 

97.635 shall be used to calculate 

allocations of TR SO2 Group 1 

allowances under §§ 97.611(a)(2) and (b) 

and 97.612 and to determine 

compliance with the TR SO2 Group 1 

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 

§§ 97.630 through 97.635 and rounded 

to the nearest ton, with any fraction of 

a ton less than 0.50 being deemed to be 

zero. 

(c) SO2 emissions requirements—(1) 

TR SO2 Group 1 emissions limitation. (i) 

As of the allowance transfer deadline for 


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a control period, the owners and 

operators of each TR SO2 Group 1 

source and each TR SO2 Group 1 unit 

at the source shall hold, in the source’s 

compliance account, TR SO2 Group 1 

allowances available for deduction for 

such control period under § 97.624(a) in 

an amount not less than the tons of total 

SO2 emissions for such control period 

from all TR SO2 Group 1 units at the 

source. 

(ii) If a TR SO2 Group 1 source emits 

SO2 during any control period in excess 

of the TR SO2 Group 1 emissions 

limitation set forth in paragraph (c)(1)(i) 

of this section, then: 

(A) The owners and operators of the 

source and each TR SO2 Group 1 unit 

at the source shall hold the TR SO2

Group 1 allowances required for 

deduction under § 97.624(d) and pay 

any fine, penalty, or assessment or 

comply with any other remedy imposed, 

for the same violations, under the Clean 

Air Act; and 

(B) 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) TR SO2 Group 1 assurance 

provisions. (i) If the total amount of SO2

emissions from all TR SO2 Group 1 

units in a State during a control period 

in 2014 or any year thereafter exceeds 

the State assurance level as described in 

paragraph (c)(2)(iii) of this section, then 

each owner whose share of such SO2

emissions during such control period 

exceeds the owner’s assurance level for 

the State and such control period shall 

hold, in a compliance account 

designated by the owner in accordance 

with § 97.625(b)(4)(ii), TR SO2 Group 1 

allowances available for deduction for 

such control period under § 97.625(a) in 

an amount equal to the product, as 

determined by the Administrator in 

accordance with § 97.625(b), of 

multiplying— 

(A) The quotient (rounded to the 

nearest whole number) of the amount by 

which the owner’s share of such SO2

emissions exceeds the owner’s 

assurance level divided by the sum of 

the amounts, determined for all such 

owners, by which each owner’s share of 

such SO2 emissions exceeds that 

owner’s assurance level; and 

(B) The amount by which total SO2

emissions for all TR SO2 Group 1 units 

in the State for such control period 

exceed the State assurance level as 

determined in accordance with 

paragraph (c)(2)(iii) of this section. 

(ii) The owner shall hold the TR SO2

Group 1 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 

such control period. 

(iii) The total amount of SO2

emissions from all TR SO2 Group 1 

units in a State during a control period 

in 2014 or any year thereafter exceeds 

the State assurance level: 

(A) If such total amount of SO2

emissions exceeds the sum, for such 

control period, of the State SO2 Group 

1 trading budget and the State’s oneyear variability limit under § 97.610(b); 

or 

(B) If, with regard to a control period 

in 2016 or any year thereafter, the sum, 

divided by three, of such total amount 

of SO2 emissions and the total amounts 

of SO2 emissions from all TR SO2 Group 

1 units in the State during the control 

periods in the immediately preceding 

two years exceeds the sum, for such 

control period, of the State SO2 Group 

1 trading budget and the State’s threeyear variability limit under § 97.610(b); 

(C) Provided that the amount by 

which such total amount of SO2

emissions exceeds the State assurance 

level shall be the greater of the amounts 

of the exceedance calculated under 

paragraph (c)(2)(iii)(A) of this section 

and under paragraph (c)(2)(iii)(B) of this 

section. 

(iv) It shall not be a violation of this 

subpart or of the Clean Air Act if the 

total amount of SO2 emissions from all 

TR SO2 Group 1 units in a State during 

a control period exceeds the State 

assurance level or if an owner’s share of 

total SO2 emissions from the TR SO2

Group 1 units in a State during a control 

period exceeds the owner’s assurance 

level. 

(v) To the extent an owner fails to 

hold TR SO2 Group 1 allowances for a 

control period in accordance with 

paragraphs (c)(2)(i) and (ii) of this 

section, 

(A) The owner shall pay any fine, 

penalty, or assessment or comply with 

any other remedy imposed under the 

Clean Air Act; and 

(B) Each TR SO2 Group 1 allowance 

that the owner fails to hold for a control 

period in accordance with paragraphs 

(c)(2)(i) and (ii) 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. A TR SO2

Group 1 unit shall be subject to the 

requirements: 

(i) Under paragraph (c)(1) of this 

section for the control period starting on 

the later of January 1, 2012 or the 

deadline for meeting the unit’s monitor 

certification requirements under 

§ 97.630(b) and for each control period 

thereafter; and 

(ii) Under paragraph (c)(2) of this 

section for the control period starting on 

the later of January 1, 2014 or the 

deadline for meeting the unit’s monitor 

certification requirements under 

§ 97.630(b) and for each control period 

thereafter. 

(4) Vintage of deducted allowances. A 

TR SO2 Group 1 allowance shall not be 

deducted, for compliance with the 

requirements under paragraphs (c)(1) 

and (2) of this section, for a control 

period in a calendar year before the year 

for which the TR SO2 Group 1 

allowance was allocated. 

(5) Allowance Management System 

requirements. Each TR SO2 Group 1 

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. (i) A TR 

SO2 Group 1 allowance is a limited 

authorization to emit one ton of SO2 in 

accordance with the TR SO2 Group 1 

Trading Program. 

(ii) Notwithstanding any other 

provision of this subpart, the 

Administrator has the authority to 

terminate or limit 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 TR SO2 Group 1 

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 TR SO2 Group 1 

allowances in accordance with this 

subpart. 

(2) A description of whether a unit is 

required to monitor and report SO2

emissions using a continuous emission 

monitoring system (under §§ 75.10, 

75.11, and 75.16 of this chapter), an 

excepted monitoring system (under 

appendix D 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 §§ 97.630 through 97.635 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 


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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 TR SO2 Group 1 

source and each TR SO2 Group 1 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 § 97.616 for the designated 

representative for the source and each 

TR SO2 Group 1 unit at the source and 

all documents that demonstrate the 

truth of the statements in the certificate 

of representation; provided that the 

certificate and documents shall be 

retained on site at the source beyond 

such 5-year period until such 

documents are superseded because of 

the submission of a new certificate of 

representation under § 97.616 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 TR SO2 Group 1 

Trading Program, including any 

monitoring plans and monitoring 

system certification and recertification 

applications. 

(2) The designated representative of a 

TR SO2 Group 1 source and each TR 

SO2 Group 1 unit at the source shall 

make all submissions required under 

the TR SO2 Group 1 Trading Program, 

including any submissions required for 

compliance with the TR SO2 Group 1 

assurance provisions. 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 

TR SO2 Group 1 Trading Program that 

applies to a TR SO2 Group 1 source or 

the designated representative of a TR 

SO2 Group 1 source shall also apply to 

the owners and operators of such source 

and of the TR SO2 Group 1 units at the 

source. 

(2) Any provision of the TR SO2

Group 1 Trading Program that applies to 

a TR SO2 Group 1 unit or the designated 

representative of a TR SO2 Group 1 unit 

shall also apply to the owners and 

operators of such unit. 

(g) Effect on other authorities. No 

provision of the TR SO2 Group 1 

Trading Program or exemption under 

§ 97.605 shall be construed as 

exempting or excluding the owners and 

operators, and the designated 

representative, of a TR SO2 Group 1 

source or TR SO2 Group 1 unit from 

compliance with any other provision of 

the applicable, approved State 

implementation plan, a federally 

enforceable permit, or the Clean Air Act. 

§ 97.607 Computation of time. 

(a) Unless otherwise stated, any time 

period scheduled, under the TR SO2

Group 1 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 TR SO2

Group 1 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 TR 

SO2 Group 1 Trading Program, falls on 

a weekend or a State or Federal holiday, 

the time period shall be extended to the 

next business day. 

§ 97.608 Administrative appeal 

procedures. 

The administrative appeal procedures 

for decisions of the Administrator under 

the TR SO2 Group 1 Trading Program 

are set forth in part 78 of this chapter. 

§ 97.609 [Reserved] 

§ 97.610 State SO2 Group 1 trading 

budgets, new-unit set-asides, and variability 

limits. 

(a) The State SO2 Group 1 trading 

budgets and new-unit set-asides for 

allocations of TR SO2 Group 1 

allowances for the control periods in 

2012 and thereafter are as follows: 

State 

SO2 Group 1 trading budget 

(tons) * 

New-unit set-aside (tons) 

For 2012–2013 For 2014 and 

thereafter 

For 2012–2013 For 2014 and 

thereafter 

Georgia .................................................................................................... 233,260 85,717 6,998 2,572 

Illinois ....................................................................................................... 208,957 151,530 6,269 4,546 

Indiana ..................................................................................................... 400,378 201,412 12,011 6,042 

Iowa ......................................................................................................... 94,052 86,088 2,822 2,583 

Kentucky .................................................................................................. 219,549 113,844 6,586 3,415 

Michigan ................................................................................................... 251,337 155,675 7,540 4,670 

Missouri .................................................................................................... 203,689 158,764 6,111 4,763 

New York ................................................................................................. 66,542 42,041 1,996 1,261 

North Carolina .......................................................................................... 111,485 81,859 3,345 2,456 

Ohio ......................................................................................................... 464,964 178,307 13,949 5,349 

Pennsylvania ............................................................................................ 388,612 141,693 11,658 4,251 

Tennessee ............................................................................................... 100,007 100,007 3,000 3,000 

Virginia ..................................................................................................... 72,595 40,785 2,178 1,224 

West Virginia ............................................................................................ 205,422 119,016 6,163 3,570 

Wisconsin ................................................................................................. 96,439 66,683 2,893 2,000 

Total .................................................................................................. 3,117,288 1,723,421 93,519 51,703 

* Without variability limits. 

(b) The States’ one-year and three-year 

variability limits for the State SO2

Group 1 trading budgets for the control 

periods in 2014 and thereafter are as 

follows: 


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State 

One-year 

variability limits 

Three-year 

variability limits 

2014 and 

thereafter 

(tons) 

2016 and 

thereafter 

(tons) 

Georgia ................................................................................................................................................ 8,572 4,949 

Illinois ................................................................................................................................................... 15,153 8,749 

Indiana ................................................................................................................................................. 20,141 11,629 

Iowa ..................................................................................................................................................... 8,609 4,970 

Kentucky .............................................................................................................................................. 11,384 6,573 

Michigan ............................................................................................................................................... 15,568 8,988 

Missouri ................................................................................................................................................ 15,876 9,166 

New York ............................................................................................................................................. 4,204 2,427 

North Carolina ...................................................................................................................................... 8,186 4,726 

Ohio ..................................................................................................................................................... 17,831 10,295 

Pennsylvania ........................................................................................................................................ 14,169 8,181 

Tennessee ........................................................................................................................................... 10,001 5,774 

Virginia ................................................................................................................................................. 4,079 2,355 

West Virginia ........................................................................................................................................ 11,902 6,871 

Wisconsin ............................................................................................................................................. 6,668 3,850 

§ 97.611 Timing requirements for TR SO2

Group 1 allowance allocations. 

(a) Existing units. (1) TR SO2 Group 1 

allowances are allocated, for the control 

periods in 2012 and each year 

thereafter, as set forth in appendix A to 

this subpart. Listing a unit in such 

appendix does not constitute a 

determination that the unit is a TR SO2

Group 1 unit, and not listing a unit in 

such appendix does not constitute a 

determination that the unit is not a TR 

SO2 Group 1 unit. 

(2) Notwithstanding paragraph (a)(1) 

of this section, if a unit listed in 

appendix A to this subpart as being 

allocated TR SO2 Group 1 allowances 

does not operate, starting after 2011, 

during the control period in three 

consecutive years, such unit will not be 

allocated the TR SO2 Group 1 

allowances set forth in appendix A to 

this subpart for the unit for the control 

periods in the seventh year after the first 

such year and in each year after that 

seventh year. All TR SO2 Group 1 

allowances that would otherwise have 

been allocated to such unit will be 

allocated to the new unit set-aside for 

the respective years involved. If such 

unit resumes operation, the 

Administrator will allocate TR SO2

Group 1 allowances to the unit in 

accordance with paragraph (b) of this 

section. 

(b) New units. (1) By July 1, 2012 and 

July 1 of each year thereafter, the 

Administrator will calculate the TR SO2

Group 1 allowance allocation for each 

TR SO2 Group 1 unit, in accordance 

with § 97.612, for the control period in 

the year of the applicable calculation 

deadline under this paragraph and will 

promulgate a notice of availability of the 

results of the calculations. 

(2) For each notice of data availability 

required in paragraph (b)(1) of this 

section, the Administrator will provide 

an opportunity for submission of 

objections to the calculations referenced 

in such notice. 

(i) Objections shall be submitted by 

the deadline specified in such notice 

and shall be limited to addressing 

whether the calculations are in 

accordance with § 97.612 and 

§§ 97.606(b)(2) and 97.630 through 

97.635. 

(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 September 1 

immediately after the promulgation of 

such notice, the Administrator will 

promulgate a notice of availability of 

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. 

(c) Units that are not TR SO2 Group 

1 units. For each control period in 2012 

and thereafter, if the Administrator 

determines that TR SO2 Group 1 

allowances were allocated under 

paragraph (a) of this section for the 

control period to a recipient that is not 

actually a TR SO2 Group 1 unit under 

§ 97.604 as of January 1, 2012 or whose 

deadline for meeting monitor 

certification requirements under 

§ 97.630(b)(1) and (2) is after January 1, 

2012 or if the Administrator determines 

that TR SO2 Group 1 allowances were 

allocated under paragraph (b) of this 

section and § 97.612 for the control 

period to a recipient that is not actually 

a TR SO2 Group 1 unit under § 97.604 

as of January 1 of the control period, 

then the Administrator will notify the 

designated representative and will act in 

accordance with the following 

procedures: 

(1) Except as provided in paragraph 

(c)(2) or (3) of this section, the 

Administrator will not record such TR 

SO2 Group 1 allowances under § 97.621. 

(2) If the Administrator already 

recorded such TR SO2 Group 1 

allowances under § 97.621 and if the 

Administrator makes such 

determination before making deductions 

for the source that includes such 

recipient under § 97.624(b) for such 

control period, then the Administrator 

will deduct from the account in which 

such TR SO2 Group 1 allowances were 

recorded an amount of TR SO2 Group 1 

allowances allocated for the same or a 

prior control period equal to the amount 

of such already recorded TR SO2 Group 

1 allowances. The authorized account 

representative shall ensure that there are 

sufficient TR SO2 Group 1 allowances in 

such account for completion of the 

deduction. 

(3) If the Administrator already 

recorded such TR SO2 Group 1 

allowances under § 97.621 and if the 

Administrator makes such 

determination after making deductions 

for the source that includes such 

recipient under § 97.624(b) for such 

control period, then the Administrator 

will not make any deduction to take 

account of such already recorded TR 

SO2 Group 1 allowances. 

(4) The Administrator will transfer the 

TR SO2 Group 1 allowances that are not 

recorded, or that are deducted, in 

accordance with paragraphs (c)(1) and 

(2) of this section to the new unit setaside, for the State in which such 

recipient is located, for the control 

period in the year of such transfer if the 

notice required in paragraph (b)(1) of 

this section for the control period in that 

year has not been promulgated or, if 

such notice has been promulgated, in 

the next year. 


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§ 97.612 TR SO2 Group 1 allowance 

allocations for new units. 

(a) For each control period in 2012 

and thereafter, the Administrator will 

allocate, in accordance with the 

following procedures, TR SO2 Group 1 

allowances to TR SO2 Group 1 units in 

a State that are not listed in appendix 

A to this subpart, to TR SO2 Group 1 

units that are so listed and whose 

allocation of SO2 Group 1 allowances 

for such control period is covered by 

§ 97.611(c)(1) or (2), and to TR SO2

Group 1 units that are so listed and, 

pursuant to § 97.611(a)(2), are not 

allocated TR SO2 Group 1 allowances 

for such control period but that operate 

during the immediately preceding 

control period: 

(1) The Administrator will establish a 

separate new unit set-aside for each 

State for each control period in a given 

year. Each new unit set-aside will be 

allocated TR SO2 Group 1 allowances in 

an amount equal to the applicable 

amount of tons of SO2 emissions as set 

forth in § 97.610(a). Each new unit setaside will be allocated additional TR 

SO2 Group 1 allowances in accordance 

with § 97.611(a)(2) and (c)(4). 

(2) The designated representative of 

such TR SO2 Group 1 unit may submit 

to the Administrator a request, in a 

format prescribed by the Administrator, 

to be allocated TR SO2 Group 1 

allowances for a control period, starting 

with the later of the control period in 

2012, the first control period after the 

control period in which the TR SO2

Group 1 unit commences commercial 

operation (for a unit not listed in 

appendix A to this subpart), or the first 

control period after the control period in 

which the unit resumes operation (for a 

unit listed in appendix A of this 

subpart) and for each subsequent 

control period. 

(i) The request must be submitted on 

or before May 1 of the first control 

period for which TR SO2 Group 1 

allowances are sought and after the date 

on which the TR SO2 Group 1 unit 

commences commercial operation (for a 

unit not listed in appendix A of this 

subpart) or on which the unit resumes 

operation (for a unit listed in appendix 

A of this subpart). 

(ii) For each control period for which 

an allocation is sought, the request must 

be for TR SO2 Group 1 allowances in an 

amount equal to the unit’s total tons of 

SO2 emissions during the immediately 

preceding control period. 

(3) The Administrator will review 

each TR SO2 Group 1 allowance 

allocation request under paragraph 

(a)(2) of this section and will accept the 

request only if it meets the requirements 

of paragraph (a)(2) of this section. The 

Administrator will allocate TR SO2

Group 1 allowances for each control 

period pursuant to an accepted request 

as follows: 

(i) After May 1 of such control period, 

the Administrator will determine the 

sum of the TR SO2 Group 1 allowances 

requested in all accepted allowance 

allocation requests for such control 

period. 

(ii) If the amount of TR SO2 Group 1 

allowances in the new unit set-aside for 

such control period is greater than or 

equal to the sum under paragraph 

(a)(3)(i) of this section, then the 

Administrator will allocate the amount 

of TR SO2 Group 1 allowances requested 

to each TR SO2 Group 1 unit covered by 

an accepted allowance allocation 

request. 

(iii) If the amount of TR SO2 Group 1 

allowances in the new unit set-aside for 

such control period is less than the sum 

under paragraph (a)(3)(i) of this section, 

then the Administrator will allocate to 

each TR SO2 Group 1 unit covered by 

an accepted allowance allocation 

request the amount of the TR SO2 Group 

1 allowances requested, multiplied by 

the amount of TR SO2 Group 1 

allowances in the new unit set-aside for 

such control period, divided by the sum 

determined under paragraph (a)(3)(i) of 

this section, and rounded to the nearest 

allowance. 

(iv) The Administrator will notify, 

through the promulgation of the notices 

of data availability described in 

§ 97.611(b), each designated 

representative that submitted an 

allowance allocation request of the 

amount of TR SO2 Group 1 allowances 

(if any) allocated for such control period 

to the TR SO2 Group 1 unit covered by 

the request. 

(b) If, after completion of the 

procedures under paragraph (a)(4) of 

this section for a control period, any 

unallocated TR SO2 Group 1 allowances 

remain in the new unit set-aside under 

paragraph (a) of this section for a State 

for such control period, the 

Administrator will allocate to each TR 

SO2 Group 1 unit that is in the State, is 

listed in appendix A to this subpart, and 

continues to be allocated TR SO2 Group 

1 allowances for such control period in 

accordance with § 97.611(a)(2), an 

amount of TR SO2 Group 1 allowances 

equal to the following: The total amount 

of such remaining unallocated TR SO2

Group 1 allowances in such new unit 

set-aside, multiplied by the unit’s 

allocation under § 97.611(a) for such 

control period, divided by the 

remainder of the amount of tons in the 

applicable State SO2 Group 1 trading 

budget minus the amount of tons in 

such new unit set-aside, and rounded to 

the nearest allowance. 

§ 97.613 Authorization of designated 

representative and alternate designated 

representative. 

(a) Except as provided under § 97.615, 

each TR SO2 Group 1 source, including 

all TR SO2 Group 1 units at the source, 

shall have one and only one designated 

representative, with regard to all matters 

under the TR SO2 Group 1 Trading 

Program. 

(1) The designated representative 

shall be selected by an agreement 

binding on the owners and operators of 

the source and all TR SO2 Group 1 units 

at the source and shall act in accordance 

with the certification statement in 

§ 97.616(a)(4)(iii). 

(2) Upon and after receipt by the 

Administrator of a complete certificate 

of representation under § 97.616: 

(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 TR SO2 Group 1 unit at the 

source in all matters pertaining to the 

TR SO2 Group 1 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 TR SO2 Group 1 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 § 97.615, 

each TR SO2 Group 1 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 TR SO2

Group 1 units at the source and shall act 

in accordance with the certification 

statement in § 97.616(a)(4)(iii). 

(2) Upon and after receipt by the 

Administrator of a complete certificate 

of representation under § 97.616, 

(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, 


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45428 Federal Register / Vol. 75, No. 147 / Monday, August 2, 2010 / Proposed Rules 

inaction, or submission by the 

designated representative; and 

(iii) The owners and operators of the 

source and each TR SO2 Group 1 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, 

§ 97.602, and §§ 97.614 through 97.618, 

whenever the term ‘‘designated 

representative’’ is used in this subpart, 

the term shall be construed to include 

the designated representative or any 

alternate designated representative. 

§ 97.614 Responsibilities of designated 

representative and alternate designated 

representative. 

(a) Except as provided under § 97.618 

concerning delegation of authority to 

make submissions, each submission 

under the TR SO2 Group 1 Trading 

Program shall be made, signed, and 

certified by the designated 

representative or alternate designated 

representative for each TR SO2 Group 1 

source and TR SO2 Group 1 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 TR SO2

Group 1 source or a TR SO2 Group 1 

unit only if the submission has been 

made, signed, and certified in 

accordance with paragraph (a) of this 

section and § 97.618. 

§ 97.615 Changing designated 

representative and alternate designated 

representative; changes in owners and 

operators. 

(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 § 97.616. 

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 TR SO2 Group 1 source 

and the TR SO2 Group 1 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 § 97.616. 

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 TR SO2

Group 1 source and the TR SO2 Group 

1 units at the source. 

(c) Changes in owners and operators. 

(1) In the event an owner or operator of 

a TR SO2 Group 1 source or a TR SO2

Group 1 unit is not included in the list 

of owners and operators in the 

certificate of representation under 

§ 97.616, 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 TR SO2

Group 1 source or a TR SO2 Group 1 

unit, including the addition of a new 

owner or operator, the designated 

representative or any alternate 

designated representative shall submit a 

revision to the certificate of 

representation under § 97.616 amending 

the list of owners and operators to 

include the change. 

§ 97.616 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 TR SO2 Group 

1 source, and each TR SO2 Group 1 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, and actual or 

projected date of commencement of 

commercial operation. 

(2) The name, address, e-mail 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 TR SO2 Group 1 source and of 

each TR SO2 Group 1 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 TR 

SO2 Group 1 unit at the source.’’ 

(ii) ‘‘I certify that I have all the 

necessary authority to carry out my 

duties and responsibilities under the TR 

SO2 Group 1 Trading Program on behalf 

of the owners and operators of the 

source and of each TR SO2 Group 1 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 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 TR SO2 Group 1 

unit, or where a utility or industrial 

customer purchases power from a TR 

SO2 Group 1 unit under a life-of-theunit, 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 TR 

SO2 Group 1 unit at the source; and TR 

SO2 Group 1 allowances and proceeds 

of transactions involving TR SO2 Group 

1 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 TR SO2 Group 1 

allowances by contract, TR SO2 Group 

1 allowances and proceeds of 

transactions involving TR SO2 Group 1 

allowances will be deemed to be held or 


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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. 

§ 97.617 Objections concerning 

designated representative and alternate 

designated representative. 

(a) Once a complete certificate of 

representation under § 97.616 has been 

submitted and received, the 

Administrator will rely on the certificate 

of representation unless and until a 

superseding complete certificate of 

representation under § 97.616 is 

received by the Administrator. 

(b) Except as provided in § 97.615(a) 

or (b), 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 TR SO2 Group 1 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 TR 

SO2 Group 1 allowance transfers. 

§ 97.618 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 

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, e-mail address, 

telephone number, and facsimile 

transmission number (if any) of such 

designated representative or alternate 

designated representative; 

(2) The name, address, e-mail address, 

telephone number, and facsimile 

transmission number (if any) of each 

such natural person (referred to as an 

‘‘agent’’); 

(3) For each such natural person, a list 

of the type or types of electronic 

submissions under paragraph (a) or (b) 

of this section for which authority is 

delegated to him or her; and 

(4) The following certification 

statements by such 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 

97.618(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 97.618(d), I 

agree to maintain an e-mail account and 

to notify the Administrator immediately 

of any change in my e-mail address 

unless all delegation of authority by me 

under 40 CFR 97.618 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. 

§ 97.619 [Reserved] 

§ 97.620 Establishment of Allowance 

Management System accounts. 

(a) Compliance accounts. Upon 

receipt of a complete certificate of 

representation under § 97.616, the 

Administrator will establish a 

compliance account for the TR SO2

Group 1 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) General accounts—(1) Application 

for general account. (i) Any person may 

apply to open a general account, for the 

purpose of holding and transferring TR 

SO2 Group 1 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 TR SO2 Group 1 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, e-mail 

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 


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represent their ownership interest with 

respect to the TR SO2 Group 1 

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 TR SO2 Group 1 allowances 

held in the general account. I certify that 

I have all the necessary authority to 

carry out my duties and responsibilities 

under the TR SO2 Group 1 Trading 

Program on behalf of such persons and 

that each such person shall be fully 

bound by my representations, actions, 

inactions, or submissions and by any 

order or decision issued to me by the 

Administrator regarding the general 

account.’’ 

(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. 

(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 (b)(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 TR 

SO2 Group 1 allowances held in the 

general account in all matters pertaining 

to the TR SO2 Group 1 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 TR 

SO2 Group 1 allowances held in the 

general account shall be bound by any 

order or decision issued to the 

authorized account representative or 

alternate authorized account 

representative by the Administrator 

regarding the general account. (ii) 

Except as provided in paragraph (b)(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 TR SO2 Group 

1 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 

TR SO2 Group 1 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. 

(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 

(b)(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 TR SO2 Group 1 

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 (b)(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 

TR SO2 Group 1 allowances in the 

general account. 

(iii)(A) In the event a person having 

an ownership interest with respect to 

TR SO2 Group 1 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 SO2 Group 1 

allowances in the general account, 

including the addition of a new 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 

TR SO2 Group 1 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 (b)(1) 

of this section has been submitted and 

received, the Administrator will rely on 

the application unless and until a 

superseding complete application for a 

general account under paragraph (b)(1) 

of this section is received by the 

Administrator. 

(ii) Except as provided in paragraph 

(b)(3)(i) or (ii) of this section, no 

objection or other communication 

submitted to the Administrator 

concerning the authorization, or any 


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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 TR SO2 Group 

1 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 TR 

SO2 Group 1 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 

make an electronic submission to the 

Administrator in accordance with 

paragraph (b)(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, e-mail 

address, telephone number, and 

facsimile transmission number (if any) 

of such authorized account 

representative or alternate authorized 

account representative; 

(B) The name, address, e-mail 

address, telephone number, and 

facsimile transmission number (if any) 

of each such natural person (referred to 

as an ‘‘agent’’); 

(C) For each such natural person, a 

list of the type or types of electronic 

submissions under paragraph (b)(5)(i) or 

(ii) of this section for which authority is 

delegated to him or her; 

(D) The following certification 

statement by such 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 

representative, as appropriate, and 

before this notice of delegation is 

superseded by another notice of 

delegation under 40 CFR 

97.620(b)(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 97.620(b)(5)(iv), I agree to maintain 

an e-mail account and to notify the 

Administrator immediately of any 

change in my e-mail address unless all 

delegation of authority by me under 40 

CFR 97.620(b)(5) is terminated.’’. 

(iv) A notice of delegation submitted 

under paragraph (b)(5)(iii) of this 

section shall be effective, with regard to 

the 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 

(b)(5)(iii)(D) of this section and made in 

accordance with a notice of delegation 

effective under paragraph (b)(5)(iv) of 

this section shall be deemed to be an 

electronic submission by the designated 

representative or alternate designated 

representative submitting such notice of 

delegation. 

(6)(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 TR SO2 Group 1 

allowance transfer under § 97.622 for 

any TR SO2 Group 1 allowances in the 

account to one or more other Allowance 

Management System accounts. 

(ii) If a general account has no TR SO2

Group 1 allowance transfers to or from 

the account for a 12-month period or 

longer and does not contain any TR SO2

Group 1 allowances, the Administrator 

may notify the authorized account 

representative for the account that the 

account will be closed after 20 business 

days after the notice is sent. The 

account will be closed after the 20-day 

period unless, before the end of the 20- 

day period, the Administrator receives a 

correctly submitted TR SO2 Group 1 

allowance transfer under § 97.622 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. 

(c) Account identification. The 

Administrator will assign a unique 

identifying number to each account 

established under paragraph (a) or (b) of 

this section. 

(d) Responsibilities of authorized 

account representative and alternate 

authorized account representative. After 

the establishment of an Allowance 

Management System 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 TR SO2 Group 1 

allowances in the account, only if the 

submission has been made, signed, and 

certified in accordance with §§ 97.614(a) 

and 97.618 or paragraphs (b)(2)(ii) and 

(b)(5) of this section. 

§ 97.621 Recordation of TR SO2 Group 1 

allowance allocations. 

(a) By September 1, 2011, the 

Administrator will record in each TR 

SO2 Group 1 source’s compliance 

account the TR SO2 Group 1 allowances 

allocated for the TR SO2 Group 1 units 

at the source in accordance with 

§§ 97.611(a) for the control periods in 

2012, 2013, and 2014. 

(b) By June 1, 2012 and June 1 of each 

year thereafter, the Administrator will 

record in each TR SO2 Group 1 source’s 

compliance account the TR SO2 Group 

1 allowances allocated for the TR SO2

Group 1 units at the source in 

accordance with § 97.611(a) for the 

control period in the third year after the 

year of the applicable recordation 

deadline under this paragraph. 

(c) By September 1, 2012 and 

September 1 of each year thereafter, the 

Administrator will record in each TR 

SO2 Group 1 source’s compliance 

account the TR SO2 Group 1 allowances 

allocated for the TR SO2 Group 1 units 

at the source in accordance with 

§ 97.612 for the control period in the 

year of the applicable recordation 

deadline under this paragraph. 

(d) When recording the allocation of 

TR SO2 Group 1 allowances for a TR 


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45432 Federal Register / Vol. 75, No. 147 / Monday, August 2, 2010 / Proposed Rules 

SO2 Group 1 unit in a compliance 

account, the Administrator will assign 

each TR SO2 Group 1 allowance a 

unique identification number that will 

include digits identifying the year of the 

control period for which the TR SO2

Group 1 allowance is allocated. 

§ 97.622 Submission of TR SO2 Group 1 

allowance transfers. 

(a) An authorized account 

representative seeking recordation of a 

TR SO2 Group 1 allowance transfer shall 

submit the transfer to the Administrator. 

(b) A TR SO2 Group 1 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 TR SO2

Group 1 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 TR SO2 Group 1 

allowance identified by serial number in 

the transfer. 

§ 97.623 Recordation of TR SO2 Group 1 

allowance transfers. 

(a) Within 5 business days (except as 

provided in paragraph (b) of this 

section) of receiving a TR SO2 Group 1 

allowance transfer, the Administrator 

will record a TR SO2 Group 1 allowance 

transfer by moving each TR SO2 Group 

1 allowance from the transferor account 

to the transferee account as specified by 

the request, provided that the transfer is 

correctly submitted under § 97.622. 

(b)(1) A TR SO2 Group 1 allowance 

transfer that is submitted for recordation 

after the allowance transfer deadline for 

a control period and that includes any 

TR SO2 Group 1 allowances allocated 

for any control period before such 

allowance transfer deadline will not be 

recorded until after the Administrator 

completes the deductions under 

§ 97.624 for the control period 

immediately before such allowance 

transfer deadline. 

(2) A TR SO2 Group 1 allowance 

transfer that is submitted for recordation 

after the deadline for holding TR SO2

Group 1 allowances described in 

§ 97.625(b)(5) and that includes any TR 

SO2 Group 1 allowances allocated for a 

control period before the year of such 

deadline will not be recorded until after 

the Administrator completes the 

deductions under § 97.625 for the 

control period immediately before the 

year of such deadline. 

(c) Where a TR SO2 Group 1 

allowance transfer is not correctly 

submitted under § 97.622, the 

Administrator will not record such 

transfer. 

(d) Within 5 business days of 

recordation of a TR SO2 Group 1 

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 TR SO2 Group 1 allowance transfer 

that is not correctly submitted under 

§ 97.622, 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 nonrecordation. 

§ 97.624 Compliance with TR SO2 Group 1 

emissions limitation. 

(a) Availability for deduction for 

compliance. TR SO2 Group 1 allowances 

are available to be deducted for 

compliance with a source’s TR SO2

Group 1 emissions limitation for a 

control period in a given year only if the 

TR SO2 Group 1 allowances: 

(1) Were allocated for the control 

period in the year or a prior year; and 

(2) Are held in the source’s 

compliance account as of the allowance 

transfer deadline for such control 

period. 

(b) Deductions for compliance. After 

the recordation, in accordance with 

§ 97.623, of TR SO2 Group 1 allowance 

transfers submitted by the allowance 

transfer deadline for a control period, 

the Administrator will deduct from the 

compliance account TR SO2 Group 1 

allowances available under paragraph 

(a) of this section in order to determine 

whether the source meets the TR SO2

Group 1 emissions limitation for such 

control period, as follows: 

(1) Until the amount of TR SO2 Group 

1 allowances deducted equals the 

number of tons of total SO2 emissions 

from all TR SO2 Group 1 units at the 

source for such control period; or 

(2) If there are insufficient TR SO2

Group 1 allowances to complete the 

deductions in paragraph (b)(1) of this 

section, until no more TR SO2 Group 1 

allowances available under paragraph 

(a) of this section remain in the 

compliance account. 

(c)(1) Identification of TR SO2 Group 

1 allowances by serial number. The 

authorized account representative for a 

source’s compliance account may 

request that specific TR SO2 Group 1 

allowances, identified by serial number, 

in the compliance account be deducted 

for emissions or excess emissions for a 

control period in accordance with 

paragraph (b) or (d) of this section. 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 TR SO2 Group 1 

source and the appropriate serial 

numbers. 

(2) First-in, first-out. The 

Administrator will deduct TR SO2

Group 1 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 TR SO2 Group 1 allowances in such 

request, on a first-in, first-out (FIFO) 

accounting basis in the following order: 

(i) Any TR SO2 Group 1 allowances 

that were allocated to the units at the 

source and not transferred out of the 

compliance account, in the order of 

recordation; and then 

(ii) Any TR SO2 Group 1 allowances 

that were allocated to any unit and 

transferred to and recorded in the 

compliance account pursuant to this 

subpart, 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 TR SO2 Group 1 source has 

excess emissions, the Administrator will 

deduct from the source’s compliance 

account an amount of TR SO2 Group 1 

allowances, allocated for the control 

period in the immediately following 

year, equal to two times the number of 

tons of the source’s excess emissions. 

(e) Recordation of deductions. The 

Administrator will record in the 

appropriate compliance account all 

deductions from such an account under 

paragraphs (b) and (d) of this section. 

§ 97.625 Compliance with TR SO2 Group 1 

assurance provisions. 

(a) Availability for deduction. TR SO2

Group 1 allowances are available to be 

deducted for compliance with the TR 

SO2 Group 1 assurance provisions for a 

control period in a given year by an 

owner of one or more TR SO2 Group 1 

units in a State only if the TR SO2

Group 1 allowances: 

(1) Were allocated for the control 

period in the year or a prior year; and 

(2) Are held in a compliance account, 

designated by the owner in accordance 


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with paragraph (b)(4)(ii) of this section, 

of one of the owner’s TR SO2 Group 1 

sources in the State as of the deadline 

established in paragraph (b)(5) of this 

section. 

(b) Deductions for compliance. The 

Administrator will deduct TR SO2

Group 1 allowances available under 

paragraph (a) of this section for 

compliance with the TR SO2 Group 1 

assurance provisions for a State for a 

control period in a given year in 

accordance with the following 

procedures: 

(1) By June 1, 2015 and June 1 of each 

year thereafter, the Administrator will: 

(i) Calculate, separately for each State, 

the total amount of SO2 emissions from 

all TR SO2 Group 1 units in the State 

during the control period in the year 

before the year of this calculation 

deadline and the amount, if any, by 

which such total amount of NOX

emissions exceeds the State assurance 

level as described in § 97.606(c)(2)(iii); 

and 

(ii) Promulgate a notice of availability 

of the results of the calculations 

required in paragraph (b)(1)(i) of this 

section, including separate calculations 

of the SO2 emissions for each TR SO2

Group 1 unit and of the amounts 

described in §§ 97.606(c)(2)(iii)(A) and 

(B) for each State. 

(2) The Administrator will provide an 

opportunity for submission of objections 

to the calculations referenced by each 

notice described in paragraph (b)(1) of 

this section. 

(i) Objections shall be submitted by 

the deadline specified in such notice 

and shall be limited to addressing 

whether the calculations for each TR 

SO2 Group 1 unit and each State for the 

control period in the year involved are 

in accordance with § 97.606(c)(2)(iii) 

and §§ 97.606(b) and 97.630 through 

97.635. 

(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 August 1 

immediately after the promulgation of 

such notice, the Administrator will 

promulgate a notice of availability of 

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 each notice of data availability 

required in paragraph (b)(2)(ii) of this 

section and for any State identified in 

such notice as having TR SO2 Group 1 

sources with total SO2 emissions 

exceeding the State assurance level for 

a control period, as described in 

§ 97.606(c)(2)(iii): 

(i) By August 15 immediately after the 

promulgation of such notice, the 

designated representative of each TR 

SO2 Group 1 source in each such State 

shall submit a statement, in a format 

prescribed by the Administrator: 

(A) Listing all the owners of each TR 

SO2 Group 1 unit at the source, 

explaining how the selection of each 

owner for inclusion on the list is 

consistent with the definition of 

‘‘owner’’ in § 97.602, and listing, 

separately for each unit, the percentage 

of the legal, equitable, leasehold, or 

contractual reservation or entitlement 

for each such owner as of midnight of 

December 31 of the control period in the 

year involved; and 

(B) For each TR SO2 Group 1 unit at 

the source that operates during, but is 

allocated no TR SO2 Group 1 allowances 

for, the control period in the year 

involved, identifying whether the unit is 

a coal-fired boiler, simple combustion 

turbine, or combined cycle turbine cycle 

and providing the unit’s allowable SO2

emission rate for such control period. 

(ii) By September 15 immediately 

after the promulgation of such notice, 

the Administrator will calculate, for 

each such State and each owner of one 

or more TR SO2 Group 1 units in the 

State and for the control period in the 

year involved, each owner’s share of the 

total SO2 emissions from all TR SO2

Group 1 units in the State, each owner’s 

assurance level, and the amount (if any) 

of TR SO2 Group 1 allowances that each 

owner must hold in accordance with the 

calculation formula in § 97.606(c)(2)(i) 

and will promulgate a notice of 

availability of the results of these 

calculations. 

(iii) The Administrator will provide 

an opportunity for submission of 

objections to the calculations referenced 

by the notice of data availability 

required in paragraph (b)(3)(ii) of this 

section. 

(A) Objections shall be submitted by 

the deadline specified in such notice 

and shall be limited to addressing 

whether the calculations for each owner 

for the control period in the year 

involved are consistent with the SO2

emissions for the relevant TR SO2 Group 

1 units as set forth in the notice required 

in paragraph (b)(2)(ii) of this section, the 

definitions of ‘‘owner’’, ‘‘owner’s 

assurance level’’, and ‘‘owner’s share’’ in 

§ 97.602, and the calculation formula in 

§ 97.606(c)(2)(i) and shall not raise any 

issues about any data used in the notice 

of data availability required in 

paragraph (b)(2)(ii) of this section. 

(B) The Administrator will adjust the 

calculations to the extent necessary to 

ensure that they are consistent with the 

data and provisions referenced in 

paragraph (b)(3)(iii)(A) of this section. 

By November 15 immediately after the 

promulgation of such notice, the 

Administrator will promulgate a notice 

of availability of any adjustments that 

the Administrator determines to be 

necessary and the reasons for accepting 

or rejecting any objections submitted in 

accordance with paragraph (b)(3)(iii)(A) 

of this section. 

(4) By December 1 immediately after 

the promulgation of each notice of data 

availability required in paragraph 

(b)(3)(iii)(B) of this section: 

(i) Each owner identified, in such 

notice, as owning one or more TR SO2

Group 1 units in a State and as being 

required to hold TR SO2 Group 1 

allowances shall designate the 

compliance account of one of the 

sources at which such unit or units are 

located to hold such required TR SO2

Group 1 allowances; 

(ii) The authorized account 

representative for the compliance 

account designated under paragraph 

(b)(4)(i) of this section shall submit to 

the Administrator a statement, in a 

format prescribed by the Administrator, 

making this designation. 

(5)(i) As of midnight of December 15 

immediately after the promulgation of 

each notice of data availability required 

in paragraph (b)(3)(iii)(B) of this section, 

each owner described in paragraph 

(b)(4)(i) of this section shall hold in the 

compliance account designated by the 

owner in accordance with paragraph 

(b)(4)(ii) of this section the total amount 

of TR SO2 Group 1 allowances, available 

for deduction under paragraph (a) of 

this section, equal to the amount the 

owner is required to hold as calculated 

by the Administrator and referenced in 

such notice. 

(ii) Notwithstanding the allowanceholding deadline specified in paragraph 

(b)(5)(i) of this section, if December 15 

is not a business day, then such 

allowance-holding deadline shall be 

midnight of the first business day 

thereafter. 

(6) After December 15 (or the date 

described in paragraph (b)(5)(ii) of this 

section) immediately after the 

promulgation of each notice of data 

availability required in paragraph 

(b)(3)(iii)(B) of this section and after the 

recordation, in accordance with 

§ 97.623, of TR SO2 Group 1 allowance 

transfers submitted by midnight of such 

date, the Administrator will deduct 

from each compliance account 

designated in accordance with 

paragraph (b)(4)(ii) of this section, TR 

SO2 Group 1 allowances available under 

paragraph (a) of this section, as follows: 

(i) Until the amount of TR SO2 Group 

1 allowances deducted equals the 


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amount that the owner designating the 

compliance account is required to hold 

as calculated by the Administrator and 

referenced in the notice required in 

paragraph (b)(3)(iii)(B) of this section; or 

(ii) If there are insufficient TR SO2

Group 1 allowances to complete the 

deductions in paragraph (b)(6)(i) of this 

section, until no more TR SO2 Group 1 

allowances available under paragraph 

(a) of this section remain in the 

compliance account. 

(7) Notwithstanding any other 

provision of this subpart and any 

revision, made by or submitted to the 

Administrator after the promulgation of 

the notices of data availability required 

in paragraphs (b)(2)(ii) and (b)(3)(iii)(B) 

of this section respectively for a control 

period, of any data used in making the 

calculations referenced in such notice, 

the amount of TR SO2 Group 1 

allowances that each owner is required 

to hold in accordance with 

§ 97.606(c)(2)(i) for the control period in 

the year involved shall continue to be 

such amount as calculated by the 

Administrator and referenced in such 

notice required in paragraph 

(b)(3)(iii)(B) 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 TR SO2 Group 1 allowances that 

owners are required to hold in 

accordance with the calculation formula 

in § 97.606(c)(2)(i) for the control period 

in the year involved with regard to the 

State involved, provided that— 

(A) With regard to such litigation 

involving such notice required in 

paragraph (b)(2)(ii) of this section, 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; and 

(B) With regard to such litigation 

involving such notice required in 

paragraph (b)(3)(iii) of this section, 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)(3)(iii) of this section. 

(ii) If any such data are revised by the 

owners and operators of a source whose 

designated representative submitted 

such data under paragraph (b)(3)(i) of 

this section, as a result of a decision in 

or settlement of litigation concerning 

such submission, then the 

Administrator will use the data as so 

revised to recalculate the amounts of TR 

SO2 Group 1 allowances that owners are 

required to hold in accordance with the 

calculation formula in § 97.606(c)(2)(i) 

for the control period in the year 

involved with regard to the State 

involved, provided that such litigation 

was initiated no later than 30 days after 

promulgation of such notice required in 

paragraph (b)(3)(iii)(B) of this section. 

(iii) If the revised data are used to 

recalculate, in accordance with 

paragraphs (b)(7)(i) and (b)(7)(ii) of this 

section, the amount of TR SO2 Group 1 

allowances that an owner is required to 

hold for the control period in the year 

involved with regard to the State 

involved— 

(A) Where the amount of TR SO2

Group 1 allowances that an owner is 

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 owner 

shall hold the additional amount of TR 

SO2 Group 1 allowances in the 

compliance account designated by the 

owner in accordance with paragraph 

(b)(4)(ii) of this section. The owner’s 

failure to hold such additional amount, 

as required, before the new deadline 

shall not be a violation of the Clean Air 

Act. The owner’s failure to hold such 

additional amount, as required, as of the 

new deadline shall be a violation of the 

Clean Air Act. Each TR SO2 Group 1 

allowance that the owner fails to hold 

as required as of the new deadline, and 

each day in the control period in the 

year involved, shall be a separate 

violation of the Clean Air Act. After 

such deadline, the Administrator will 

make the appropriate deductions from 

the compliance account. 

(B) For an owner for which the 

amount of TR SO2 Group 1 allowances 

required to be held decreases as a result 

of the use of all such revised data, the 

Administrator will record, in the 

compliance account that the owner 

designated in accordance with 

paragraph (b)(4)(ii) of this section, an 

amount of TR SO2 Group 1 allowances 

equal to the amount of the decrease to 

the extent such amount was previously 

deducted from the compliance account 

under paragraph (b)(6) of this section 

(and has not already been restored to the 

compliance account) for the control 

period in the year involved. 

(C) Each TR SO2 Group 1 allowance 

held and deducted under paragraph 

(b)(7)(iii)(A) of this section, or recorded 

under paragraph (b)(7)(iii)(B) of this 

section, as a result of recalculation of 

requirements under the TR SO2 Group 

1 assurance provisions for a control 

period in a given year must be a TR SO2

Group 1 allowance allocated for a 

control period in the same or a prior 

year. 

(c)(1) Identification of TR SO2 Group 

1 allowances by serial number. The 

authorized account representative for 

each source’s compliance account 

designated in accordance with 

paragraph (b)(4)(ii) of this section may 

request that specific TR SO2 Group 1 

allowances, identified by serial number, 

in the compliance account be deducted 

in accordance with paragraph (b)(6) or 

(7) of this section. In order to be 

complete, such request shall be 

submitted to the Administrator by the 

allowance-holding deadline described 

in paragraph (b)(5) of this section and 

include, in a format prescribed by the 

Administrator, the identification of the 

compliance account and the appropriate 

serial numbers. 

(2) First-in, first-out. The 

Administrator will deduct TR SO2

Group 1 allowances under paragraphs 

(b)(6) and (7) of this section from each 

source’s compliance account designated 

under paragraph (b)(4)(ii) of this section 

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 TR SO2 Group 1 allowances 

in such request, on a first-in, first-out 

(FIFO) accounting basis in the following 

order: 

(i) Any TR SO2 Group 1 allowances 

that were allocated to the units at the 

source and not transferred out of the 

compliance account, in the order of 

recordation; and then 

(ii) Any TR SO2 Group 1 allowances 

that were allocated to any unit and 

transferred to and recorded in the 

compliance account pursuant to this 

subpart, in the order of recordation. 

(d) Recordation of deductions. The 

Administrator will record in the 

appropriate compliance account all 

deductions from such an account under 

paragraph (b) of this section. 

§ 97.626 Banking. 

(a) A TR SO2 Group 1 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 TR SO2 Group 1 allowance 

that is held in a compliance account or 

a general account will remain in such 


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account unless and until the TR SO2

Group 1 allowance is deducted or 

transferred under § 97.611(c), § 97.623, 

§ 97.624, § 97.625, 97.627, 97.628, 

97.642, or 97.643. 

§ 97.627 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. 

§ 97.628 Administrator’s action on 

submissions. 

(a) The Administrator may review and 

conduct independent audits concerning 

any submission under the TR SO2

Group 1 Trading Program and make 

appropriate adjustments of the 

information in the submission. 

(b) The Administrator may deduct TR 

SO2 Group 1 allowances from or transfer 

TR SO2 Group 1 allowances to a 

source’s compliance account based on 

the information in a submission, as 

adjusted under paragraph (a)(1) of this 

section, and record such deductions and 

transfers. 

§ 97.629 [Reserved] 

§ 97.630 General monitoring, 

recordkeeping, and reporting requirements. 

The owners and operators, and to the 

extent applicable, the designated 

representative, of a TR SO2 Group 1 

unit, shall comply with the monitoring, 

recordkeeping, and reporting 

requirements as provided in this subpart 

and subparts F and G of part 75 of this 

chapter. For purposes of applying such 

requirements, the definitions in § 97.602 

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 ‘‘TR SO2

Group 1 unit,’’ ‘‘designated 

representative,’’ and ‘‘continuous 

emission monitoring system’’ (or 

‘‘CEMS’’) respectively as defined in 

§ 97.602, and the term ‘‘newly affected 

unit’’ shall be deemed to mean ‘‘newly 

affected TR SO2 Group 1 unit.’’ The 

owner or operator of a unit that is not 

a TR SO2 Group 1 unit but that is 

monitored under § 75.16(b)(2) of this 

chapter shall comply with the same 

monitoring, recordkeeping, and 

reporting requirements as a TR SO2

Group 1 unit. 

(a) Requirements for installation, 

certification, and data accounting. The 

owner or operator of each TR SO2 Group 

1 unit shall: 

(1) Install all monitoring systems 

required under this subpart for 

monitoring SO2 mass emissions and 

individual unit heat input (including all 

systems required to monitor SO2

concentration, stack gas moisture 

content, stack gas flow rate, CO2 or O2

concentration, and fuel flow rate, as 

applicable, in accordance with §§ 75.11 

and 75.16 of this chapter); 

(2) Successfully complete all 

certification tests required under 

§ 97.631 and meet all other 

requirements of this subpart and part 75 

of this chapter applicable to the 

monitoring systems under paragraph 

(a)(1) of this section; and 

(3) Record, report, and quality-assure 

the data from the monitoring systems 

under paragraph (a)(1) of this section. 

(b) Compliance deadlines. Except as 

provided in paragraph (e) of this 

section, the owner or operator shall 

meet the monitoring system certification 

and other requirements of paragraphs 

(a)(1) and (2) of this section on or before 

the following dates. The owner or 

operator shall record, report, and 

quality-assure the data from the 

monitoring systems under paragraph 

(a)(1) of this section on and after the 

following dates. 

(1) For the owner or operator of a TR 

SO2 Group 1 unit that commences 

commercial operation before July 1, 

2011, by January 1, 2012. 

(2) For the owner or operator of a TR 

SO2 Group 1 unit that commences 

commercial operation on or after July 1, 

2011, by the later of the following dates: 

(i) January 1, 2012; or 

(ii) 180 calendar days, whichever 

occurs first, after the date on which the 

unit commences commercial operation. 

(3) For the owner or operator of a TR 

SO2 Group 1 unit for which 

construction of a new stack or flue or 

installation of add-on SO2 emission 

controls is completed after the 

applicable deadline under paragraph 

(b)(1) or (2) of this section, by 90 unit 

operating days or 180 calendar days, 

whichever occurs first, after the date on 

which emissions first exit to the 

atmosphere through the new stack or 

flue or add-on SO2 emissions controls. 

(4) Notwithstanding the dates in 

paragraphs (b)(1) and (2) of this section, 

for the owner or operator of a unit for 

which a TR opt-in application is 

submitted and not withdrawn and is not 

yet approved or disapproved, by the 

date specified in § 97.641(c). 

(5) Notwithstanding the dates in 

paragraphs (b)(1) and (2) of this section, 

for the owner or operator of a TR SO2

Group 1 opt-in unit, by the date on 

which the TR SO2 Group 1 opt-in unit 

enters the TR SO2 Group 1 Trading 

Program as provided in § 97.641(h). 

(c) Reporting data. The owner or 

operator of a TR SO2 Group 1 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 SO2

concentration, stack gas flow rate, stack 

gas moisture content, fuel flow rate, and 

any other parameters required to 

determine SO2 mass emissions and heat 

input in accordance with § 75.31(b)(2) 

or (c)(3) of this chapter or section 2.4 of 

appendix D to part 75 of this chapter, as 

applicable. 

(d) Prohibitions. (1) No owner or 

operator of a TR SO2 Group 1 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 § 97.635. 

(2) No owner or operator of a TR SO2

Group 1 unit shall operate the unit so 

as to discharge, or allow to be 

discharged, SO2 emissions to the 

atmosphere without accounting for all 

such emissions in accordance with the 

applicable provisions of this subpart 

and part 75 of this chapter. 

(3) No owner or operator of a TR SO2

Group 1 unit shall disrupt the 

continuous emission monitoring system, 

any portion thereof, or any other 

approved emission monitoring method, 

and thereby avoid monitoring and 

recording SO2 mass emissions 

discharged into the atmosphere or heat 

input, except for periods of 

recertification or periods when 

calibration, quality assurance testing, or 

maintenance is performed in accordance 

with the applicable provisions of this 

subpart and part 75 of this chapter. 

(4) No owner or operator of a TR SO2

Group 1 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 § 97.605 

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 


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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 § 97.631(d)(3)(i). 

(e) Long-term cold storage. The owner 

or operator of a TR SO2 Group 1 unit is 

subject to the applicable provisions of 

§ 75.4(d) of this chapter concerning 

units in long-term cold storage. 

§ 97.631 Initial monitoring system 

certification and recertification procedures. 

(a) The owner or operator of a TR SO2

Group 1 unit shall be exempt from the 

initial certification requirements of this 

section for a monitoring system under 

§ 97.630(a)(1) if the following conditions 

are met: 

(1) The monitoring system has been 

previously certified in accordance with 

part 75 of this chapter; and 

(2) The applicable quality-assurance 

and quality-control requirements of 

§ 75.21 of this chapter and appendices 

B and D to part 75 of this chapter are 

fully met for the certified monitoring 

system described in paragraph (a)(1) of 

this section. 

(b) The recertification provisions of 

this section shall apply to a monitoring 

system under § 97.630(a)(1) exempt 

from initial certification requirements 

under paragraph (a) of this section. 

(c) [Reserved] 

(d) Except as provided in paragraph 

(a) of this section, the owner or operator 

of a TR SO2 Group 1 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 appendix D to part 75 of this 

chapter) under § 97.630(a)(1). The 

owner or operator of a unit that qualifies 

to use the low mass emissions excepted 

monitoring methodology under § 75.19 

of this chapter or that qualifies to use an 

alternative monitoring system under 

subpart E of part 75 of this chapter shall 

comply with the procedures in 

paragraph (e) or (f) of this section 

respectively. 

(1) Requirements for initial 

certification. The owner or operator 

shall ensure that each continuous 

monitoring system under § 97.630(a)(1) 

(including the automated data 

acquisition and handling system) 

successfully completes all of the initial 

certification testing required under 

§ 75.20 of this chapter by the applicable 

deadline in § 97.630(b). In addition, 

whenever the owner or operator installs 

a monitoring system to meet the 

requirements of this subpart in a 

location where no such monitoring 

system was previously installed, initial 

certification in accordance with § 75.20 

of this chapter is required. 

(2) Requirements for recertification. 

Whenever the owner or operator makes 

a replacement, modification, or change 

in any certified continuous emission 

monitoring system under § 97.630(a)(1) 

that may significantly affect the ability 

of the system to accurately measure or 

record SO2 mass emissions or heat input 

rate or to meet the quality-assurance and 

quality-control requirements of § 75.21 

of this chapter or appendix B to part 75 

of this chapter, the owner or operator 

shall recertify the monitoring system in 

accordance with § 75.20(b) of this 

chapter. Furthermore, whenever the 

owner or operator makes a replacement, 

modification, or change to the flue gas 

handling system or the unit’s operation 

that may significantly change the stack 

flow or concentration profile, the owner 

or operator shall recertify each 

continuous emission monitoring system 

whose accuracy is potentially affected 

by the change, in accordance with 

§ 75.20(b) of this chapter. Examples of 

changes to a continuous emission 

monitoring system that require 

recertification include: Replacement of 

the analyzer, complete replacement of 

an existing continuous emission 

monitoring system, or change in 

location or orientation of the sampling 

probe or site. Any fuel flowmeter system 

under § 97.630(a)(1) is subject to the 

recertification requirements in 

§ 75.20(g)(6) of this chapter. 

(3) Approval process for initial 

certification and recertification. For 

initial certification of a continuous 

monitoring system under § 97.630(a)(1), 

paragraphs (d)(3)(i) through (v) of this 

section apply. For recertifications of 

such monitoring systems, paragraphs 

(d)(3)(i) through (iv) of this section and 

the procedures in §§ 75.20(b)(5) and 

(g)(7) of this chapter (in lieu of the 

procedures in paragraph (d)(3)(v) of this 

section) apply, provided that in 

applying paragraphs (d)(3)(i) through 

(iv) of this section, the words 

‘‘certification’’ and ‘‘initial certification’’ 

are replaced by the word 

‘‘recertification’’ and the word ‘‘certified’’ 

is replaced by with the word 

‘‘recertified’’. 

(i) Notification of certification. The 

designated representative shall submit 

to the appropriate EPA Regional Office 

and the Administrator written notice of 

the dates of certification testing, in 

accordance with § 97.633. 

(ii) Certification application. The 

designated representative shall submit 

to the Administrator a certification 

application for each monitoring system. 

A complete certification application 

shall include the information specified 

in § 75.63 of this chapter. 

(iii) Provisional certification date. The 

provisional certification date for a 

monitoring system shall be determined 

in accordance with § 75.20(a)(3) of this 

chapter. A provisionally certified 

monitoring system may be used under 

the TR SO2 Group 1 Trading Program for 

a period not to exceed 120 days after 

receipt by the Administrator of the 

complete certification application for 

the monitoring system under paragraph 

(d)(3)(ii) of this section. Data measured 

and recorded by the provisionally 

certified monitoring system, in 

accordance with the requirements of 

part 75 of this chapter, will be 

considered valid quality-assured data 

(retroactive to the date and time of 

provisional certification), provided that 

the Administrator does not invalidate 

the provisional certification by issuing a 

notice of disapproval within 120 days of 

the date of receipt of the complete 

certification application by the 

Administrator. 

(iv) Certification application approval 

process. The Administrator will issue a 

written notice of approval or 

disapproval of the certification 

application to the owner or operator 

within 120 days of receipt of the 

complete certification application under 

paragraph (d)(3)(ii) of this section. In the 

event the Administrator does not issue 

such a notice within such 120-day 

period, each monitoring system that 

meets the applicable performance 

requirements of part 75 of this chapter 

and is included in the certification 

application will be deemed certified for 

use under the TR SO2 Group 1 Trading 

Program. 

(A) Approval notice. If the 

certification application is complete and 

shows that each monitoring system 

meets the applicable performance 

requirements of part 75 of this chapter, 

then the Administrator will issue a 

written notice of approval of the 

certification application within 120 

days of receipt. 

(B) Incomplete application notice. If 

the certification application is not 

complete, then the Administrator will 

issue a written notice of incompleteness 

that sets a reasonable date by which the 

designated representative must submit 

the additional information required to 

complete the certification application. If 

the designated representative does not 

comply with the notice of 

incompleteness by the specified date, 

then the Administrator may issue a 

notice of disapproval under paragraph 

(d)(3)(iv)(C) of this section. The 120-day 


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review period specified in paragraph 

(d)(3) of this section shall not begin 

before receipt of a complete certification 

application. 

(C) Disapproval notice. If the 

certification application shows that any 

monitoring system does not meet the 

performance requirements of part 75 of 

this chapter or if the certification 

application is incomplete and the 

requirement for disapproval under 

paragraph (d)(3)(iv)(B) of this section is 

met, then the Administrator will issue a 

written notice of disapproval of the 

certification application. Upon issuance 

of such notice of disapproval, the 

provisional certification is invalidated 

by the Administrator and the data 

measured and recorded by each 

uncertified monitoring system shall not 

be considered valid quality-assured data 

beginning with the date and hour of 

provisional certification (as defined 

under § 75.20(a)(3) of this chapter). 

(D) Audit decertification. The 

Administrator may issue a notice of 

disapproval of the certification status of 

a monitor in accordance with 

§ 97.632(b). 

(v) Procedures for loss of certification. 

If the Administrator issues a notice of 

disapproval of a certification 

application under paragraph 

(d)(3)(iv)(C) of this section or a notice of 

disapproval of certification status under 

paragraph (d)(3)(iv)(D) of this section, 

then: 

(A) The owner or operator shall 

substitute the following values, for each 

disapproved monitoring system, for 

each hour of unit operation during the 

period of invalid data specified under 

§ 75.20(a)(4)(iii), § 75.20(g)(7), or 

§ 75.21(e) of this chapter and continuing 

until the applicable date and hour 

specified under § 75.20(a)(5)(i) or (g)(7) 

of this chapter: 

(1) For a disapproved SO2 pollutant 

concentration monitor and disapproved 

flow monitor, respectively, the 

maximum potential concentration of 

SO2 and the maximum potential flow 

rate, as defined in sections 2.1.1.1 and 

2.1.4.1 of appendix A to part 75 of this 

chapter. 

(2) For a disapproved moisture 

monitoring system and disapproved 

diluent gas monitoring system, 

respectively, the minimum potential 

moisture percentage and either the 

maximum potential CO2 concentration 

or the minimum potential O2

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. 

(3) 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. 

(B) The designated representative 

shall submit a notification of 

certification retest dates and a new 

certification application in accordance 

with paragraphs (d)(3)(i) and (ii) of this 

section. 

(C) The owner or operator shall repeat 

all certification tests or other 

requirements that were failed by the 

monitoring system, as indicated in the 

Administrator’s notice of disapproval, 

no later than 30 unit operating days 

after the date of issuance of the notice 

of disapproval. 

(e) The owner or operator of a unit 

qualified to use the low mass emissions 

(LME) excepted methodology under 

§ 75.19 of this chapter shall meet the 

applicable certification and 

recertification requirements in 

§§ 75.19(a)(2) and 75.20(h) of this 

chapter. If the owner or operator of such 

a unit elects to certify a fuel flowmeter 

system for heat input determination, the 

owner or operator shall also meet the 

certification and recertification 

requirements in § 75.20(g) of this 

chapter. 

(f) The designated representative of 

each unit for which the owner or 

operator intends to use an alternative 

monitoring system approved by the 

Administrator under subpart E of part 

75 of this chapter shall comply with the 

applicable notification and application 

procedures of § 75.20(f) of this chapter. 

§ 97.632 Monitoring system out-of-control 

periods. 

(a) General provisions. Whenever any 

monitoring system fails to meet the 

quality-assurance and quality-control 

requirements or data validation 

requirements of part 75 of this chapter, 

data shall be substituted using the 

applicable missing data procedures in 

subpart D or appendix D to part 75 of 

this chapter. 

(b) Audit decertification. Whenever 

both an audit of a monitoring system 

and a review of the initial certification 

or recertification application reveal that 

any monitoring system should not have 

been certified or recertified because it 

did not meet a particular performance 

specification or other requirement under 

§ 97.631 or the applicable provisions of 

part 75 of this chapter, both at the time 

of the initial certification or 

recertification application submission 

and at the time of the audit, the 

Administrator will issue a notice of 

disapproval of the certification status of 

such monitoring system. For the 

purposes of this paragraph, an audit 

shall be either a field audit or an audit 

of any information submitted to the 

Administrator or any permitting 

authority. By issuing the notice of 

disapproval, the Administrator revokes 

prospectively the certification status of 

the monitoring system. The data 

measured and recorded by the 

monitoring system shall not be 

considered valid quality-assured data 

from the date of issuance of the 

notification of the revoked certification 

status until the date and time that the 

owner or operator completes 

subsequently approved initial 

certification or recertification tests for 

the monitoring system. The owner or 

operator shall follow the applicable 

initial certification or recertification 

procedures in § 97.631 for each 

disapproved monitoring system. 

§ 97.633 Notifications concerning 

monitoring. 

The designated representative of a TR 

SO2 Group 1 unit shall submit written 

notice to the Administrator in 

accordance with § 75.61 of this chapter. 

§ 97.634 Recordkeeping and reporting. 

(a) General provisions. The designated 

representative shall comply with all 

recordkeeping and reporting 

requirements in this section, the 

applicable recordkeeping and reporting 

requirements in subparts F and G of part 

75 of this chapter, and the requirements 

of § 97.614(a). 

(b) Monitoring plans. The owner or 

operator of a TR SO2 Group 1 unit shall 

comply with requirements of § 75.62 of 

this chapter. 

(c) Certification applications. The 

designated representative shall submit 

an application to the Administrator 

within 45 days after completing all 

initial certification or recertification 

tests required under § 97.631, including 

the information required under § 75.63 

of this chapter. 

(d) Quarterly reports. The designated 

representative shall submit quarterly 

reports, as follows: 

(1) The designated representative 

shall report the SO2 mass emissions data 

and heat input data for the TR SO2

Group 1 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, 

2011, the calendar quarter covering 

January 1, 2012 through March 31, 2012; 

(ii) For a unit that commences 

commercial operation on or after July 1, 

2011, the calendar quarter 

corresponding to the earlier of the date 

of provisional certification or the 

applicable deadline for initial 

certification under § 97.630(b), unless 

that quarter is the third or fourth quarter 

of 2011, in which case reporting shall 


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commence in the quarter covering 

January 1, 2012 through March 31, 2012; 

(iii) Notwithstanding paragraphs 

(d)(1)(i) and (ii) of this section, for a unit 

for which a TR opt-in application is 

submitted and not withdrawn and is not 

yet approved or disapproved, the 

calendar quarter corresponding to the 

date specified in § 97.641(c); and 

(iv) Notwithstanding paragraphs 

(d)(1)(i) and (ii) of this section, for a TR 

SO2 Group 1 opt-in unit, the calendar 

quarter corresponding to the date on 

which the TR SO2 Group 1 opt-in unit 

enters the TR SO2 Group 1 Trading 

Program as provided in § 97.641(h). 

(2) The designated representative 

shall submit each quarterly report to the 

Administrator within 30 days after the 

end of the calendar quarter covered by 

the report. Quarterly reports shall be 

submitted in the manner specified in 

§ 75.64 of this chapter. 

(3) For TR SO2 Group 1 units that are 

also subject to the Acid Rain Program, 

TR NOX Annual Trading Program, or TR 

NOX Ozone Season 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 SO2 mass emission data, 

heat input data, and other information 

required by this subpart. 

(4) The Administrator may review and 

conduct independent audits of any 

quarterly report in order to determine 

whether the quarterly report meets the 

requirements of this subpart and part 75 

of this chapter, including the 

requirement to use substitute data. 

(i) The Administrator will notify the 

designated representative of any 

determination that the quarterly report 

fails to meet any such requirements and 

specify in such notification any 

corrections that the Administrator 

believes are necessary to make through 

resubmission of the quarterly report and 

a reasonable time period within which 

the designated representative must 

respond. Upon request by the 

designated representative, the 

Administrator may specify reasonable 

extensions of such time period. Within 

the time period (including any such 

extensions) specified by the 

Administrator, the designated 

representative shall resubmit the 

quarterly report with the corrections 

specified by the Administrator, except 

to the extent the designated 

representative provides information 

demonstrating that a specified 

correction is not necessary because the 

quarterly report already meets the 

requirements of this subpart and part 75 

of this chapter that are relevant to the 

specified correction. 

(ii) Any resubmission of a quarterly 

report shall meet the requirements 

applicable to the submission of a 

quarterly report under this subpart and 

part 75 of this chapter, except for the 

deadline set forth in paragraph (d)(2) of 

this section. 

(e) Compliance certification. The 

designated representative shall submit 

to the Administrator a compliance 

certification (in a format prescribed by 

the Administrator) in support of each 

quarterly report based on reasonable 

inquiry of those persons with primary 

responsibility for ensuring that all of the 

unit’s emissions are correctly and fully 

monitored. The certification shall state 

that: 

(1) The monitoring data submitted 

were recorded in accordance with the 

applicable requirements of this subpart 

and part 75 of this chapter, including 

the quality assurance procedures and 

specifications; and 

(2) For a unit with add-on SO2

emission controls and for all hours 

where SO2 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 SO2

emissions. 

§ 97.635 Petitions for alternatives to 

monitoring, recordkeeping, or reporting 

requirements. 

(a) The designated representative of a 

TR SO2 Group 1 unit may submit a 

petition under § 75.66 of this chapter to 

the Administrator, requesting approval 

to apply an alternative to any 

requirement of §§ 97.630 through 97.634 

or paragraph (5)(i) or (ii) of the 

definition of ‘‘owner’s share’’ in 

§ 97.602. 

(b) A petition submitted under 

paragraph (a) of this section shall 

include sufficient information for the 

evaluation of the petition, including, at 

a minimum, the following information: 

(i) Identification of each unit and 

source covered by the petition; 

(ii) A detailed explanation of why the 

proposed alternative is being suggested 

in lieu of the requirement; 

(iii) A description and diagram of any 

equipment and procedures used in the 

proposed alternative; 

(iv) A demonstration that the 

proposed alternative is consistent with 

the purposes of the requirement for 

which the alternative is proposed and 

with the purposes of this subpart and 

part 75 of this chapter and that any 

adverse effect of approving the 

alternative will be de minimis; and 

(v) Any other relevant information 

that the Administrator may require. 

(c) Use of an alternative to any 

requirement referenced in paragraph (a) 

of this section is in accordance with this 

subpart only to the extent that the 

petition is approved in writing by the 

Administrator and that such use is in 

accordance with such approval. 

§ 97.640 General requirements for TR SO2

Group 1 opt-in units. 

(a) A TR SO2 Group 1 opt-in unit must 

be a unit that: 

(1) Is located in a State; 

(2) Is not a TR SO2 Group 1 unit under 

§ 97.604; 

(3) Is not covered by a retired unit 

exemption under § 72.8 of this chapter 

that is in effect; and 

(4) Vents all of its emissions to a stack 

and can meet the monitoring, 

recordkeeping, and reporting 

requirements of this subpart. 

(b) A TR SO2 Group 1 opt-in unit shall 

be deemed to be a TR SO2 Group 1 unit 

for purposes of applying this subpart, 

except for §§ 97.605, 97.611, and 97.612. 

(c) Solely for purposes of applying the 

requirements of §§ 97.613 through 

97.618 and §§ 97.630 through 97.635, a 

unit for which a TR opt-in application 

is submitted and not withdrawn and is 

not yet approved or disapproved under 

§ 97.642 shall be deemed to be a TR SO2

Group 1 unit. 

(d) Any TR SO2 Group 1 opt-in unit, 

and any unit for which a TR opt-in 

application is submitted and not 

withdrawn and is not yet approved or 

disapproved under § 97.642, located at 

the same source as one or more TR SO2

Group 1 units shall have the same 

designated representative and alternate 

designated representative as such TR 

SO2 Group 1 units. 

§ 97.641 Opt-in process. 

A unit meeting the requirements for a 

TR SO2 Group 1 opt-in unit in 

§ 97.640(a) may become a TR SO2 Group 

1 opt-in unit only if, in accordance with 

this section, the designated 

representative of the unit submits a 

complete TR opt-in application for the 

unit and the Administrator approves the 

application. 

(a) Applying to opt-in. The designated 

representative of the unit may submit a 

complete TR opt-in application for the 

unit at any time, except as provided 

under § 97.642(e). A complete TR opt-in 

application shall include the following 

elements in a format prescribed by the 

Administrator: 

(1) Identification of the unit and the 

source where the unit is located, 


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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, and unit identification 

number and type; 

(2) A certification that the unit: 

(i) Is not a TR SO2 Group 1 unit under 

§ 97.604; 

(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 

(greater than 0 mmBtu) for more than 

876 hours during the 6 months 

immediately preceding submission of 

the TR opt-in application; 

(3) A monitoring plan in accordance 

with §§ 97.630 through 97.635; 

(4) A statement that the unit, if 

approved to become a TR SO2 Group 1 

unit under paragraph (g) of this section, 

may withdraw from the TR SO2 Group 

1 Trading Program only in accordance 

with § 97.642; 

(5) A statement that the unit, if 

approved to become a TR SO2 Group 1 

unit under paragraph (g) of this section, 

is subject to, and the owners and 

operators of the unit must comply with, 

the requirements of § 97.643; 

(6) A complete certificate of 

representation under § 97.616 consistent 

with § 97.640, if no designated 

representative has been previously 

designated for the source that includes 

the unit; and 

(7) The signature of the designated 

representative and the date signed. 

(b) Interim review of monitoring plan. 

The Administrator will determine, on 

an interim basis, the sufficiency of the 

monitoring plan submitted under 

paragraph (a)(3) of this section. The 

monitoring plan is sufficient, for 

purposes of interim review, if the plan 

appears to contain information 

demonstrating that the SO2 emission 

rate and heat input of the unit and all 

other applicable parameters are 

monitored and reported in accordance 

with §§ 97.630 through 97.635. A 

determination of sufficiency shall not be 

construed as acceptance or approval of 

the monitoring plan. 

(c) Monitoring and reporting. (1)(i) If 

the Administrator determines that the 

monitoring plan is sufficient under 

paragraph (b) of this section, the owner 

or operator of the unit shall monitor and 

report the SO2 emission rate and the 

heat input of the unit and all other 

applicable parameters, in accordance 

with §§ 97.630 through 97.635, starting 

on the date of certification of the 

necessary monitoring systems under 

§§ 97.630 through 97.635 and 

continuing until the TR opt-in 

application submitted under paragraph 

(a) of this section is disapproved under 

this section or, if such TR opt-in 

application is approved, the date and 

time when the unit is withdrawn from 

the TR SO2 Group 1 Trading Program in 

accordance with § 97.642. 

(ii) The monitoring and reporting 

under paragraph (c)(1)(i) of this section 

shall cover the entire control period 

immediately before the date on which 

the unit enters the TR SO2 Group 1 

Trading Program under paragraph (h) of 

this section, during which period 

monitoring system availability must not 

be less than 98 percent under §§ 97.630 

through 97.635 and the unit must be in 

full compliance with any applicable 

State or Federal emissions or emissionsrelated requirements. 

(2) To the extent the SO2 emission 

rate and the heat input of the unit are 

monitored and reported in accordance 

with §§ 97.630 through 97.635 for one or 

more entire control periods, in addition 

to the control period under paragraph 

(c)(1)(ii) of this section, during which 

control periods monitoring system 

availability is not less than 98 percent 

under §§ 97.630 through 97.635 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 

TR SO2 Group 1 Trading Program under 

paragraph (h) of this section, such 

information shall be used as provided in 

paragraphs (e) and (f) of this section. 

(d) Statement on compliance. After 

submitting to the Administrator all 

quarterly reports required for the unit 

under paragraph (c) of this section, the 

designated representative shall submit, 

in a format prescribed by the 

Administrator, to the Administrator a 

statement that, for the years covered by 

such quarterly reports, the unit was in 

full compliance with any applicable 

State or Federal emissions or emissionsrelated requirements. 

(e) Baseline heat input. The unit’s 

baseline heat input shall equal: 

(1) If the unit’s SO2 emission rate and 

heat input are monitored and reported 

for only one entire control period, in 

accordance with paragraph (c) of this 

section, the unit’s total heat input (in 

mmBtu) for such control period; or 

(2) If the unit’s SO2 emission rate and 

heat input are monitored and reported 

for more than one entire control period, 

in accordance with paragraph (c) of this 

section, the average of the amounts of 

the unit’s total heat input (in mmBtu) 

for such control periods. 

(f) Baseline SO2 emission rate. The 

unit’s baseline SO2 emission rate shall 

equal: 

(1) If the unit’s SO2 emission rate and 

heat input are monitored and reported 

for only one entire control period, in 

accordance with paragraph (c) of this 

section, the unit’s SO2 emission rate (in 

lb/mmBtu) for such control period; 

(2) If the unit’s SO2 emission rate and 

heat input are monitored and reported 

for more than one entire control period, 

in accordance with paragraph (c) of this 

section, and the unit does not have addon SO2 emission controls during any 

such control periods, the average of the 

amounts of the unit’s SO2 emission rate 

(in lb/mmBtu) for such control periods; 

or 

(3) If the unit’s SO2 emission rate and 

heat input are monitored and reported 

for more than one entire control period, 

in accordance with paragraph (c) of this 

section, and the unit has add-on SO2

emission controls during any such 

control periods, the average of the 

amounts of the unit’s SO2 emission rate 

(in lb/mmBtu) for such control periods 

during which the unit has add-on SO2

emission controls. 

(g) Review of TR opt-in application. 

(1) After the designated representative 

submits the complete TR opt-in 

application, quarterly reports, and 

statement required in paragraphs (a), (c), 

and (d) of this section and if the 

Administrator determines that the 

designated representative shows that the 

unit meets the requirements for a TR 

SO2 Group 1 opt-in unit in § 97.640, the 

element certified in paragraph (a)(2)(iv) 

of this section, and the monitoring and 

reporting requirements of paragraph (c) 

of this section, the Administrator will 

issue a written approval of the TR optin application for the unit. The written 

approve will state the unit’s baseline 

heat input and baseline SO2 emission 

rate. The Administrator will thereafter 

establish a compliance account for the 

source that includes the unit unless the 

source already has a compliance 

account. 

(2) Notwithstanding paragraphs (a) 

through (f) of this section, if, at any time 

before the TR opt-in application is 

approved under paragraph (g)(1) of this 

section, the Administrator determines 

that the unit cannot meet the 

requirements for a TR SO2 Group 1 

opt-in unit in § 97.640, the element 

certified in paragraph (a)(2)(iv) of this 

section, or the monitoring and reporting 

requirements in paragraph (c) of this 

section, the Administrator will issue a 

written disapproval of the TR opt-in 

application for the unit. 

(h) Date of entry into TR SO2 Group 

1 Trading Program. A unit for which a 


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45440 Federal Register / Vol. 75, No. 147 / Monday, August 2, 2010 / Proposed Rules 

TR opt-in application is approved under 

paragraph (g)(1) of this section shall 

become a TR SO2 Group 1 opt-in unit, 

and a TR SO2 Group 1 unit, effective as 

of the later of January 1, 2012, or 

January 1 of the first control period 

during which such approval is issued. 

§ 97.642 Withdrawal of TR SO2 Group 1 

opt-in unit from TR SO2 Group 1 Trading 

Program. 

A TR SO2 Group 1 opt-in unit may 

withdraw from the TR SO2 Group 1 

Trading Program only if, in accordance 

with this section, the designated 

representative of the unit submits a 

request to withdraw the unit and the 

Administrator issues a written approval 

of the request. 

(a) Requesting withdrawal. In order to 

withdraw the TR SO2 Group 1 opt-in 

unit from the TR SO2 Group 1 Trading 

Program, the designated representative 

of the unit shall submit to the 

Administrator a request to withdraw the 

unit effective as of midnight of 

December 31 of a specified calendar 

year, which date must be at least 4 years 

after December 31 of the year of the 

unit’s entry into the TR SO2 Group 1 

Trading Program under § 97.641(h). The 

request shall be in a format prescribed 

by the Administrator and shall be 

submitted no later than 90 days before 

the requested effective date of 

withdrawal. 

(b) Conditions for withdrawal. Before 

a TR SO2 Group 1 opt-in unit covered 

by the request to withdraw may 

withdraw from the TR SO2 Group 1 

Trading Program, 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 

TR SO2 Group 1 opt-in unit must meet 

the requirement to hold TR SO2 Group 

1 allowances under §§ 97.624 and 

97.625 and cannot have any excess 

emissions. 

(2) After the requirement under 

paragraph (b)(1) of this section is met, 

the Administrator will deduct from the 

compliance account of the source that 

includes the TR SO2 Group 1 opt-in unit 

TR SO2 Group 1 allowances equal in 

amount to and allocated for the same or 

a prior control period as any TR SO2

Group 1 allowances allocated to the TR 

SO2 Group 1 opt-in unit under § 97.644 

for any control period after the date on 

which the withdrawal is to be effective. 

If there are no other TR SO2 Group 1 

units at the source, the Administrator 

will close the compliance account, and 

the owners and operators of the TR SO2

Group 1 opt-in unit may submit a TR 

SO2 Group 1 allowance transfer for any 

remaining TR SO2 Group 1 allowances 

to another Allowance Management 

System account in accordance with 

§§ 97.622 and 97.623. 

(c) Approving withdrawal. (1) After 

the requirements for withdrawal under 

paragraphs (a) and (b) of this section are 

met (including deduction of the full 

amount of TR SO2 Group 1 allowances 

required), the Administrator will issue a 

written approval of the request to 

withdraw, which will become effective 

as of midnight on December 31 of the 

calendar year for which the withdrawal 

was requested. The unit covered by the 

request shall continue to be a TR SO2

Group 1 opt-in unit until the effective 

date of the withdrawal and shall comply 

with all requirements under the TR SO2

Group 1 Trading Program concerning 

any control periods for which the unit 

is a TR SO2 Group 1 opt-in unit, even 

if such requirements arise or must be 

complied with after the withdrawal 

takes effect. 

(2) If the requirements for withdrawal 

under paragraphs (a) and (b) of this 

section are not met, the Administrator 

will issue a written disapproval of the 

request to withdraw. The unit covered 

by the request shall continue to be a TR 

SO2 Group 1 opt-in unit. 

(d) Reapplication upon failure to meet 

conditions of withdrawal. If the 

Administrator disapproves the request 

to withdraw, the designated 

representative of the unit may submit 

another request to withdraw in 

accordance with paragraphs (a) and (b) 

of this section. 

(e) Ability to reapply to the TR SO2

Group 1 Trading Program. Once a TR 

SO2 Group 1 opt-in unit withdraws from 

the TR SO2 Group 1 Trading Program, 

the designated representative may not 

submit another opt-in application under 

§ 97.641 for such unit before the date 

that is 4 years after the date on which 

the withdrawal became effective. 

§ 97.643 Change in regulatory status. 

(a) Notification. If a TR SO2 Group 1 

opt-in unit becomes a TR SO2 Group 1 

unit under § 97.604, then the designated 

representative of the unit shall notify 

the Administrator in writing of such 

change in the TR SO2 Group 1 opt-in 

unit’s regulatory status, within 30 days 

of such change. 

(b) Administrator’s actions. (1) If a TR 

SO2 Group 1 opt-in unit becomes a TR 

SO2 Group 1 unit under § 97.604, the 

Administrator will deduct, from the 

compliance account of the source that 

includes the TR SO2 Group 1 opt-in unit 

that becomes a TR SO2 Group 1 unit 

under § 97.604, TR SO2 Group 1 

allowances equal in amount to and 

allocated for the same or a prior control 

period as: 

(i) Any TR SO2 Group 1 allowances 

allocated to the TR SO2 Group 1 opt-in 

unit under § 97.644 for any control 

period starting after the date on which 

the TR SO2 Group 1 opt-in unit becomes 

a TR SO2 Group 1 unit under § 97.604; 

and 

(ii) If the date on which the TR SO2

Group 1 opt-in unit becomes a TR SO2

Group 1 unit under § 97.604 is not 

December 31, the TR SO2 Group 1 

allowances allocated to the TR SO2

Group 1 opt-in unit under § 97.644 for 

the control period that includes the date 

on which the TR SO2 Group 1 opt-in 

unit becomes a TR SO2 Group 1 unit 

under § 97.604— 

(A) Multiplied by the ratio of the 

number of days, in the control period, 

starting with the date on which the TR 

SO2 Group 1 opt-in unit becomes a TR 

SO2 Group 1 unit under § 97.604, 

divided by the total number of days in 

the control period, and 

(B) Rounded to the nearest allowance. 

(2) The designated representative 

shall ensure that the compliance 

account of the source that includes the 

TR SO2 Group 1 opt-in unit that 

becomes a TR SO2 Group 1 unit under 

§ 97.604 contains the TR SO2 Group 1 

allowances necessary for completion of 

the deduction under paragraph (b)(1) of 

this section. 

(3)(i) For control periods starting after 

the date on which the TR SO2 Group 1 

opt-in unit becomes a TR SO2 Group 1 

unit under § 97.604, the TR SO2 Group 

1 opt-in unit will be allocated TR SO2

Group 1 allowances in accordance with 

§ 97.612. 

(ii) If the date on which the TR SO2

Group 1 opt-in unit becomes a TR SO2

Group 1 unit under § 97.604 is not 

December 31, the following amount of 

TR SO2 Group 1 allowances will be 

allocated to the TR SO2 Group 1 opt-in 

unit (as a TR SO2 Group 1 unit) in 

accordance with § 97.612 for the control 

period that includes the date on which 

the TR SO2 Group 1 opt-in unit becomes 

a TR SO2 Group 1 unit under § 97.604: 

(A) The amount of TR SO2 Group 1 

allowances otherwise allocated to the 

TR SO2 Group 1 opt-in unit (as a TR SO2

Group 1 unit) in accordance with 

§ 97.612 for the control period; 

(B) Multiplied by the ratio of the 

number of days, in the control period, 

starting with the date on which the TR 

SO2 Group 1 opt-in unit becomes a TR 

SO2 Group 1 unit under § 97.604, 

divided by the total number of days in 

the control period; and 

(C) Rounded to the nearest allowance. 


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§ 97.644 TR SO2 Group 1 allowance 

allocations to TR SO2 Group 1 opt-in units. 

(a) Timing requirements. (1) When the 

TR opt-in application is approved for a 

unit under § 97.641(g), the 

Administrator will issue TR SO2 Group 

1 allowances and allocate them to the 

unit for the control period in which the 

unit enters the TR SO2 Group 1 Trading 

Program under § 97.641(h), in 

accordance with paragraph (b) of this 

section. 

(2) By no later than October 31 of the 

control period after the control period in 

which a TR SO2 Group 1 opt-in unit 

enters the TR SO2 Group 1 Trading 

Program under § 97.641(h) and October 

31 of each year thereafter, the 

Administrator will issue TR SO2 Group 

1 allowances and allocate them to the 

TR SO2 Group 1 opt-in unit for the 

control period that includes such 

allocation deadline and in which the 

unit is a TR SO2 Group 1 opt-in unit, in 

accordance with paragraph (b) of this 

section. 

(b) Calculation of allocation. For each 

control period for which a TR SO2

Group 1 opt-in unit is to be allocated TR 

SO2 Group 1 allowances, the 

Administrator will issue and allocate TR 

SO2 Group 1 allowances in accordance 

with the following procedures: 

(1) The heat input (in mmBtu) used 

for calculating the TR SO2 Group 1 

allowance allocation will be the lesser 

of: 

(i) The TR SO2 Group 1 opt-in unit’s 

baseline heat input determined under 

§ 97.641(g); or 

(ii) The TR SO2 Group 1 opt-in unit’s 

heat input, as determined in accordance 

with §§ 97.630 through 97.635, for the 

immediately prior control period, 

except when the allocation is being 

calculated for the control period in 

which the TR SO2 Group 1 opt-in unit 

enters the TR SO2 Group 1 Trading 

Program under § 97.641(h). 

(2) The SO2 emission rate (in lb/ 

mmBtu) used for calculating TR SO2

Group 1 allowance allocations will be 

the lesser of: 

(i) The TR SO2 Group 1 opt-in unit’s 

baseline SO2 emission rate (in lb/ 

mmBtu) determined under § 97.641(g) 

and multiplied by 70 percent; or 

(ii) The most stringent State or 

Federal SO2 emissions limitation 

applicable to the TR SO2 Group 1 optin unit at any time during the control 

period for which TR SO2 Group 1 

allowances are to be allocated. 

(3) The Administrator will issue TR 

SO2 Group 1 allowances and allocate 

them to the TR SO2 Group 1 opt-in unit 

in an amount equaling the heat input 

under paragraph (b)(1) of this section, 

multiplied by the SO2 emission rate 

under paragraph (b)(2) of this section, 

divided by 2,000 lb/ton, and rounded to 

the nearest allowance. 

(c) Recordation. (1) The Administrator 

will record, in the compliance account 

of the source that includes the TR SO2

Group 1 opt-in unit, the TR SO2 Group 

1 allowances allocated to the TR SO2

Group 1 opt-in unit under paragraph 

(a)(1) of this section. 

(2) By December 1 of the control 

period after the control period in which 

a TR SO2 Group 1 opt-in unit enters the 

TR SO2 Group 1 Trading Program under 

§ 97.641(h) and December 1 of each year 

thereafter, the Administrator will 

record, in the compliance account of the 

source that includes the TR SO2 Group 

1 opt-in unit, the TR SO2 Group 1 

allowances allocated to the TR SO2

Group 1 opt-in unit under paragraph 

(a)(2) of this section. 

38. Part 97 is amended by adding 

subpart DDDDD to read as follows: 

Subpart DDDDD—TR SO2 Group 2 Trading 

Program 

Sec. 

97.701 Purpose. 

97.702 Definitions. 

97.703 Measurements, abbreviations, and 

acronyms. 

97.704 Applicability. 

97.705 Retired unit exemption. 

97.706 Standard requirements. 

97.707 Computation of time. 

97.708 Administrative appeal procedures. 

97.709 [Reserved] 

97.710 State SO2 Group 2 trading budgets, 

new-unit set-asides, and variability 

limits. 

97.711 Timing requirements for TR SO2

Group 2 allowance allocations. 

97.712 TR SO2 Group 2 allowance 

allocations for new units. 

97.713 Authorization of designated 

representative and alternate designated 

representative. 

97.714 Responsibilities of designated 

representative and alternate designated 

representative. 

97.715 Changing designated representative 

and alternate designated representative; 

changes in owners and operators. 

97.716 Certificate of representation. 

97.717 Objections concerning designated 

representative and alternate designated 

representative. 

97.718 Delegation by designated 

representative and alternate designated 

representative. 

97.719 [Reserved] 

97.720 Establishment of Allowance 

Management System accounts. 

97.721 Recordation of TR SO2 Group 2 

allowance allocations. 

97.722 Submission of TR SO2 Group 2 

allowance transfers. 

97.723 Recordation of TR SO2 Group 2 

allowance transfers. 

97.724 Compliance with TR SO2 Group 2 

emissions limitation. 

97.725 Compliance with TR SO2 Group 2 

assurance provisions. 

97.726 Banking. 

97.727 Account error. 

97.728 Administrator’s action on 

submissions. 

97.729 [Reserved] 

97.730 General monitoring, recordkeeping, 

and reporting requirements. 

97.731 Initial monitoring system 

certification and recertification 

procedures. 

97.732 Monitoring system out-of-control 

periods. 

97.733 Notifications concerning 

monitoring. 

97.734 Recordkeeping and reporting. 

97.735 Petitions for alternatives to 

monitoring, recordkeeping, or reporting 

requirements. 

97.740 General requirements for TR SO2

Group 2 opt-in units. 

97.741 Opt-in process. 

97.742 Withdrawal of TR SO2 Group 2 optin unit from TR SO2 Group 2 Trading 

Program. 

97.743 Change in regulatory status. 

97.744 TR SO2 Group 2 allowance 

allocations to TR SO2 Group 2 opt-in 

units. 

Subpart DDDDD—TR SO2 Group 2 

Trading Program 

§ 97.701 Purpose. 

This subpart sets forth the general, 

designated representative, allowance, 

and monitoring provisions for the 

Transport Rule (TR) SO2 Group 2 

Trading Program, under section 110 of 

the Clean Air Act and § 52.38(b) of this 

chapter, as a means of mitigating 

interstate transport of fine particulates 

and nitrogen oxides. 

§ 97.702 Definitions. 

The terms used in this subpart shall 

have the meanings set forth in this 

section as follows: 

Acid Rain Program means a multistate SO2 and NOX air pollution control 

and emission reduction program 

established by the Administrator under 

title IV of the Clean Air Act and parts 

72 through 78 of this chapter. 

Administrator means the 

Administrator of the United States 

Environmental Protection Agency or the 

Director of the Clean Air Markets 

Division (or its successor) of the United 

States Environmental Protection 

Agency, the Administrator’s duly 

authorized representative under this 

subpart. 

Allocate or allocation means, with 

regard to TR SO2 Group 2 allowances, 

the determination by the Administrator 

of the amount of such TR SO2 Group 2 

allowances to be initially credited to a 

TR SO2 Group 2 source or a new unit 

set-aside. 

Allowable SO2 emission rate means, 

with regard to a unit, the SO2 emission 

rate limit that is applicable to the unit 


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and covers the longest averaging period 

not exceeding one year. 

Allowance Management System 

means the system by which the 

Administrator records allocations, 

deductions, and transfers of TR SO2

Group 2 allowances under the TR SO2

Group 2 Trading Program. Such 

allowances are allocated, held, 

deducted, or transferred only as whole 

allowances. The Allowance 

Management System is a component of 

the CAMD Business System, which is 

the system used by the Administrator to 

handle TR SO2 Group 2 allowances and 

data related to SO2 emissions. 

Allowance Management System 

account means an account in the 

Allowance Management System 

established by the Administrator for 

purposes of recording the allocation, 

holding, transfer, or deduction of TR 

SO2 Group 2 allowances. 

Allowance transfer deadline means, 

for a control period, midnight of March 

1 (if it is a business day), or midnight 

of the first business day thereafter (if 

March 1 is not a business day), 

immediately after such control period 

and is the deadline by which a TR SO2

Group 2 allowance transfer must be 

submitted for recordation in a TR SO2

Group 2 source’s compliance account in 

order to be available for use in 

complying with the source’s TR SO2

Group 2 Annual emissions limitation for 

such control period in accordance with 

§ 97.724. 

Alternate designated representative 

means, for a TR SO2 Group 2 source and 

each TR SO2 Group 2 unit at the source, 

the natural person who is authorized by 

the owners and operators of the source 

and all such units at the source, in 

accordance with this subpart, to act on 

behalf of the designated representative 

in matters pertaining to the TR SO2

Group 2 Trading Program. If the TR SO2

Group 2 source is also subject to the 

Acid Rain Program, TR NOX Annual 

Season Trading Program, or TR NOX

Ozone Season Trading Program, then 

this natural person shall be the same 

natural person as the alternate 

designated representative as defined in 

§ 72.2 of this chapter, § 97.402, or 

§ 97.502 respectively. 

Authorized account representative 

means, with regard to a general account, 

the natural person who is authorized, in 

accordance with this subpart, to transfer 

and otherwise dispose of TR SO2 Group 

2 allowances held in the general 

account and, with regard to a TR SO2

Group 2 source’s compliance account, 

the designated representative of the 

source. 

Automated data acquisition and 

handling system or DAHS means the 

component of the continuous emission 

monitoring system, or other emissions 

monitoring system approved for use 

under this subpart, designed to interpret 

and convert individual output signals 

from pollutant concentration monitors, 

flow monitors, diluent gas monitors, 

and other component parts of the 

monitoring system to produce a 

continuous record of the measured 

parameters in the measurement units 

required by this subpart. 

Biomass means— 

(1) Any organic material grown for the 

purpose of being converted to energy; 

(2) Any organic byproduct of 

agriculture that can be converted into 

energy; or 

(3) Any material that can be converted 

into energy and is nonmerchantable for 

other purposes, that is segregated from 

other material that is nonmerchantable 

for other purposes, and that is; 

(i) A forest-related organic resource, 

including mill residues, precommercial 

thinnings, slash, brush, or byproduct 

from conversion of trees to 

merchantable material; or 

(ii) A wood material, including 

pallets, crates, dunnage, manufacturing 

and construction materials (other than 

pressure-treated, chemically-treated, or 

painted wood products), and landscape 

or right-of-way tree trimmings. 

Boiler means an enclosed fossil- or 

other-fuel-fired combustion device used 

to produce heat and to transfer heat to 

recirculating water, steam, or other 

medium. 

Bottoming-cycle unit means a unit in 

which the energy input to the unit is 

first used to produce useful thermal 

energy, where at least some of the reject 

heat from the useful thermal energy 

application or process is then used for 

electricity production. 

Certifying official means a natural 

person who is: 

(1) For a corporation, a president, 

secretary, treasurer, or vice-president or 

the corporation in charge of a principal 

business function or any other person 

who performs similar policy or decision 

making functions for the corporation; 

(2) For a partnership or sole 

proprietorship, a general partner or the 

proprietor respectively; or 

(3) For a local government entity or 

State, federal, or other public agency, a 

principal executive officer or ranking 

elected official. 

Clean Air Act means the Clean Air 

Act, 42 U.S.C. 7401, et seq. 

Coal means any solid fuel classified as 

anthracite, bituminous, subbituminous, 

or lignite. 

Coal-derived fuel means any fuel 

(whether in a solid, liquid, or gaseous 

state) produced by the mechanical, 

thermal, or chemical processing of coal. 

Coal-fired means combusting any 

amount of coal or coal-derived fuel, 

alone or in combination with any 

amount of any other fuel, during 1990 

or any year thereafter. 

Cogeneration system means an 

integrated group, at a source, of 

equipment (including a boiler, or 

combustion turbine, and a steam turbine 

generator) designed to produce useful 

thermal energy for industrial, 

commercial, heating, or cooling 

purposes and electricity through the 

sequential use of energy. 

Cogeneration unit means a stationary, 

fossil-fuel-fired boiler or stationary, 

fossil-fuel-fired combustion turbine— 

(1) Operating as part of a cogeneration 

system; and 

(2) Producing during the later of 1990 

or the 12-month period starting on the 

date that the unit first produces 

electricity and during each calendar 

year after the later of 1990 or the 

calendar year in which the unit first 

produces electricity— 

(i) For a topping-cycle unit, 

(A) Useful thermal energy not less 

than 5 percent of total energy output; 

and 

(B) Useful power that, when added to 

one-half of useful thermal energy 

produced, is not less then 42.5 percent 

of total energy input, if useful thermal 

energy produced is 15 percent or more 

of total energy output, or not less than 

45 percent of total energy input, if 

useful thermal energy produced is less 

than 15 percent of total energy output. 

(ii) For a bottoming-cycle unit, useful 

power not less than 45 percent of total 

energy input; 

(3) Provided that the total energy 

input under paragraphs (2)(i)(B) and 

(2)(ii) of this definition shall equal the 

unit’s total energy input from all fuel, 

except biomass if the unit is a boiler; 

and 

(4) Provided that, if a topping-cycle 

unit is operated as part of a cogeneration 

system during a calendar year and the 

cogeneration system meets on a systemwide basis the requirement in paragraph 

(2)(i)(B) of this definition, the toppingcycle unit shall be deemed to meet such 

requirement during that calendar year. 

Combustion turbine means an 

enclosed device comprising: 

(1) If the device is simple cycle, a 

compressor, a combustor, and a turbine 

and in which the flue gas resulting from 

the combustion of fuel in the combustor 

passes through the turbine, rotating the 

turbine; and 

(2) If the device is combined cycle, 

the equipment described in paragraph 

(1) of this definition and any associated 


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duct burner, heat recovery steam 

generator, and steam turbine. 

Commence commercial operation 

means, with regard to a unit: 

(1) To have begun to produce steam, 

gas, or other heated medium used to 

generate electricity for sale or use, 

including test generation, except as 

provided in § 97.705. 

(i) For a unit that is a TR SO2 Group 

2 unit under § 97.704 on the later of 

November 15, 1990 or the date the unit 

commences commercial operation as 

defined in the introductory text of 

paragraph (1) of this definition and that 

subsequently undergoes a physical 

change (other than replacement of the 

unit by a unit at the same source), such 

date shall remain the date of 

commencement of commercial 

operation of the unit, which shall 

continue to be treated as the same unit. 

(ii) For a unit that is a TR SO2 Group 

2 unit under § 97.704 on the later of 

November 15, 1990 or the date the unit 

commences commercial operation as 

defined in the introductory text of 

paragraph (1) of this definition and that 

is subsequently replaced by a unit at the 

same source, such date shall remain the 

replaced unit’s date of commencement 

of commercial operation, and the 

replacement unit shall be treated as a 

separate unit with a separate date for 

commencement of commercial 

operation as defined in paragraph (1) or 

(2) of this definition as appropriate. 

(2) Notwithstanding paragraph (1) of 

this definition and except as provided 

in § 97.705, for a unit that is not a TR 

SO2 Group 2 unit under § 97.704 on the 

later of November 15, 1990 or the date 

the unit commences commercial 

operation as defined in introductory text 

of paragraph (1) of this definition, the 

unit’s date for commencement of 

commercial operation shall be the date 

on which the unit becomes a TR SO2

Group 2 unit under § 97.704. 

(i) For a unit with a date for 

commencement of commercial 

operation as defined in the introductory 

text of paragraph (2) of this definition 

and that subsequently undergoes a 

physical change (other than replacement 

of the unit by a unit at the same source), 

such date shall remain the date of 

commencement of commercial 

operation of the unit, which shall 

continue to be treated as the same unit. 

(ii) For a unit with a date for 

commencement of commercial 

operation as defined in the introductory 

text of paragraph (2) of this definition 

and that is subsequently replaced by a 

unit at the same source, such date shall 

remain the replaced unit’s date of 

commencement of commercial 

operation, and the replacement unit 

shall be treated as a separate unit with 

a separate date for commencement of 

commercial operation as defined in 

paragraph (1) or (2) of this definition as 

appropriate. 

Commence operation means, with 

regard to a unit: 

(1) To have begun any mechanical, 

chemical, or electronic process, 

including start-up of the unit’s 

combustion chamber. 

(2) For a unit that undergoes a 

physical change (other than replacement 

of the unit by a unit at the same source) 

after the date the unit commences 

operation as defined in paragraph (1) of 

this definition, such date shall remain 

the date of commencement of operation 

of the unit, which shall continue to be 

treated as the same unit. 

(3) For a unit that is replaced by a unit 

at the same source after the date the unit 

commences operation as defined in 

paragraph (1) of this definition, such 

date shall remain the replaced unit’s 

date of commencement of operation, 

and the replacement unit shall be 

treated as a separate unit with a separate 

date for commencement of operation as 

defined in paragraph (1), (2), or (3) of 

this definition as appropriate. 

Common stack means a single flue 

through which emissions from 2 or 

more units are exhausted. 

Compliance account means an 

Allowance Management System 

account, established by the 

Administrator for a TR SO2 Group 2 

source under this subpart, in which any 

TR SO2 Group 2 allowance allocations 

for the TR SO2 Group 2 units at the 

source are recorded and in which are 

held any TR SO2 Group 2 allowances 

available for use for a control period in 

complying with the source’s TR SO2

Group 2 emissions limitation in 

accordance with § 97.724 and the TR 

SO2 Group 2 assurance provisions in 

accordance with § 97.725. 

Continuous emission monitoring 

system or CEMS means the equipment 

required under this subpart to sample, 

analyze, measure, and provide, by 

means of readings recorded at least once 

every 15 minutes and using an 

automated data acquisition and 

handling system (DAHS), a permanent 

record of SO2 emissions, stack gas 

volumetric flow rate, stack gas moisture 

content, and O2 or CO2 concentration (as 

applicable), in a manner consistent with 

part 75 of this chapter and §§ 97.730 

through 97.735. The following systems 

are the principal types of continuous 

emission monitoring systems: 

(1) A flow monitoring system, 

consisting of a stack flow rate monitor 

and an automated data acquisition and 

handling system and providing a 

permanent, continuous record of stack 

gas volumetric flow rate, in standard 

cubic feet per hour (scfh); 

(2) A SO2 monitoring system, 

consisting of a SO2 pollutant 

concentration monitor and an 

automated data acquisition and 

handling system and providing a 

permanent, continuous record of SO2

emissions, in parts per million (ppm); 

(3) A moisture monitoring system, as 

defined in § 75.11(b)(2) of this chapter 

and providing a permanent, continuous 

record of the stack gas moisture content, 

in percent H2O; 

(4) A CO2 monitoring system, 

consisting of a CO2 pollutant 

concentration monitor (or an O2 monitor 

plus suitable mathematical equations 

from which the CO2 concentration is 

derived) and an automated data 

acquisition and handling system and 

providing a permanent, continuous 

record of CO2 emissions, in percent CO2; 

and 

(5) An O2 monitoring system, 

consisting of an O2 concentration 

monitor and an automated data 

acquisition and handling system and 

providing a permanent, continuous 

record of O2, in percent O2. 

Control period means the period 

starting January 1 of a calendar year, 

except as provided in § 97.706(c)(3), and 

ending on December 31 of the same 

year, inclusive. 

Designated representative means, for 

a TR SO2 Group 2 source and each TR 

SO2 Group 2 unit at the source, the 

natural person who is authorized by the 

owners and operators of the source and 

all such units at the source, in 

accordance with this subpart, to 

represent and legally bind each owner 

and operator in matters pertaining to the 

TR SO2 Group 2 Trading Program. If the 

TR SO2 Group 2 source is also subject 

to the Acid Rain Program, TR NOX

Annual Trading Program, or TR NOX

Ozone Season Trading Program, then 

this natural person shall be the same 

natural person as the designated 

representative, as defined in § 72.2 of 

this chapter, § 97.402, or § 97.502 

respectively. 

Emissions means air pollutants 

exhausted from a unit or source into the 

atmosphere, as measured, recorded, and 

reported to the Administrator by the 

designated representative and as 

modified by the Administrator in 

accordance with this subpart. 

Excess emissions means any ton of 

SO2 emitted from the TR SO2 Group 2 

units at a TR SO2 Group 2 source during 

a control period that exceeds the TR SO2

Group 2 emissions limitation for the 

source. 

Fossil fuel means— 


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(1) Natural gas, petroleum, coal, or 

any form of solid, liquid, or gaseous fuel 

derived from such material; or 

(2) For purposes of applying 

§§ 97.704(b)(2)(i)(B), 97.704(b)(2)(ii)(B), 

and 97.704(b)(2)(iii), natural gas, 

petroleum, coal, or any form of solid, 

liquid, or gaseous fuel derived from 

such material for the purpose of creating 

useful heat. 

Fossil-fuel-fired means, with regard to 

a unit, combusting any amount of fossil 

fuel in 1990 or any calendar year 

thereafter. 

Fuel oil means any petroleum-based 

fuel (including diesel fuel or petroleum 

derivatives such as oil tar) and any 

recycled or blended petroleum products 

or petroleum by-products used as a fuel 

whether in a liquid, solid, or gaseous 

state. 

General account means an Allowance 

Management System account, 

established under this subpart, that is 

not a compliance account. 

Generator means a device that 

produces electricity. 

Gross electrical output means, with 

regard to a unit, electricity made 

available for use, including any such 

electricity used in the power production 

process (which process includes, but is 

not limited to, any on-site processing or 

treatment of fuel combusted at the unit 

and any on-site emission controls). 

Heat input means, with regard to a 

unit for a specified period of time, the 

product (in mmBtu/time) of the gross 

calorific value of the fuel (in mmBtu/lb) 

multiplied by the fuel feed rate into a 

combustion device (in lb of fuel/time), 

as measured, recorded, and reported to 

the Administrator by the designated 

representative and as modified by the 

Administrator in accordance with this 

subpart and excluding the heat derived 

from preheated combustion air, 

recirculated flue gases, or exhaust. 

Heat input rate means the amount of 

heat input (in mmBtu) divided by unit 

operating time (in hr) or, with regard to 

a specific fuel, the amount of heat input 

attributed to the fuel (in mmBtu) 

divided by the unit operating time (in 

hr) during which the unit combusts the 

fuel. 

Life-of-the-unit, firm power 

contractual arrangement means a unit 

participation power sales agreement 

under which a utility or industrial 

customer reserves, or is entitled to 

receive, a specified amount or 

percentage of nameplate capacity and 

associated energy generated by any 

specified unit and pays its proportional 

amount of such unit’s total costs, 

pursuant to a contract: 

(1) For the life of the unit; 

(2) For a cumulative term of no less 

than 30 years, including contracts that 

permit an election for early termination; 

or 

(3) For a period no less than 25 years 

or 70 percent of the economic useful life 

of the unit determined as of the time the 

unit is built, with option rights to 

purchase or release some portion of the 

nameplate capacity and associated 

energy generated by the unit at the end 

of the period. 

Maximum design heat input means 

the maximum amount of fuel per hour 

(in Btu/hr) that a unit is capable of 

combusting on a steady state basis as of 

the initial installation of the unit as 

specified by the manufacturer of the 

unit. 

Monitoring system means any 

monitoring system that meets the 

requirements of this subpart, including 

a continuous emission monitoring 

system, an alternative monitoring 

system, or an excepted monitoring 

system under part 75 of this chapter. 

Nameplate capacity means, starting 

from the initial installation of a 

generator, the maximum electrical 

generating output (in MWe) that the 

generator is capable of producing on a 

steady state basis and during continuous 

operation (when not restricted by 

seasonal or other deratings) as of such 

installation as specified by the 

manufacturer of the generator or, 

starting from the completion of any 

subsequent physical change in the 

generator resulting in an increase in the 

maximum electrical generating output 

(in MWe) that the generator is capable 

of producing on a steady state basis and 

during continuous operation (when not 

restricted by seasonal or other 

deratings), such increased maximum 

amount as of such completion as 

specified by the person conducting the 

physical change. 

Newly affected TR SO2 Group 2 unit 

means a unit that was not a TR SO2

Group 2 unit when it began operating 

but that thereafter becomes a TR SO2

Group 2 unit. 

Operate or operation means, with 

regard to a unit, to combust fuel. 

Operator means any person who 

operates, controls, or supervises a TR 

SO2 Group 2 unit or a TR SO2 Group 2 

source and shall include, but not be 

limited to, any holding company, utility 

system, or plant manager of such a unit 

or source. 

Owner means, with regard to a TR SO2

Group 2 source or a TR SO2 Group 2 

unit at a source respectively, any of the 

following persons: 

(1) Any holder of any portion of the 

legal or equitable title in a TR SO2

Group 2 unit at the source or the TR SO2

Group 2 unit; 

(2) Any holder of a leasehold interest 

in a TR SO2 Group 2 unit at the source 

or the TR SO2 Group 2 unit, provided 

that, unless expressly provided for in a 

leasehold agreement, ‘‘owner’’ shall not 

include a passive lessor, or a person 

who has an equitable interest through 

such lessor, whose rental payments are 

not based (either directly or indirectly) 

on the revenues or income from such TR 

SO2 Group 2 unit; 

(3) Any purchaser of power from a TR 

SO2 Group 2 unit at the source or the 

TR SO2 Group 2 unit under a life-of-theunit, firm power contractual 

arrangement; 

(4) Provided that, for purposes of 

applying the TR SO2 Group 2 assurance 

provisions in §§ 97.706(c)(2) and 97.725, 

if one or more owners (as defined in 

paragraphs (1) through (3) of this 

definition) of one or more TR SO2 Group 

2 units in a State are wholly owned by 

another, common owner, all such 

owners shall be treated collectively as a 

single owner in the State. 

Owner’s assurance level means: 

(1) With regard to a State and control 

period for which the State assurance 

level is exceeded as described in 

§ 97.706(c)(2)(iii)(A) and not as 

described in § 97.706(c)(2)(iii)(B), the 

owner’s share of the State SO2 Group 2 

trading budget with the one-year 

variability limit for the State for such 

control period; or 

(2) With regard to a State and control 

period for which the State assurance 

level is exceeded as described in 

§ 97.706(c)(2)(iii)(B), the owner’s share 

of the State SO2 Group 2 trading budget 

with the three-year variability limit for 

the State for such control period. 

Owner’s share means: 

(1) With regard to a total amount of 

SO2 emissions from all TR SO2 Group 2 

units in a State during a control period, 

the total tonnage of SO2 emissions 

during such control period from all of 

the owner’s TR SO2 Group 2 units in the 

State; 

(2) With regard to a State SO2 Group 

2 trading budget with a one-year 

variability limit for a control period, the 

amount (rounded to the nearest 

allowance) equal to the total amount of 

TR SO2 Group 2 allowances allocated 

for such control period to all of the 

owner’s TR SO2 Group 2 units in the 

State, multiplied by the sum of the State 

SO2 Group 2 trading budget under 

§ 97.710(a) and the State’s one-year 

variability limit under § 97.710(b) and 

divided by such State SO2 Group 2 

trading budget; 

(3) With regard to a State SO2 Group 

2 trading budget with a three-year 


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variability limit for a control period, the 

amount (rounded to the nearest 

allowance) equal to the total amount of 

TR SO2 Group 2 allowances allocated 

for such control period to all of the 

owner’s TR SO2 Group 2 units in the 

State, multiplied by the sum of the State 

SO2 Group 2 trading budget under 

§ 97.710(a) and the State’s three-year 

variability limit under § 97.710(b) and 

divided by such State SO2 Group 2 

trading budget; 

(4) Provided that, in the case of a unit 

with more than one owner, the amount 

of tonnage of SO2 emissions and of TR 

SO2 Group 2 allowances allocated for a 

control period, with regard to such unit, 

used in determining each owner’s share 

shall be the amount (rounded to the 

nearest ton and the nearest allowance) 

equal to the unit’s SO2 emissions and 

allocation of such allowances, 

respectively, for such control period 

multiplied by the percentage of 

ownership in the unit that the owner’s 

legal, equitable, leasehold, or 

contractual reservation or entitlement in 

the unit comprises as of December 31 of 

such control period; 

(5) Provided that, where two or more 

units emit through a common stack that 

is the monitoring location from which 

SO2 mass emissions are reported for a 

control period for a year, the amount of 

tonnage of each unit’s SO2 emissions 

used in determining each owner’s share 

for such control period shall be: 

(i) The amount (rounded to the 

nearest ton) of SO2 emissions reported 

at the common stack multiplied by the 

quotient of such unit’s heat input for 

such control period divided by the total 

heat input reported from the common 

stack for such control period; 

(ii) An amount determined in 

accordance with a methodology that the 

Administrator determines is consistent 

with the purposes of this definition and 

whose adverse effect (if any) the 

Administrator determines will be de 

minimis; or 

(iii) An amount approved by the 

Administrator in response to a petition 

for an alternative requirement submitted 

in accordance with § 97.735; and 

(6) Provided that, in the case of a unit 

that operates during, but is allocated no 

TR SO2 Group 2 allowances for, a 

control period, the unit shall be treated, 

solely for purposes of this definition, as 

being allocated an amount (rounded to 

the nearest allowance) of TR SO2 Group 

2 allowances for such control period 

equal to the lesser of— 

(i) The unit’s allowable SO2 emission 

rate (in lb per MWe) applicable to such 

control period, multiplied by a capacity 

factor of 0.84 (if the unit is a coal-fired 

boiler), 0.15 (if the unit is a simple 

combustion turbine), or 0.66 (if the unit 

is a combined cycle turbine), multiplied 

by the unit’s maximum hourly load as 

reported in accordance with this subpart 

and by 8,760 hours/control period, and 

divided by 2,000 lb/ton; or 

(ii) For a unit listed in appendix A to 

this subpart, the sum of the unit’s SO2

emissions in the control period in the 

last three years during which the unit 

operated during the control period, 

divided by three. 

Permanently retired means, with 

regard to a unit, a unit that is 

unavailable for service and that the 

unit’s owners and operators do not 

expect to return to service in the future. 

Permitting authority means 

‘‘permitting authority’’ as defined in 

§§ 70.2 and 71.2 of this chapter. 

Potential electrical output capacity 

means 33 percent of a unit’s maximum 

design heat input, divided by 3,413 Btu/ 

kWh, divided by 1,000 kWh/MWh, and 

multiplied by 8,760 hr/yr. 

Receive or receipt of means, when 

referring to the Administrator, to come 

into possession of a document, 

information, or correspondence 

(whether sent in hard copy or by 

authorized electronic transmission), as 

indicated in an official log, or by a 

notation made on the document, 

information, or correspondence, by the 

Administrator in the regular course of 

business. 

Recordation, record, or recorded 

means, with regard to TR SO2 Group 2 

allowances, the moving of TR SO2

Group 2 allowances by the 

Administrator into, out of, or between 

Allowance Management System 

accounts, for purposes of allocation, 

transfer, or deduction. 

Reference method means any direct 

test method of sampling and analyzing 

for an air pollutant as specified in 

§ 75.22 of this chapter. 

Replacement, replace, or replaced 

means, with regard to a unit, the 

demolishing of a unit, or the permanent 

retirement and permanent disabling of a 

unit, and the construction of another 

unit (the replacement unit) to be used 

instead of the demolished or retired unit 

(the replaced unit). 

Sequential use of energy means: 

(1) For a topping-cycle unit, the use 

of reject heat from electricity production 

in a useful thermal energy application 

or process; or 

(2) For a bottoming-cycle unit, the use 

of reject heat from useful thermal energy 

application or process in electricity 

production. 

Serial number means, for a TR SO2

Group 2 allowance, the unique 

identification number assigned to each 

TR SO2 Group 2 allowance by the 

Administrator. 

Solid waste incineration unit means a 

stationary, fossil-fuel-fired boiler or 

stationary, fossil-fuel-fired combustion 

turbine that is a ‘‘solid waste 

incineration unit’’ as defined in section 

129(g)(1) of the Clean Air Act. 

Source means all buildings, 

structures, or installations located in 

one or more contiguous or adjacent 

properties under common control of the 

same person or persons. This definition 

does not change or otherwise affect the 

definition of ‘‘major source’’, ‘‘stationary 

source’’, or ‘‘source’’ as set forth and 

implemented in a title V operating 

permit program or any other program 

under the Clean Air Act. 

State means one of the States or the 

District of Columbia that is subject to 

the TR SO2 Group 2 Trading Program 

pursuant to § 52.38(c) of this chapter. 

Submit or serve means to send or 

transmit a document, information, or 

correspondence to the person specified 

in accordance with the applicable 

regulation: 

(1) In person; 

(2) By United States Postal Service; or 

(3) By other means of dispatch or 

transmission and delivery; 

(4) Provided that compliance with any 

‘‘submission’’ or ‘‘service’’ deadline shall 

be determined by the date of dispatch, 

transmission, or mailing and not the 

date of receipt. 

Topping-cycle unit means a unit in 

which the energy input to the unit is 

first used to produce useful power, 

including electricity, where at least 

some of the reject heat from the 

electricity production is then used to 

provide useful thermal energy. 

Total energy input means total energy 

of all forms supplied to a unit, 

excluding energy produced by the unit. 

Each form of energy supplied shall be 

measured by the lower heating value of 

that form of energy calculated as 

follows: 

LHV = HHV ¥ 10.55 (W + 9H) 

Where 

LHV = lower heating value of the form of 

energy in Btu/lb, 

HHV = higher heating value of the form of 

energy in Btu/lb, 

W = weight % of moisture in the form of 

energy, and 

H = weight % of hydrogen in the form of 

energy. 

Total energy output means the sum of 

useful power and useful thermal energy 

produced by the unit. 

TR NOX Annual Trading Program 

means a multi-state NOX air pollution 

control and emission reduction program 

established by the Administrator in 


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accordance with subpart AAAAA and 

52.37(a) of this chapter, as a means of 

mitigating interstate transport of fine 

particulates and NOX.

TR NOX Ozone Season Trading 

Program means a multi-state NOX air 

pollution control and emission 

reduction program established by the 

Administrator in accordance with 

subpart BBBBB of this part and 52.37(b) 

of this chapter, as a means of mitigating 

interstate transport of ozone and NOX.

TR SO2 Group 2 allowance means a 

limited authorization issued and 

allocated by the Administrator under 

this subpart to emit one ton of SO2

during a control period of the specified 

calendar year for which the 

authorization is allocated or of any 

calendar year thereafter under the TR 

SO2 Group 2 Trading Program. 

TR SO2 Group 2 allowance deduction 

or deduct TR SO2 Group 2 allowances 

means the permanent withdrawal of TR 

SO2 Group 2 allowances by the 

Administrator from a compliance 

account, e.g., in order to account for 

compliance with the TR SO2 Group 2 

emissions limitation or assurance 

provisions. 

TR SO2 Group 2 allowances held or 

hold TR SO2 Group 2 allowances means 

the TR SO2 Group 2 allowances treated 

as included in an Allowance 

Management System account as of a 

specified point in time because at that 

time they: 

(1) Have been recorded by the 

Administrator in the account or 

transferred into the account by a 

correctly submitted, but not yet 

recorded, TR SO2 Group 2 allowance 

transfer in accordance with this subpart; 

and 

(2) Have not been transferred out of 

the account by a correctly submitted, 

but not yet recorded, TR SO2 Group 2 

allowance transfer in accordance with 

this subpart. 

TR SO2 Group 2 emissions limitation 

means, for a TR SO2 Group 2 source, the 

tonnage of SO2 emissions authorized in 

a control period by the TR SO2 Group 

2 allowances available for deduction for 

the source under § 97.724(a) for such 

control period. 

TR SO2 Group 2 source means a 

source that includes one or more TR 

SO2 Group 2 units. 

TR SO2 Group 2 Trading Program 

means a multi-state SO2 air pollution 

control and emission reduction program 

established by the Administrator in 

accordance with this subpart and 

52.38(c) of this chapter, as a means of 

mitigating interstate transport of fine 

particulates and SO2.

TR SO2 Group 2 unit means a unit 

that is subject to the TR SO2 Group 2 

Trading Program under § 97.704. 

Unit means a stationary, fossil-fuelfired boiler, stationary, fossil-fuel-fired 

combustion turbine, or other stationary, 

fossil-fuel-fired combustion device. 

Unit operating day means a calendar 

day in which a unit combusts any fuel. 

Unit operating hour or hour of unit 

operation means an hour in which a 

unit combusts any fuel. 

Useful power means electricity or 

mechanical energy that a unit makes 

available for use, excluding any such 

energy used in the power production 

process (which process includes, but is 

not limited to, any on-site processing or 

treatment of fuel combusted at the unit 

and any on-site emission controls). 

Useful thermal energy means thermal 

energy that is: 

(1) Made available to an industrial or 

commercial process (not a power 

production process), excluding any heat 

contained in condensate return or 

makeup water; 

(2) Used in a heating application (e.g., 

space heating or domestic hot water 

heating); or 

(3) Used in a space cooling 

application (i.e., in an absorption 

chiller). 

Utility power distribution system 

means the portion of an electricity grid 

owned or operated by a utility and 

dedicated to delivering electricity to 

customers. 

§ 97.703 Measurements, abbreviations, 

and acronyms. 

Measurements, abbreviations, and 

acronyms used in this subpart are 

defined as follows: 

Btu—British thermal unit 

CO2—carbon dioxide 

H2O—water 

hr—hour 

kW—kilowatt electrical 

kWh—kilowatt hour 

lb—pound 

mmBtu—million Btu 

MWe—megawatt electrical 

MWh—megawatt hour 

NOX—nitrogen oxides 

O2—oxygen 

ppm—parts per million 

scfh—standard cubic feet per hour 

SO2—sulfur dioxide 

yr—year 

§ 97.704 Applicability. 

(a) Except as provided in paragraph 

(b) of this section: 

(1) The following units in a State shall 

be TR SO2 Group 2 units, and any 

source that includes one or more such 

units shall be a TR SO2 Group 2 source, 

subject to the requirements of this 

subpart: Any stationary, fossil-fuel-fired 

boiler or stationary, fossil-fuel-fired 

combustion turbine serving at any time, 

since the later of November 15, 1990 or 

the start-up of the unit’s combustion 

chamber, a generator with nameplate 

capacity of more than 25 MWe 

producing electricity for sale. 

(2) If a stationary boiler or stationary 

combustion turbine that, under 

paragraph (a)(1) of this section, is not a 

TR SO2 Group 2 unit begins to combust 

fossil fuel or to serve a generator with 

nameplate capacity of more than 25 

MWe producing electricity for sale, the 

unit shall become a TR SO2 Group 2 

unit as provided in paragraph (a)(1) of 

this section on the first date on which 

it both combusts fossil fuel and serves 

such generator. 

(b) Any unit in a State that otherwise 

is a TR SO2 Group 2 unit under 

paragraph (a) of this section and that 

meets the requirements set forth in 

paragraph (b)(1)(i), (b)(2)(i), or (b)(2)(ii) 

of this section shall not be a TR SO2

Group 2 unit: 

(1)(i) Any unit: 

(A) Qualifying as a cogeneration unit 

during the later of 1990 or the 12-month 

period starting on the date the unit first 

produces electricity and continuing to 

qualify as a cogeneration unit; and 

(B) Not serving at any time, since the 

later of November 15, 1990 or the startup of the unit’s combustion chamber, a 

generator with nameplate capacity of 

more than 25 MWe supplying in any 

calendar year more than one-third of the 

unit’s potential electric output capacity 

or 219,000 MWh, whichever is greater, 

to any utility power distribution system 

for sale. 

(ii) If a unit qualifies as a cogeneration 

unit during the later of 1990 or the 

12-month period starting on the date the 

unit first produces electricity and meets 

the requirements of paragraphs (b)(1)(i) 

of this section for at least one calendar 

year, but subsequently no longer meets 

such qualification and requirements, the 

unit shall become a TR SO2 Group 2 

unit starting on the earlier of January 1 

after the first calendar year during 

which the unit first no longer qualifies 

as a cogeneration unit or January 1 after 

the first calendar year during which the 

unit no longer meets the requirements of 

paragraph (b)(1)(i)(B) of this section. 

(2)(i) Any unit commencing operation 

before January 1, 1985: 

(A) Qualifying as a solid waste 

incineration unit during the later of 

1990 or the 12-month period starting on 

the date the unit first produces 

electricity and continuing to qualify as 

a solid waste incineration unit; and 

(B) With an average annual fuel 

consumption of fossil fuel for 1985– 

1987 less than 20 percent (on a Btu 


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basis) and an average annual fuel 

consumption of fossil fuel for any 3 

consecutive calendar years after 1990 

less than 20 percent (on a Btu basis). 

(ii) Any unit commencing operation 

on or after January 1, 1985: 

(A) Qualifying as a solid waste 

incineration unit during the later of 

1990 or the 12-month period starting on 

the date the unit first produces 

electricity and continuing to qualify as 

a solid waste incineration unit; and 

(B) With an average annual fuel 

consumption of fossil fuel for the first 

3 calendar years of operation less than 

20 percent (on a Btu basis) and an 

average annual fuel consumption of 

fossil fuel for any 3 consecutive 

calendar years after 1990 less than 20 

percent (on a Btu basis). 

(iii) If a unit qualifies as a solid waste 

incineration unit during the later of 

1990 or the 12-month period starting on 

the date the unit first produces 

electricity and meets the requirements 

of paragraph (b)(2)(i) or (ii) of this 

section for at least 3 consecutive 

calendar years, but subsequently no 

longer meets such qualification and 

requirements, the unit shall become a 

TR SO2 Group 2 unit starting on the 

earlier of January 1 after the first 

calendar year during which the unit first 

no longer qualifies as a solid waste 

incineration unit or January 1 after the 

first 3 consecutive calendar years after 

1990 for which the unit has an average 

annual fuel consumption of fossil fuel of 

20 percent or more. 

(c) A certifying official of an owner or 

operator of any unit or other equipment 

may submit a petition (including any 

supporting documents) to the 

Administrator at any time for a 

determination concerning the 

applicability, under paragraphs (a) and 

(b) of this section, of the TR SO2 Group 

2 Trading Program to the unit or other 

equipment. 

(1) Petition content. The petition shall 

be in writing and include the 

identification of the unit or other 

equipment and the relevant facts about 

the unit or other equipment. The 

petition and any other documents 

provided to the Administrator in 

connection with the petition shall 

include the following certification 

statement, signed by the certifying 

official: ‘‘I am authorized to make this 

submission on behalf of the owners and 

operators of the unit or other equipment 

for which the submission is made. I 

certify under penalty of law that I have 

personally examined, and am familiar 

with, the statements and information 

submitted in this document and all its 

attachments. Based on my inquiry of 

those individuals with primary 

responsibility for obtaining the 

information, I certify that the statements 

and information are to the best of my 

knowledge and belief true, accurate, and 

complete. I am aware that there are 

significant penalties for submitting false 

statements and information or omitting 

required statements and information, 

including the possibility of fine or 

imprisonment.’’ 

(2) Response. The Administrator will 

issue a written response to the petition 

and may request supplemental 

information determined by the 

Administrator to be relevant to such 

petition. The Administrator’s 

determination concerning the 

applicability, under paragraphs (a) and 

(b) of this section, of the TR SO2 Group 

2 Trading Program to the unit or other 

equipment shall be binding on any 

permitting authority unless the 

Administrator determines that the 

petition or other documents or 

information provided in connection 

with the petition contained significant, 

relevant errors or omissions. 

§ 97.705 Retired unit exemption. 

(a)(1) Any TR SO2 Group 2 unit that 

is permanently retired and is not a TR 

SO2 Group 2 opt-in unit shall be exempt 

from § 97.706(b) and (c)(1), § 97.724, 

and §§ 97.730 through 97.735. 

(2) The exemption under paragraph 

(a)(1) of this section shall become 

effective the day on which the TR SO2

Group 2 unit is permanently retired. 

Within 30 days of the unit’s permanent 

retirement, the designated 

representative shall submit a statement 

to the Administrator. The statement 

shall state, in a format prescribed by the 

Administrator, that the unit was 

permanently retired on a specified date 

and will comply with the requirements 

of paragraph (b) of this section. 

(b) Special provisions. (1) A unit 

exempt under paragraph (a) of this 

section shall not emit any SO2, starting 

on the date that the exemption takes 

effect. 

(2) For a period of 5 years from the 

date the records are created, the owners 

and operators of a unit exempt under 

paragraph (a) of this section shall retain, 

at the source that includes the unit, 

records demonstrating that the unit is 

permanently retired. The 5-year period 

for keeping records may be extended for 

cause, at any time before the end of the 

period, in writing by the Administrator. 

The owners and operators bear the 

burden of proof that the unit is 

permanently retired. 

(3) The owners and operators and, to 

the extent applicable, the designated 

representative of a unit exempt under 

paragraph (a) of this section shall 

comply with the requirements of the TR 

SO2 Group 2 Trading Program 

concerning all periods for which the 

exemption is not in effect, even if such 

requirements arise, or must be complied 

with, after the exemption takes effect. 

(4) A unit exempt under paragraph (a) 

of this section shall lose its exemption 

on the first date on which the unit 

resumes operation. Such unit shall be 

treated, for purposes of applying 

allocation, monitoring, reporting, and 

recordkeeping requirements under this 

subpart, as a unit that commences 

commercial operation on the first date 

on which the unit resumes operation. 

§ 97.706 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 

§§ 97.713 through 97.718. 

(b) Emissions monitoring, reporting, 

and recordkeeping requirements. (1) 

The owners and operators, and the 

designated representative, of each TR 

SO2 Group 2 source and each TR SO2

Group 2 unit at the source shall comply 

with the monitoring, reporting, and 

recordkeeping requirements of §§ 97.730 

through 97.735. 

(2) The emissions data determined in 

accordance with §§ 97.730 through 

97.735 shall be used to calculate 

allocations of TR SO2 Group 2 

allowances under §§ 97.711(a)(2) and (b) 

and 97.712 and to determine 

compliance with the TR SO2 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 

§§ 97.730 through 97.735 and rounded 

to the nearest ton, with any fraction of 

a ton less than 0.50 being deemed to be 

zero. 

(c) SO2 emissions requirements. (1) 

TR SO2 Group 2 emissions limitation. (i) 

As of the allowance transfer deadline for 

a control period, the owners and 

operators of each TR SO2 Group 2 

source and each TR SO2 Group 2 unit 

at the source shall hold, in the source’s 

compliance account, TR SO2 Group 2 

allowances available for deduction for 

such control period under § 97.724(a) in 

an amount not less than the tons of total 

SO2 emissions for such control period 

from all TR SO2 Group 2 units at the 

source. 


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(ii) If a TR SO2 Group 2 source emits 

SO2 during any control period in excess 

of the TR SO2 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 TR SO2 Group 2 unit 

at the source shall hold the TR SO2

Group 2 allowances required for 

deduction under § 97.724(d) and pay 

any fine, penalty, or assessment or 

comply with any other remedy imposed, 

for the same violations, under the Clean 

Air Act; and 

(B) 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) TR SO2 Group 2 assurance 

provisions. (i) If the total amount of SO2

emissions from all TR SO2 Group 2 

units in a State during a control period 

in 2014 or any year thereafter exceeds 

the State assurance level as described in 

paragraph (c)(2)(iii) of this section, then 

each owner whose share of such SO2

emissions during such control period 

exceeds the owner’s assurance level for 

the State and such control period shall 

hold, in a compliance account 

designated by the owner in accordance 

with § 97.725(b)(4)(ii), TR SO2 Group 2 

allowances available for deduction for 

such control period under § 97.725(a) in 

an amount equal to the product, as 

determined by the Administrator in 

accordance with § 97.725(b), of 

multiplying— 

(A) The quotient (rounded to the 

nearest whole number) of the amount by 

which the owner’s share of such SO2

emissions exceeds the owner’s 

assurance level divided by the sum of 

the amounts, determined for all such 

owners, by which each owner’s share of 

such SO2 emissions exceeds that 

owner’s assurance level; and 

(B) The amount by which total SO2

emissions for all TR SO2 Group 2 units 

in the State for such control period 

exceed the State assurance level as 

determined in accordance with 

paragraph (c)(2)(iii) of this section. 

(ii) The owner shall hold the TR SO2

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 

such control period. 

(iii) The total amount of SO2

emissions from all TR SO2 Group 2 

units in a State during a control period 

in 2014 or any year thereafter exceeds 

the State assurance level: 

(A) If such total amount of SO2

emissions exceeds the sum, for such 

control period, of the State SO2 Group 

2 trading budget and the State’s oneyear variability limit under § 97.710(b); 

or 

(B) If, with regard to a control period 

in 2016 or any year thereafter, the sum, 

divided by three, of such total amount 

of SO2 emissions and the total amounts 

of SO2 emissions from all TR SO2 Group 

2 units in the State during the control 

periods in the immediately preceding 

two years exceeds the sum, for such 

control period, of the State SO2 Group 

2 trading budget and the State’s threeyear variability limit under § 97.710(b); 

(C) Provided that the amount by 

which such total amount of SO2

emissions exceeds the State assurance 

level shall be the greater of the amounts 

of the exceedance calculated under 

paragraph (c)(2)(iii)(A) of this section 

and under paragraph (c)(2)(iii)(B) of this 

section. 

(iv) It shall not be a violation of this 

subpart or of the Clean Air Act if the 

total amount of SO2 emissions from all 

TR SO2 Group 2 units in a State during 

a control period exceeds the State 

assurance level or if an owner’s share of 

total SO2 emissions from the TR SO2

Group 2 units in a State during a control 

period exceeds the owner’s assurance 

level. 

(v) To the extent an owner fails to 

hold TR SO2 Group 2 allowances for a 

control period in accordance with 

paragraphs (c)(2)(i) and (ii) of this 

section, 

(A) The owner shall pay any fine, 

penalty, or assessment or comply with 

any other remedy imposed under the 

Clean Air Act; and 

(B) Each TR SO2 Group 2 allowance 

that the owner fails to hold for a control 

period in accordance with paragraphs 

(c)(2)(i) and (ii) 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. A TR SO2

Group 2 unit shall be subject to the 

requirements: 

(i) Under paragraph (c)(1) of this 

section for the control period starting on 

the later of January 1, 2012 or the 

deadline for meeting the unit’s monitor 

certification requirements under 

§ 97.730(b) and for each control period 

thereafter; and 

(ii) Under paragraph (c)(2) of this 

section for the control period starting on 

the later of January 1, 2014 or the 

deadline for meeting the unit’s monitor 

certification requirements under 

§ 97.730(b) and for each control period 

thereafter. 

(4) Vintage of deducted allowances. A 

TR SO2 Group 2 allowance shall not be 

deducted, for compliance with the 

requirements under paragraphs (c)(1) 

and (2) of this section, for a control 

period in a calendar year before the year 

for which the TR SO2 Group 2 

allowance was allocated. 

(5) Allowance Management System 

requirements. Each TR SO2 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. (i) A TR 

SO2 Group 2 allowance is a limited 

authorization to emit one ton of SO2 in 

accordance with the TR SO2 Group 2 

Trading Program. 

(ii) Notwithstanding any other 

provision of this subpart, the 

Administrator has the authority to 

terminate or limit 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 TR SO2 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 TR SO2 Group 2 

allowances in accordance with this 

subpart. 

(2) A description of whether a unit is 

required to monitor and report SO2

emissions using a continuous emission 

monitoring system (under §§ 75.10, 

75.11, and 75.16 of this chapter), an 

excepted monitoring system (under 

appendix D 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 §§ 97.730 through 97.735 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 TR SO2 Group 2 

source and each TR SO2 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 


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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 § 97.716 for the designated 

representative for the source and each 

TR SO2 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 

documents are superseded because of 

the submission of a new certificate of 

representation under § 97.716 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 TR SO2 Group 2 

Trading Program, including any 

monitoring plans and monitoring 

system certification and recertification 

applications. 

(2) The designated representative of a 

TR SO2 Group 2 source and each TR 

SO2 Group 2 unit at the source shall 

make all submissions required under 

the TR SO2 Group 2 Trading Program, 

including any submissions required for 

compliance with the TR SO2 Group 2 

assurance provisions. 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 

TR SO2 Group 2 Trading Program that 

applies to a TR SO2 Group 2 source or 

the designated representative of a TR 

SO2 Group 2 source shall also apply to 

the owners and operators of such source 

and of the TR SO2 Group 2 units at the 

source. 

(2) Any provision of the TR SO2

Group 2 Trading Program that applies to 

a TR SO2 Group 2 unit or the designated 

representative of a TR SO2 Group 2 unit 

shall also apply to the owners and 

operators of such unit. 

(g) Effect on other authorities. No 

provision of the TR SO2 Group 2 

Trading Program or exemption under 

§ 97.705 shall be construed as 

exempting or excluding the owners and 

operators, and the designated 

representative, of a TR SO2 Group 2 

source or TR SO2 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. 

§ 97.707 Computation of time. 

(a) Unless otherwise stated, any time 

period scheduled, under the TR SO2

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 TR SO2

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 TR 

SO2 Group 2 Trading Program, falls on 

a weekend or a State or Federal holiday, 

the time period shall be extended to the 

next business day. 

§ 97.708 Administrative appeal 

procedures. 

The administrative appeal procedures 

for decisions of the Administrator under 

the TR SO2 Group 2 Trading Program 

are set forth in part 78 of this chapter. 

§ 97.709 [Reserved] 

§ 97.710 State SO2 Group 2 trading 

budgets, new-unit set-asides, and variability 

limits. 

(a) The State SO2 Group 2 trading 

budgets and new-unit set-asides for 

allocations of TR SO2 Group 2 

allowances for the control periods in 

2012 and thereafter are as follows: 

State 

SO2 group 2 

trading budget 

(tons) * 

New-unit 

set-aside 

(tons) 

For 2012 and 

thereafter 

For 2012 and 

thereafter 

Alabama ........................................................................................................................................................... 161,871 4,856 

Connecticut ...................................................................................................................................................... 3,059 92 

Delaware .......................................................................................................................................................... 7,784 234 

District of Columbia ......................................................................................................................................... 337 10 

Florida .............................................................................................................................................................. 161,739 4,852 

Kansas ............................................................................................................................................................. 57,275 1,718 

Louisiana .......................................................................................................................................................... 90,477 2,714 

Maryland .......................................................................................................................................................... 39,665 1,190 

Massachusetts ................................................................................................................................................. 7,902 237 

Minnesota ........................................................................................................................................................ 47,101 1,413 

Nebraska .......................................................................................................................................................... 71,598 2,148 

New Jersey ...................................................................................................................................................... 11,291 339 

South Carolina ................................................................................................................................................. 116,483 3,494 

Total .......................................................................................................................................................... 776,582 23,297 

* Without variability limits. 

(b) The States’ one-year and three-year 

variability limits for the State SO2

Group 2 trading budgets for the control 

periods in 2014 and thereafter are as 

follows: 


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State 

One-year 

variability 

limits 

Three-year 

variability 

limits 

2014 and thereafter 

(tons) 

2016 and 

thereafter 

(tons) 

Alabama ........................................................................................................................................................... 16,187 9,346 

Connecticut ...................................................................................................................................................... 1,700 981 

Delaware .......................................................................................................................................................... 1,700 981 

District of Columbia ......................................................................................................................................... 1,700 981 

Florida .............................................................................................................................................................. 16,174 9,338 

Kansas ............................................................................................................................................................. 5,728 3,307 

Louisiana .......................................................................................................................................................... 9,048 5,224 

Maryland .......................................................................................................................................................... 3,967 2,290 

Massachusetts ................................................................................................................................................. 1,700 981 

Minnesota ........................................................................................................................................................ 4,710 2,719 

Nebraska .......................................................................................................................................................... 7,160 4,134 

New Jersey ...................................................................................................................................................... 1,700 981 

South Carolina ................................................................................................................................................. 11,648 6,725 

§ 97.711 Timing requirements for TR SO2

Group 2 allowance allocations. 

(a) Existing units. (1) TR SO2 Group 2 

allowances are allocated, for the control 

periods in 2012 and each year 

thereafter, as set forth in appendix A to 

this subpart. Listing a unit in such 

appendix does not constitute a 

determination that the unit is a TR SO2

Group 2 unit, and not listing a unit in 

such appendix does not constitute a 

determination that the unit is not a TR 

SO2 Group 2 unit. 

(2) Notwithstanding paragraph (a)(1) 

of this section, if a unit listed in 

appendix A to this subpart as being 

allocated TR SO2 Group 2 allowances 

does not operate, starting after 2011, 

during the control period in three 

consecutive years, such unit will not be 

allocated the TR SO2 Group 2 

allowances set forth in appendix A to 

this subpart for the unit for the control 

periods in the seventh year after the first 

such year and in each year after that 

seventh year. All TR SO2 Group 2 

allowances that would otherwise have 

been allocated to such unit will be 

allocated to the new unit set-aside for 

the respective years involved. If such 

unit resumes operation, the 

Administrator will allocate TR SO2

Group 2 allowances to the unit in 

accordance with paragraph (b) of this 

section. 

(b) New units. (1) By July 1, 2012, and 

July 1 of each year thereafter, the 

Administrator will calculate the TR SO2

Group 2 allowance allocation for each 

TR SO2 Group 2 unit, in accordance 

with § 97.712, for the control period in 

the year of the applicable calculation 

deadline under this paragraph and will 

promulgate a notice of availability of the 

results of the calculations. 

(2) For each notice of data availability 

required in paragraph (b)(1) of this 

section, the Administrator will provide 

an opportunity for submission of 

objections to the calculations referenced 

in such notice. 

(i) Objections shall be submitted by 

the deadline specified in such notice 

and shall be limited to addressing 

whether the calculations are in 

accordance with § 97.712 and 

§§ 97.706(b)(2) and 97.730 through 

97.735. 

(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 September 1 

immediately after the promulgation of 

such notice, the Administrator will 

promulgate a notice of availability of 

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. 

(c) Units that are not TR SO2 Group 

2 units. For each control period in 2012 

and thereafter, if the Administrator 

determines that TR SO2 Group 2 

allowances were allocated under 

paragraph (a) of this section for the 

control period to a recipient that is not 

actually a TR SO2 Group 2 unit under 

§ 97.704 as of January 1, 2012, or whose 

deadline for meeting monitor 

certification requirements under 

§ 97.730(b)(1) and (2) is after January 1, 

2012, or if the Administrator determines 

that TR SO2 Group 2 allowances were 

allocated under paragraph (b) of this 

section and § 97.712 for the control 

period to a recipient that is not actually 

a TR SO2 Group 2 unit under § 97.704 

as of January 1 of the control period, 

then the Administrator will notify the 

designated representative and will act in 

accordance with the following 

procedures: 

(1) Except as provided in paragraph 

(c)(2) or (3) of this section, the 

Administrator will not record such TR 

SO2 Group 2 allowances under § 97.721. 

(2) If the Administrator already 

recorded such TR SO2 Group 2 

allowances under § 97.721 and if the 

Administrator makes such 

determination before making deductions 

for the source that includes such 

recipient under § 97.724(b) for such 

control period, then the Administrator 

will deduct from the account in which 

such TR SO2 Group 2 allowances were 

recorded an amount of TR SO2 Group 2 

allowances allocated for the same or a 

prior control period equal to the amount 

of such already recorded TR SO2 Group 

2 allowances. The authorized account 

representative shall ensure that there are 

sufficient TR SO2 Group 2 allowances in 

such account for completion of the 

deduction. 

(3) If the Administrator already 

recorded such TR SO2 Group 2 

allowances under § 97.721 and if the 

Administrator makes such 

determination after making deductions 

for the source that includes such 

recipient under § 97.724(b) for such 

control period, then the Administrator 

will not make any deduction to take 

account of such already recorded TR 

SO2 Group 2 allowances. 

(4) The Administrator will transfer the 

TR SO2 Group 2 allowances that are not 

recorded, or that are deducted, in 

accordance with paragraphs (c)(1) and 

(2) of this section to the new unit setaside, for the State in which such 

recipient is located, for the control 

period in the year of such transfer if the 

notice required in paragraph (b)(1) of 

this section for the control period in that 

year has not been promulgated or, such 

notice has been promulgated, in the 

next year. 


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§ 97.712 TR SO2 Group 2 allowance 

allocations for new units. 

(a) For each control period in 2012 

and thereafter, the Administrator will 

allocate, in accordance with the 

following procedures, TR SO2 Group 2 

allowances to TR SO2 Group 2 units in 

a State that are not listed in appendix 

A to this subpart, to TR SO2 Group 2 

units that are so listed and whose 

allocation of SO2 Group 2 allowances 

for such control period is covered by 

§ 97.711(c)(1) or (2), and to TR SO2

Group 2 units that are so listed and, 

pursuant to § 97.711(a)(2), are not 

allocated TR SO2 Group 2 allowances 

for such control period but that operate 

during the immediately preceding 

control period: 

(1) The Administrator will establish a 

separate new unit set-aside for each 

State for each control period in a given 

year. Each new unit set-aside will be 

allocated TR SO2 Group 2 allowances in 

an amount equal to the applicable 

amount of tons of SO2 emissions as set 

forth in § 97.710(a). Each new unit setaside will be allocated additional TR 

SO2 Group 2 allowances in accordance 

with § 97.711(a)(2) and (c)(4). 

(2) The designated representative of 

such TR SO2 Group 2 unit may submit 

to the Administrator a request, in a 

format prescribed by the Administrator, 

to be allocated TR SO2 Group 2 

allowances for a control period, starting 

with the later of the control period in 

2012, the first control period after the 

control period in which the TR SO2

Group 2 unit commences commercial 

operation (for a unit not listed in 

appendix A to this subpart), or the first 

control period after the control period in 

which the unit resumes operation (for a 

unit listed in appendix A of this 

subpart) and for each subsequent 

control period. 

(i) The request must be submitted on 

or before May 1 of the first control 

period for which TR SO2 Group 2 

allowances are sought and after the date 

on which the TR SO2 Group 2 unit 

commences commercial operation (for a 

unit not listed in appendix A of this 

subpart) or on which the unit resumes 

operation (for a unit listed in appendix 

A of this subpart). 

(ii) For each control period for which 

an allocation is sought, the request must 

be for TR SO2 Group 2 allowances in an 

amount equal to the unit’s total tons of 

SO2 emissions during the immediately 

preceding control period. 

(3) The Administrator will review 

each TR SO2 Group 2 allowance 

allocation request under paragraph 

(a)(2) of this section and will accept the 

request only if it meets the requirements 

of paragraph (a)(2) of this section. The 

Administrator will allocate TR SO2

Group 2 allowances for each control 

period pursuant to an accepted request 

as follows: 

(i) After May 1 of such control period, 

the Administrator will determine the 

sum of the TR SO2 Group 2 allowances 

requested in all accepted allowance 

allocation requests for such control 

period. 

(ii) If the amount of TR SO2 Group 2 

allowances in the new unit set-aside for 

such control period is greater than or 

equal to the sum under paragraph 

(a)(3)(i) of this section, then the 

Administrator will allocate the amount 

of TR SO2 Group 2 allowances requested 

to each TR SO2 Group 2 unit covered by 

an accepted allowance allocation 

request. 

(iii) If the amount of TR SO2 Group 2 

allowances in the new unit set-aside for 

such control period is less than the sum 

under paragraph (a)(3)(i) of this section, 

then the Administrator will allocate to 

each TR SO2 Group 2 unit covered by 

an accepted allowance allocation 

request the amount of the TR SO2 Group 

2 allowances requested, multiplied by 

the amount of TR SO2 Group 2 

allowances in the new unit set-aside for 

such control period, divided by the sum 

determined under paragraph (a)(3)(i) of 

this section, and rounded to the nearest 

allowance. 

(iv) The Administrator will notify, 

through the promulgation of the notices 

of data availability described in 

§ 97.711(b), each designated 

representative that submitted an 

allowance allocation request of the 

amount of TR SO2 Group 2 allowances 

(if any) allocated for such control period 

to the TR SO2 Group 2 unit covered by 

the request. 

(b) If, after completion of the 

procedures under paragraph (a)(4) of 

this section for a control period, any 

unallocated TR SO2 Group 2 allowances 

remain in the new unit set-aside under 

paragraph (a) of this section for a State 

for such control period, the 

Administrator will allocate to each TR 

SO2 Group 2 unit that is in the State, is 

listed in appendix A to this subpart, and 

continues to be allocated TR SO2 Group 

2 allowances for such control period in 

accordance with § 97.711(a)(2), an 

amount of TR SO2 Group 2 allowances 

equal to the following: The total amount 

of such remaining unallocated TR SO2

Group 2 allowances in such new unit 

set-aside, multiplied by the unit’s 

allocation under § 97.711(a) for such 

control period, divided by the 

remainder of the amount of tons in the 

applicable State SO2 Group 2 trading 

budget minus the amount of tons in 

such new unit set-aside, and rounded to 

the nearest allowance. 

§ 97.713 Authorization of designated 

representative and alternate designated 

representative. 

(a) Except as provided under § 97.715, 

each TR SO2 Group 2 source, including 

all TR SO2 Group 2 units at the source, 

shall have one and only one designated 

representative, with regard to all matters 

under the TR SO2 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 TR SO2 Group 2 units 

at the source and shall act in accordance 

with the certification statement in 

§ 97.716(a)(4)(iii). 

(2) Upon and after receipt by the 

Administrator of a complete certificate 

of representation under § 97.716: 

(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 TR SO2 Group 2 unit at the 

source in all matters pertaining to the 

TR SO2 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 TR SO2 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 § 97.715, 

each TR SO2 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 TR SO2

Group 2 units at the source and shall act 

in accordance with the certification 

statement in § 97.716(a)(4)(iii). 

(2) Upon and after receipt by the 

Administrator of a complete certificate 

of representation under § 97.716, 

(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, 


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inaction, or submission by the 

designated representative; and 

(iii) The owners and operators of the 

source and each TR SO2 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, § 97.702, 

and §§ 97.714 through 97.718, whenever 

the term ‘‘designated representative’’ is 

used in this subpart, the term shall be 

construed to include the designated 

representative or any alternate 

designated representative. 

§ 97.714 Responsibilities of designated 

representative and alternate designated 

representative. 

(a) Except as provided under § 97.718 

concerning delegation of authority to 

make submissions, each submission 

under the TR SO2 Group 2 Trading 

Program shall be made, signed, and 

certified by the designated 

representative or alternate designated 

representative for each TR SO2 Group 2 

source and TR SO2 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 TR SO2

Group 2 source or a TR SO2 Group 2 

unit only if the submission has been 

made, signed, and certified in 

accordance with paragraph (a) of this 

section and § 97.718. 

§ 97.715 Changing designated 

representative and alternate designated 

representative; changes in owners and 

operators. 

(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 § 97.716. 

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 TR SO2 Group 2 source 

and the TR SO2 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 § 97.716. 

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 TR SO2

Group 2 source and the TR SO2 Group 

2 units at the source. 

(c) Changes in owners and operators. 

(1) In the event an owner or operator of 

a TR SO2 Group 2 source or a TR SO2

Group 2 unit is not included in the list 

of owners and operators in the 

certificate of representation under 

§ 97.716, 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 TR SO2

Group 2 source or a TR SO2 Group 2 

unit, including the addition of a new 

owner or operator, the designated 

representative or any alternate 

designated representative shall submit a 

revision to the certificate of 

representation under § 97.716 amending 

the list of owners and operators to 

include the change. 

§ 97.716 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 TR SO2 Group 

2 source, and each TR SO2 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, and actual or 

projected date of commencement of 

commercial operation. 

(2) The name, address, e-mail 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 TR SO2 Group 2 source and of 

each TR SO2 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 TR 

SO2 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 TR 

SO2 Group 2 Trading Program on behalf 

of the owners and operators of the 

source and of each TR SO2 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 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 TR SO2 Group 2 

unit, or where a utility or industrial 

customer purchases power from a TR 

SO2 Group 2 unit under a life-of-theunit, 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 TR 

SO2 Group 2 unit at the source; and TR 

SO2 Group 2 allowances and proceeds 

of transactions involving TR SO2 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 TR SO2 Group 2 

allowances by contract, TR SO2 Group 

2 allowances and proceeds of 

transactions involving TR SO2 Group 2 


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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. 

§ 97.717 Objections concerning 

designated representative and alternate 

designated representative. 

(a) Once a complete certificate of 

representation under § 97.716 has been 

submitted and received, the 

Administrator will rely on the certificate 

of representation unless and until a 

superseding complete certificate of 

representation under § 97.716 is 

received by the Administrator. 

(b) Except as provided in § 97.715(a) 

or (b), 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 TR SO2 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 TR 

SO2 Group 2 allowance transfers. 

§ 97.718 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 

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, e-mail address, 

telephone number, and facsimile 

transmission number (if any) of such 

designated representative or alternate 

designated representative; 

(2) The name, address, e-mail address, 

telephone number, and facsimile 

transmission number (if any) of each 

such natural person (referred to as an 

‘‘agent’’); 

(3) For each such natural person, a list 

of the type or types of electronic 

submissions under paragraph (a) or (b) 

of this section for which authority is 

delegated to him or her; and 

(4) The following certification 

statements by such 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 

97.718(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 97.718(d), I 

agree to maintain an e-mail account and 

to notify the Administrator immediately 

of any change in my e-mail address 

unless all delegation of authority by me 

under 40 CFR 97.718 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. 

§ 97.719 [Reserved] 

§ 97.720 Establishment of Allowance 

Management System accounts. 

(a) Compliance accounts. Upon 

receipt of a complete certificate of 

representation under § 97.716, the 

Administrator will establish a 

compliance account for the TR SO2

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) General accounts—(1) Application 

for general account. (i) Any person may 

apply to open a general account, for the 

purpose of holding and transferring TR 

SO2 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 TR SO2 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, e-mail 

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 


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represent their ownership interest with 

respect to the TR SO2 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 TR SO2 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 TR SO2 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 

order or decision issued to me by the 

Administrator regarding the general 

account.’’ 

(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. 

(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 (b)(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 TR 

SO2 Group 2 allowances held in the 

general account in all matters pertaining 

to the TR SO2 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 TR 

SO2 Group 2 allowances held in the 

general account shall be bound by any 

order or decision issued to the 

authorized account representative or 

alternate authorized account 

representative by the Administrator 

regarding the general account. 

(ii) Except as provided in paragraph 

(b)(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 TR 

SO2 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 

TR SO2 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. 

(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 

(b)(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 TR SO2 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 (b)(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 

TR SO2 Group 2 allowances in the 

general account. 

(iii)(A) In the event a person having 

an ownership interest with respect to 

TR SO2 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 SO2 Group 2 

allowances in the general account, 

including the addition of a new 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 

TR SO2 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 (b)(1) 

of this section has been submitted and 

received, the Administrator will rely on 

the application unless and until a 

superseding complete application for a 

general account under paragraph (b)(1) 

of this section is received by the 

Administrator. 

(ii) Except as provided in paragraph 

(b)(3)(i) or (ii) of this section, no 

objection or other communication 

submitted to the Administrator 

concerning the authorization, or any 


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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 TR SO2 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 TR 

SO2 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 

make an electronic submission to the 

Administrator in accordance with 

paragraph (b)(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, e-mail 

address, telephone number, and 

facsimile transmission number (if any) 

of such authorized account 

representative or alternate authorized 

account representative; 

(B) The name, address, e-mail 

address, telephone number, and 

facsimile transmission number (if any) 

of each such natural person (referred to 

as an ‘‘agent’’); 

(C) For each such natural person, a 

list of the type or types of electronic 

submissions under paragraph (b)(5)(i) or 

(ii) of this section for which authority is 

delegated to him or her; 

(D) The following certification 

statement by such 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 

representative, as appropriate, and 

before this notice of delegation is 

superseded by another notice of 

delegation under 40 CFR 

97.720(b)(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 97.720(b)(5)(iv), I agree to maintain 

an e-mail account and to notify the 

Administrator immediately of any 

change in my e-mail address unless all 

delegation of authority by me under 40 

CFR 97.720(b)(5) is terminated.’’. 

(iv) A notice of delegation submitted 

under paragraph (b)(5)(iii) of this 

section shall be effective, with regard to 

the 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 

(b)(5)(iii)(D) of this section and made in 

accordance with a notice of delegation 

effective under paragraph (b)(5)(iv) of 

this section shall be deemed to be an 

electronic submission by the designated 

representative or alternate designated 

representative submitting such notice of 

delegation. 

(6)(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 TR SO2 Group 2 

allowance transfer under § 97.722 for 

any TR SO2 Group 2 allowances in the 

account to one or more other Allowance 

Management System accounts. 

(ii) If a general account has no TR SO2

Group 2 allowance transfers to or from 

the account for a 12-month period or 

longer and does not contain any TR SO2

Group 2 allowances, the Administrator 

may notify the authorized account 

representative for the account that the 

account will be closed 20 business days 

after the notice is sent. The account will 

be closed after the 20-day period unless, 

before the end of the 20-day period, the 

Administrator receives a correctly 

submitted TR SO2 Group 2 allowance 

transfer under § 97.722 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. 

(c) Account identification. The 

Administrator will assign a unique 

identifying number to each account 

established under paragraph (a) or (b) of 

this section. 

(d) Responsibilities of authorized 

account representative and alternate 

authorized account representative. After 

the establishment of an Allowance 

Management System 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 TR SO2 Group 2 

allowances in the account, only if the 

submission has been made, signed, and 

certified in accordance with §§ 97.714(a) 

and 97.718 or paragraphs (b)(2)(ii) and 

(b)(5) of this section. 

§ 97.721 Recordation of TR SO2 Group 2 

allowance allocations. 

(a) By September 1, 2011, the 

Administrator will record in each TR 

SO2 Group 2 source’s compliance 

account the TR SO2 Group 2 allowances 

allocated for the TR SO2 Group 2 units 

at the source in accordance with 

§§ 97.711(a) for the control periods in 

2012, 2013, and 2014. 

(b) By June 1, 2012 and June 1 of each 

year thereafter, the Administrator will 

record in each TR SO2 Group 2 source’s 

compliance account the TR SO2 Group 

2 allowances allocated for the TR SO2

Group 2 units at the source in 

accordance with § 97.711(a) for the 

control period in the third year after the 

year of the applicable recordation 

deadline under this paragraph. 

(c) By September 1, 2012 and 

September 1 of each year thereafter, the 

Administrator will record in each TR 

SO2 Group 2 source’s compliance 

account the TR SO2 Group 2 allowances 

allocated for the TR SO2 Group 2 units 

at the source in accordance with 

§ 97.712 for the control period in the 

year of the applicable recordation 

deadline under this paragraph. 

(d) When recording the allocation of 

TR SO2 Group 2 allowances for a TR 

SO2 Group 2 unit in a compliance 


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account, the Administrator will assign 

each TR SO2 Group 2 allowance a 

unique identification number that will 

include digits identifying the year of the 

control period for which the TR SO2

Group 2 allowance is allocated. 

§ 97.722 Submission of TR SO2 Group 2 

allowance transfers. 

(a) An authorized account 

representative seeking recordation of a 

TR SO2 Group 2 allowance transfer shall 

submit the transfer to the Administrator. 

(b) A TR SO2 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 TR SO2

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 TR SO2 Group 2 

allowance identified by serial number in 

the transfer. 

§ 97.723 Recordation of TR SO2 Group 2 

allowance transfers. 

(a) Within 5 business days (except as 

provided in paragraph (b) of this 

section) of receiving a TR SO2 Group 2 

allowance transfer, the Administrator 

will record a TR SO2 Group 2 allowance 

transfer by moving each TR SO2 Group 

2 allowance from the transferor account 

to the transferee account as specified by 

the request, provided that the transfer is 

correctly submitted under § 97.722. 

(b)(1) A TR SO2 Group 2 allowance 

transfer that is submitted for recordation 

after the allowance transfer deadline for 

a control period and that includes any 

TR SO2 Group 2 allowances allocated 

for any control period before such 

allowance transfer deadline will not be 

recorded until after the Administrator 

completes the deductions under 

§ 97.724 for the control period 

immediately before such allowance 

transfer deadline. 

(2) A TR SO2 Group 2 allowance 

transfer that is submitted for recordation 

after the deadline for holding TR SO2

Group 2 allowances described in 

§ 97.725(b)(5) and that includes any TR 

SO2 Group 2 allowances allocated for a 

control period before the year of such 

deadline will not be recorded until after 

the Administrator completes the 

deductions under § 97.725 for the 

control period immediately before the 

year of such deadline. 

(c) Where a TR SO2 Group 2 

allowance transfer is not correctly 

submitted under § 97.722, the 

Administrator will not record such 

transfer. 

(d) Within 5 business days of 

recordation of a TR SO2 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 TR SO2 Group 2 allowance transfer 

that is not correctly submitted under 

§ 97.722, 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 nonrecordation. 

§ 97.724 Compliance with TR SO2 Group 2 

emissions limitation. 

(a) Availability for deduction for 

compliance. TR SO2 Group 2 allowances 

are available to be deducted for 

compliance with a source’s TR SO2

Group 2 emissions limitation for a 

control period in a given year only if the 

TR SO2 Group 2 allowances: 

(1) Were allocated for the control 

period in the year or a prior year; and 

(2) Are held in the source’s 

compliance account as of the allowance 

transfer deadline for such control 

period. 

(b) Deductions for compliance. After 

the recordation, in accordance with 

§ 97.723, of TR SO2 Group 2 allowance 

transfers submitted by the allowance 

transfer deadline for a control period, 

the Administrator will deduct from the 

compliance account TR SO2 Group 2 

allowances available under paragraph 

(a) of this section in order to determine 

whether the source meets the TR SO2

Group 2 emissions limitation for such 

control period, as follows: 

(1) Until the amount of TR SO2 Group 

2 allowances deducted equals the 

number of tons of total SO2 emissions 

from all TR SO2 Group 2 units at the 

source for such control period; or 

(2) If there are insufficient TR SO2

Group 2 allowances to complete the 

deductions in paragraph (b)(1) of this 

section, until no more TR SO2 Group 2 

allowances available under paragraph 

(a) of this section remain in the 

compliance account. 

(c)(1) Identification of TR SO2 Group 

2 allowances by serial number. The 

authorized account representative for a 

source’s compliance account may 

request that specific TR SO2 Group 2 

allowances, identified by serial number, 

in the compliance account be deducted 

for emissions or excess emissions for a 

control period in accordance with 

paragraph (b) or (d) of this section. 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 TR SO2 Group 2 

source and the appropriate serial 

numbers. 

(2) First-in, first-out. The 

Administrator will deduct TR SO2

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 TR SO2 Group 2 allowances in such 

request, on a first-in, first-out (FIFO) 

accounting basis in the following order: 

(i) Any TR SO2 Group 2 allowances 

that were allocated to the units at the 

source and not transferred out of the 

compliance account, in the order of 

recordation; and then 

(ii) Any TR SO2 Group 2 allowances 

that were allocated to any unit and 

transferred to and recorded in the 

compliance account pursuant to this 

subpart, 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 TR SO2 Group 2 source has 

excess emissions, the Administrator will 

deduct from the source’s compliance 

account an amount of TR SO2 Group 2 

allowances, allocated for the control 

period in the immediately following 

year, equal to two times the number of 

tons of the source’s excess emissions. 

(e) Recordation of deductions. The 

Administrator will record in the 

appropriate compliance account all 

deductions from such an account under 

paragraphs (b) and (d) of this section. 

§ 97.725 Compliance with TR SO2 Group 2 

assurance provisions. 

(a) Availability for deduction. TR SO2

Group 2 allowances are available to be 

deducted for compliance with the TR 

SO2 Group 2 assurance provisions for a 

control period in a given year by an 

owner of one or more TR SO2 Group 2 

units in a State only if the TR SO2

Group 2 allowances: 

(1) Were allocated for the control 

period in the year or a prior year; and 

(2) Are held in a compliance account, 

designated by the owner in accordance 

with paragraph (b)(4)(ii) of this section, 


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of one of the owner’s TR SO2 Group 2 

sources in the State as of the deadline 

established in paragraph (b)(5) of this 

section. 

(b) Deductions for compliance. The 

Administrator will deduct TR SO2

Group 2 allowances available under 

paragraph (a) of this section for 

compliance with the TR SO2 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, 2015 and June 1 of each 

year thereafter, the Administrator will: 

(i) Calculate, separately for each State, 

the total amount of SO2 emissions from 

all TR SO2 Group 2 units in the State 

during the control period in the year 

before the year of this calculation 

deadline and the amount, if any, by 

which such total amount of NOX

emissions exceeds the State assurance 

level as described in § 97.706(c)(2)(iii); 

and 

(ii) Promulgate a notice of availability 

of the results of the calculations 

required in paragraph (b)(1)(i) of this 

section, including separate calculations 

of the SO2 emissions for each TR SO2

Group 2 unit and of the amounts 

described in §§ 97.706(c)(2)(iii)(A) and 

(B) for each State. 

(2) The Administrator will provide an 

opportunity for submission of objections 

to the calculations referenced by each 

notice described in paragraph (b)(1) of 

this section. 

(i) Objections shall be submitted by 

the deadline specified in such notice 

and shall be limited to addressing 

whether the calculations for each TR 

SO2 Group 2 unit and each State for the 

control period in the year involved are 

in accordance with § 97.706(c)(2)(iii) 

and §§ 97.706(b) and 97.730 through 

97.735. 

(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 August 1 

immediately after the promulgation of 

such notice, the Administrator will 

promulgate a notice of availability of 

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 each notice of data availability 

required in paragraph (b)(2)(ii) of this 

section and for any State identified in 

such notice as having TR SO2 Group 2 

sources with total SO2 emissions 

exceeding the State assurance level for 

a control period, as described in 

§ 97.706(c)(2)(iii): 

(i) By August 15 immediately after the 

promulgation of such notice, the 

designated representative of each TR 

SO2 Group 2 source in each such State 

shall submit a statement, in a format 

prescribed by the Administrator: 

(A) Listing all the owners of each TR 

SO2 Group 2 unit at the source, 

explaining how the selection of each 

owner for inclusion on the list is 

consistent with the definition of 

‘‘owner’’ in § 97.702, and listing, 

separately for each unit, the percentage 

of the legal, equitable, leasehold, or 

contractual reservation or entitlement 

for each such owner as of midnight of 

December 31 of the control period in the 

year involved; and 

(B) For each TR SO2 Group 2 unit at 

the source that operates during, but is 

allocated no TR SO2 Group 2 allowances 

for, the control period in the year 

involved, identifying whether the unit is 

a coal-fired boiler, simple combustion 

turbine, or combined cycle turbine cycle 

and providing the unit’s allowable SO2

emission rate for such control period. 

(ii) By September 15 immediately 

after the promulgation of such notice, 

the Administrator will calculate, for 

each such State and each owner of one 

or more TR SO2 Group 2 units in the 

State and for the control period in the 

year involved, each owner’s share of the 

total SO2 emissions from all TR SO2

Group 2 units in the State, each owner’s 

assurance level, and the amount (if any) 

of TR SO2 Group 2 allowances that each 

owner must hold in accordance with the 

calculation formula in § 97.706(c)(2)(i) 

and will promulgate a notice of 

availability of the results of these 

calculations. 

(iii) The Administrator will provide 

an opportunity for submission of 

objections to the calculations referenced 

by the notice of data availability 

required in paragraph (b)(3)(ii) of this 

section. 

(A) Objections shall be submitted by 

the deadline specified in such notice 

and shall be limited to addressing 

whether the calculations for each owner 

for the control period in the year 

involved are consistent with the SO2

emissions for the relevant TR SO2 Group 

2 units as set forth in the notice required 

in paragraph (b)(2)(ii) of this section, the 

definitions of ‘‘owner’’, ‘‘owner’s 

assurance level’’, and ‘‘owner’s share’’ in 

§ 97.702, and the calculation formula in 

§ 97.706(c)(2)(i) and shall not raise any 

issues about any data used in the notice 

of data availability required in 

paragraph (b)(2)(ii) of this section. 

(B) The Administrator will adjust the 

calculations to the extent necessary to 

ensure that they are consistent with the 

data and provisions referenced in 

paragraph (b)(3)(iii)(A) of this section. 

By November 15 immediately after the 

promulgation of such notice, the 

Administrator will promulgate a notice 

of availability of any adjustments that 

the Administrator determines to be 

necessary and the reasons for accepting 

or rejecting any objections submitted in 

accordance with paragraph (b)(3)(iii)(A) 

of this section. 

(4) By December 1 immediately after 

the promulgation of each notice of data 

availability required in paragraph 

(b)(3)(iii)(B) of this section: 

(i) Each owner identified, in such 

notice, as owning one or more TR SO2

Group 2 units in a State and as being 

required to hold TR SO2 Group 2 

allowances shall designate the 

compliance account of one of the 

sources at which such unit or units are 

located to hold such required TR SO2

Group 2 allowances; 

(ii) The authorized account 

representative for the compliance 

account designated under paragraph 

(b)(4)(i) of this section shall submit to 

the Administrator a statement, in a 

format prescribed by the Administrator, 

making this designation. 

(5)(i) As of midnight of December 15 

immediately after the promulgation of 

each notice of data availability required 

in paragraph (b)(3)(iii)(B) of this section, 

each owner described in paragraph 

(b)(4)(i) of this section shall hold in the 

compliance account designated by the 

owner in accordance with paragraph 

(b)(4)(ii) of this section the total amount 

of TR SO2 Group 2 allowances, available 

for deduction under paragraph (a) of 

this section, equal to the amount the 

owner is required to hold as calculated 

by the Administrator and referenced in 

such notice. 

(ii) Notwithstanding the allowanceholding deadline specified in paragraph 

(b)(5)(i) of this section, if December 15 

is not a business day, then such 

allowance-holding deadline shall be 

midnight of the first business day 

thereafter. 

(6) After December 15 (or the date 

described in paragraph (b)(5)(ii) of this 

section) immediately after the 

promulgation of each notice of data 

availability required in paragraph 

(b)(3)(iii)(B) of this section and after the 

recordation, in accordance with 

§ 97.723, of TR SO2 Group 2 allowance 

transfers submitted by midnight of such 

date, the Administrator will deduct 

from each compliance account 

designated in accordance with 

paragraph (b)(4)(ii) of this section, TR 

SO2 Group 2 allowances available under 

paragraph (a) of this section, as follows: 

(i) Until the amount of TR SO2 Group 

2 allowances deducted equals the 


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amount that the owner designating the 

compliance account is required to hold 

as calculated by the Administrator and 

referenced in the notice required in 

paragraph (b)(3)(iii)(B) of this section; or 

(ii) If there are insufficient TR SO2

Group 2 allowances to complete the 

deductions in paragraph (b)(6)(i) of this 

section, until no more TR SO2 Group 2 

allowances available under paragraph 

(a) of this section remain in the 

compliance account. 

(7) Notwithstanding any other 

provision of this subpart and any 

revision, made by or submitted to the 

Administrator after the promulgation of 

the notices of data availability required 

in paragraphs (b)(2)(ii) and (b)(3)(iii)(B) 

of this section respectively for a control 

period, of any data used in making the 

calculations referenced in such notice, 

the amount of TR SO2 Group 2 

allowances that each owner is required 

to hold in accordance with 

§ 97.706(c)(2)(i) for the control period in 

the year involved shall continue to be 

such amount as calculated by the 

Administrator and referenced in such 

notice required in paragraph 

(b)(3)(iii)(B) 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 TR SO2 Group 2 allowances that 

owners are required to hold in 

accordance with the calculation formula 

in § 97.706(c)(2)(i) for the control period 

in the year involved with regard to the 

State involved, provided that— 

(A) With regard to such litigation 

involving such notice required in 

paragraph (b)(2)(ii) of this section, 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; and 

(B) With regard to such litigation 

involving such notice required in 

paragraph (b)(3)(iii) of this section, 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)(3)(iii) of this section. 

(ii) If any such data are revised by the 

owners and operators of a source whose 

designated representative submitted 

such data under paragraph (b)(3)(i) of 

this section, as a result of a decision in 

or settlement of litigation concerning 

such submission, then the 

Administrator will use the data as so 

revised to recalculate the amounts of TR 

SO2 Group 2 allowances that owners are 

required to hold in accordance with the 

calculation formula in § 97.706(c)(2)(i) 

for the control period in the year 

involved with regard to the State 

involved, provided that such litigation 

was initiated no later than 30 days after 

promulgation of such notice required in 

paragraph (b)(3)(iii)(B) of this section. 

(iii) If the revised data are used to 

recalculate, in accordance with 

paragraphs (b)(7)(i) and (b)(7)(ii) of this 

section, the amount of TR SO2 Group 2 

allowances that an owner is required to 

hold for the control period in the year 

involved with regard to the State 

involved— 

(A) Where the amount of TR SO2

Group 2 allowances that an owner is 

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 owner 

shall hold the additional amount of TR 

SO2 Group 2 allowances in the 

compliance account designated by the 

owner in accordance with paragraph 

(b)(4)(ii) of this section. The owner’s 

failure to hold such additional amount, 

as required, before the new deadline 

shall not be a violation of the Clean Air 

Act. The owner’s failure to hold such 

additional amount, as required, as of the 

new deadline shall be a violation of the 

Clean Air Act. Each TR SO2 Group 2 

allowance that the owner fails to hold 

as required as of the new deadline, and 

each day in the control period in the 

year involved, shall be a separate 

violation of the Clean Air Act. After 

such deadline, the Administrator will 

make the appropriate deductions from 

the compliance account. 

(B) For an owner for which the 

amount of TR SO2 Group 2 allowances 

required to be held decreases as a result 

of the use of all such revised data, the 

Administrator will record, in the 

compliance account that the owner 

designated in accordance with 

paragraph (b)(4)(ii) of this section, an 

amount of TR SO2 Group 2 allowances 

equal to the amount of the decrease to 

the extent such amount was previously 

deducted from the compliance account 

under paragraph (b)(6) of this section 

(and has not already been restored to the 

compliance account) for the control 

period in the year involved. 

(C) Each TR SO2 Group 2 allowance 

held and deducted under paragraph 

(b)(7)(iii)(A) of this section, or recorded 

under paragraph (b)(7)(iii)(B) of this 

section, as a result of recalculation of 

requirements under the TR SO2 Group 

2 assurance provisions for a control 

period in a given year must be a TR SO2

Group 2 allowance allocated for a 

control period in the same or a prior 

year. 

(c)(1) Identification of TR SO2 Group 

2 allowances by serial number. The 

authorized account representative for 

each source’s compliance account 

designated in accordance with 

paragraph (b)(4)(ii) of this section may 

request that specific TR SO2 Group 2 

allowances, identified by serial number, 

in the compliance account be deducted 

in accordance with paragraph (b)(6) or 

(7) of this section. In order to be 

complete, such request shall be 

submitted to the Administrator by the 

allowance-holding deadline described 

in paragraph (b)(5) of this section and 

include, in a format prescribed by the 

Administrator, the identification of the 

compliance account and the appropriate 

serial numbers. 

(2) First-in, first-out. The 

Administrator will deduct TR SO2

Group 2 allowances under paragraphs 

(b)(6) and (7) of this section from each 

source’s compliance account designated 

under paragraph (b)(4)(ii) of this section 

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 TR SO2 Group 2 allowances 

in such request, on a first-in, first-out 

(FIFO) accounting basis in the following 

order: 

(i) Any TR SO2 Group 2 allowances 

that were allocated to the units at the 

source and not transferred out of the 

compliance account, in the order of 

recordation; and then 

(ii) Any TR SO2 Group 2 allowances 

that were allocated to any unit and 

transferred to and recorded in the 

compliance account pursuant to this 

subpart, in the order of recordation. 

(d) Recordation of deductions. The 

Administrator will record in the 

appropriate compliance account all 

deductions from such an account under 

paragraph (b) of this section. 

§ 97.726 Banking. 

(a) A TR SO2 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 TR SO2 Group 2 allowance 

that is held in a compliance account or 

a general account will remain in such 


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account unless and until the TR SO2

Group 2 allowance is deducted or 

transferred under § 97.711(c), § 97.723, 

§ 97.724, § 97.725, 97.727, 97.728, 

97.742, or 97.743. 

§ 97.727 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. 

§ 97.728 Administrator’s action on 

submissions. 

(a) The Administrator may review and 

conduct independent audits concerning 

any submission under the TR SO2

Group 2 Trading Program and make 

appropriate adjustments of the 

information in the submission. 

(b) The Administrator may deduct TR 

SO2 Group 2 allowances from or transfer 

TR SO2 Group 2 allowances to a 

source’s compliance account based on 

the information in a submission, as 

adjusted under paragraph (a)(1) of this 

section, and record such deductions and 

transfers. 

§ 97.729 [Reserved] 

§ 97.730 General monitoring, 

recordkeeping, and reporting requirements. 

The owners and operators, and to the 

extent applicable, the designated 

representative, of a TR SO2 Group 2 

unit, shall comply with the monitoring, 

recordkeeping, and reporting 

requirements as provided in this subpart 

and subparts F and G of part 75 of this 

chapter. For purposes of applying such 

requirements, the definitions in § 97.702 

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 ‘‘TR SO2

Group 2 unit,’’ ‘‘designated 

representative,’’ and ‘‘continuous 

emission monitoring system’’ (or 

‘‘CEMS’’) respectively as defined in 

§ 97.702, and the term ‘‘newly affected 

unit’’ shall be deemed to mean ‘‘newly 

affected TR SO2 Group 2 unit’’. The 

owner or operator of a unit that is not 

a TR SO2 Group 2 unit but that is 

monitored under § 75.16(b)(2) of this 

chapter shall comply with the same 

monitoring, recordkeeping, and 

reporting requirements as a TR SO2

Group 2 unit. 

(a) Requirements for installation, 

certification, and data accounting. The 

owner or operator of each TR SO2 Group 

2 unit shall: 

(1) Install all monitoring systems 

required under this subpart for 

monitoring SO2 mass emissions and 

individual unit heat input (including all 

systems required to monitor SO2

concentration, stack gas moisture 

content, stack gas flow rate, CO2 or O2

concentration, and fuel flow rate, as 

applicable, in accordance with §§ 75.11 

and 75.16 of this chapter); 

(2) Successfully complete all 

certification tests required under 

§ 97.731 and meet all other 

requirements of this subpart and part 75 

of this chapter applicable to the 

monitoring systems under paragraph 

(a)(1) of this section; and 

(3) Record, report, and quality-assure 

the data from the monitoring systems 

under paragraph (a)(1) of this section. 

(b) Compliance deadlines. Except as 

provided in paragraph (e) of this 

section, the owner or operator shall 

meet the monitoring system certification 

and other requirements of paragraphs 

(a)(1) and (2) of this section on or before 

the following dates. The owner or 

operator shall record, report, and 

quality-assure the data from the 

monitoring systems under paragraph 

(a)(1) of this section on and after the 

following dates. 

(1) For the owner or operator of a TR 

SO2 Group 2 unit that commences 

commercial operation before July 1, 

2011, by January 1, 2012. 

(2) For the owner or operator of a TR 

SO2 Group 2 unit that commences 

commercial operation on or after July 1, 

2011, by the later of the following dates: 

(i) January 1, 2012; or 

(ii) 180 calendar days, whichever 

occurs first, after the date on which the 

unit commences commercial operation. 

(3) For the owner or operator of a TR 

SO2 Group 2 unit for which 

construction of a new stack or flue or 

installation of add-on SO2 emission 

controls is completed after the 

applicable deadline under paragraph 

(b)(1) or (2) of this section, by 90 unit 

operating days or 180 calendar days, 

whichever occurs first, after the date on 

which emissions first exit to the 

atmosphere through the new stack or 

flue or add-on SO2 emissions controls. 

(4) Notwithstanding the dates in 

paragraphs (b)(1) and (2) of this section, 

for the owner or operator of a unit for 

which a TR opt-in application is 

submitted and not withdrawn and is not 

yet approved or disapproved, by the 

date specified in § 97.741(c). 

(5) Notwithstanding the dates in 

paragraphs (b)(1) and (2) of this section, 

for the owner or operator of a TR SO2

Group 2 opt-in unit, by the date on 

which the TR SO2 Group 2 opt-in unit 

enters the TR SO2 Group 2 Trading 

Program as provided in § 97.741(h). 

(c) Reporting data. The owner or 

operator of a TR SO2 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 SO2

concentration, stack gas flow rate, stack 

gas moisture content, fuel flow rate, and 

any other parameters required to 

determine SO2 mass emissions and heat 

input in accordance with § 75.31(b)(2) 

or (c)(3) of this chapter or section 2.4 of 

appendix D to part 75 of this chapter, as 

applicable. 

(d) Prohibitions. (1) No owner or 

operator of a TR SO2 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 § 97.735. 

(2) No owner or operator of a TR SO2

Group 2 unit shall operate the unit so 

as to discharge, or allow to be 

discharged, SO2 emissions to the 

atmosphere without accounting for all 

such emissions in accordance with the 

applicable provisions of this subpart 

and part 75 of this chapter. 

(3) No owner or operator of a TR SO2

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 SO2 mass emissions 

discharged into the atmosphere or heat 

input, except for periods of 

recertification or periods when 

calibration, quality assurance testing, or 

maintenance is performed in accordance 

with the applicable provisions of this 

subpart and part 75 of this chapter. 

(4) No owner or operator of a TR SO2

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 § 97.705 

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 


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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 § 97.731(d)(3)(i). 

(e) Long-term cold storage. The owner 

or operator of a TR SO2 Group 2 unit is 

subject to the applicable provisions of 

§ 75.4(d) of this chapter concerning 

units in long-term cold storage. 

§ 97.731 Initial monitoring system 

certification and recertification procedures. 

(a) The owner or operator of a TR SO2

Group 2 unit shall be exempt from the 

initial certification requirements of this 

section for a monitoring system under 

§ 97.730(a)(1) if the following conditions 

are met: 

(1) The monitoring system has been 

previously certified in accordance with 

part 75 of this chapter; and 

(2) The applicable quality-assurance 

and quality-control requirements of 

§ 75.21 of this chapter and appendices 

B and D to part 75 of this chapter are 

fully met for the certified monitoring 

system described in paragraph (a)(1) of 

this section. 

(b) The recertification provisions of 

this section shall apply to a monitoring 

system under § 97.730(a)(1) exempt 

from initial certification requirements 

under paragraph (a) of this section. 

(c) [Reserved] 

(d) Except as provided in paragraph 

(a) of this section, the owner or operator 

of a TR SO2 Group 2 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 appendix D to part 75 of this 

chapter) under § 97.730(a)(1). The 

owner or operator of a unit that qualifies 

to use the low mass emissions excepted 

monitoring methodology under § 75.19 

of this chapter or that qualifies to use an 

alternative monitoring system under 

subpart E of part 75 of this chapter shall 

comply with the procedures in 

paragraph (e) or (f) of this section 

respectively. 

(1) Requirements for initial 

certification. The owner or operator 

shall ensure that each continuous 

monitoring system under § 97.730(a)(1) 

(including the automated data 

acquisition and handling system) 

successfully completes all of the initial 

certification testing required under 

§ 75.20 of this chapter by the applicable 

deadline in § 97.730(b). In addition, 

whenever the owner or operator installs 

a monitoring system to meet the 

requirements of this subpart in a 

location where no such monitoring 

system was previously installed, initial 

certification in accordance with § 75.20 

of this chapter is required. 

(2) Requirements for recertification. 

Whenever the owner or operator makes 

a replacement, modification, or change 

in any certified continuous emission 

monitoring system under § 97.730(a)(1) 

that may significantly affect the ability 

of the system to accurately measure or 

record SO2 mass emissions or heat input 

rate or to meet the quality-assurance and 

quality-control requirements of § 75.21 

of this chapter or appendix B to part 75 

of this chapter, the owner or operator 

shall recertify the monitoring system in 

accordance with § 75.20(b) of this 

chapter. Furthermore, whenever the 

owner or operator makes a replacement, 

modification, or change to the flue gas 

handling system or the unit’s operation 

that may significantly change the stack 

flow or concentration profile, the owner 

or operator shall recertify each 

continuous emission monitoring system 

whose accuracy is potentially affected 

by the change, in accordance with 

§ 75.20(b) of this chapter. Examples of 

changes to a continuous emission 

monitoring system that require 

recertification include: Replacement of 

the analyzer, complete replacement of 

an existing continuous emission 

monitoring system, or change in 

location or orientation of the sampling 

probe or site. Any fuel flowmeter system 

under § 97.730(a)(1) is subject to the 

recertification requirements in 

§ 75.20(g)(6) of this chapter. 

(3) Approval process for initial 

certification and recertification. For 

initial certification of a continuous 

monitoring system under § 97.730(a)(1), 

paragraphs (d)(3)(i) through (v) of this 

section apply. For recertifications of 

such monitoring systems, paragraphs 

(d)(3)(i) through (iv) of this section and 

the procedures in §§ 75.20(b)(5) and 

(g)(7) of this chapter (in lieu of the 

procedures in paragraph (d)(3)(v) of this 

section) apply, provided that in 

applying paragraphs (d)(3)(i) through 

(iv) of this section, the words 

‘‘certification’’ and ‘‘initial certification’’ 

are replaced by the word 

‘‘recertification’’ and the word ‘‘certified’’ 

is replaced by the word ‘‘recertified’’. 

(i) Notification of certification. The 

designated representative shall submit 

to the appropriate EPA Regional Office 

and the Administrator written notice of 

the dates of certification testing, in 

accordance with § 97.733. 

(ii) Certification application. The 

designated representative shall submit 

to the Administrator a certification 

application for each monitoring system. 

A complete certification application 

shall include the information specified 

in § 75.63 of this chapter. 

(iii) Provisional certification date. The 

provisional certification date for a 

monitoring system shall be determined 

in accordance with § 75.20(a)(3) of this 

chapter. A provisionally certified 

monitoring system may be used under 

the TR SO2 Group 2 Trading Program for 

a period not to exceed 120 days after 

receipt by the Administrator of the 

complete certification application for 

the monitoring system under paragraph 

(d)(3)(ii) of this section. Data measured 

and recorded by the provisionally 

certified monitoring system, in 

accordance with the requirements of 

part 75 of this chapter, will be 

considered valid quality-assured data 

(retroactive to the date and time of 

provisional certification), provided that 

the Administrator does not invalidate 

the provisional certification by issuing a 

notice of disapproval within 120 days of 

the date of receipt of the complete 

certification application by the 

Administrator. 

(iv) Certification application approval 

process. The Administrator will issue a 

written notice of approval or 

disapproval of the certification 

application to the owner or operator 

within 120 days of receipt of the 

complete certification application under 

paragraph (d)(3)(ii) of this section. In the 

event the Administrator does not issue 

such a notice within such 120-day 

period, each monitoring system that 

meets the applicable performance 

requirements of part 75 of this chapter 

and is included in the certification 

application will be deemed certified for 

use under the TR SO2 Group 2 Trading 

Program. 

(A) Approval notice. If the 

certification application is complete and 

shows that each monitoring system 

meets the applicable performance 

requirements of part 75 of this chapter, 

then the Administrator will issue a 

written notice of approval of the 

certification application within 120 

days of receipt. 

(B) Incomplete application notice. If 

the certification application is not 

complete, then the Administrator will 

issue a written notice of incompleteness 

that sets a reasonable date by which the 

designated representative must submit 

the additional information required to 

complete the certification application. If 

the designated representative does not 

comply with the notice of 

incompleteness by the specified date, 

then the Administrator may issue a 

notice of disapproval under paragraph 

(d)(3)(iv)(C) of this section. The 120-day 

review period specified in paragraph 


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(d)(3) of this section shall not begin 

before receipt of a complete certification 

application. 

(C) Disapproval notice. If the 

certification application shows that any 

monitoring system does not meet the 

performance requirements of part 75 of 

this chapter or if the certification 

application is incomplete and the 

requirement for disapproval under 

paragraph (d)(3)(iv)(B) of this section is 

met, then the Administrator will issue a 

written notice of disapproval of the 

certification application. Upon issuance 

of such notice of disapproval, the 

provisional certification is invalidated 

by the Administrator and the data 

measured and recorded by each 

uncertified monitoring system shall not 

be considered valid quality-assured data 

beginning with the date and hour of 

provisional certification (as defined 

under § 75.20(a)(3) of this chapter). 

(D) Audit decertification. The 

Administrator may issue a notice of 

disapproval of the certification status of 

a monitor in accordance with 

§ 97.732(b). 

(v) Procedures for loss of certification. 

If the Administrator issues a notice of 

disapproval of a certification 

application under paragraph 

(d)(3)(iv)(C) of this section or a notice of 

disapproval of certification status under 

paragraph (d)(3)(iv)(D) of this section, 

then: 

(A) The owner or operator shall 

substitute the following values, for each 

disapproved monitoring system, for 

each hour of unit operation during the 

period of invalid data specified under 

§ 75.20(a)(4)(iii), § 75.20(g)(7), or 

§ 75.21(e) of this chapter and continuing 

until the applicable date and hour 

specified under § 75.20(a)(5)(i) or (g)(7) 

of this chapter: 

(1) For a disapproved SO2 pollutant 

concentration monitor and disapproved 

flow monitor, respectively, the 

maximum potential concentration of 

SO2 and the maximum potential flow 

rate, as defined in sections 2.1.1.1 and 

2.1.4.1 of appendix A to part 75 of this 

chapter. 

(2) For a disapproved moisture 

monitoring system and disapproved 

diluent gas monitoring system, 

respectively, the minimum potential 

moisture percentage and either the 

maximum potential CO2 concentration 

or the minimum potential O2

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. 

(3) 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. 

(B) The designated representative 

shall submit a notification of 

certification retest dates and a new 

certification application in accordance 

with paragraphs (d)(3)(i) and (ii) of this 

section. 

(C) The owner or operator shall repeat 

all certification tests or other 

requirements that were failed by the 

monitoring system, as indicated in the 

Administrator’s notice of disapproval, 

no later than 30 unit operating days 

after the date of issuance of the notice 

of disapproval. 

(e) The owner or operator of a unit 

qualified to use the low mass emissions 

(LME) excepted methodology under 

§ 75.19 of this chapter shall meet the 

applicable certification and 

recertification requirements in 

§§ 75.19(a)(2) and 75.20(h) of this 

chapter. If the owner or operator of such 

a unit elects to certify a fuel flowmeter 

system for heat input determination, the 

owner or operator shall also meet the 

certification and recertification 

requirements in § 75.20(g) of this 

chapter. 

(f) The designated representative of 

each unit for which the owner or 

operator intends to use an alternative 

monitoring system approved by the 

Administrator under subpart E of part 

75 of this chapter shall comply with the 

applicable notification and application 

procedures of § 75.20(f) of this chapter. 

§ 97.732 Monitoring system out-of-control 

periods. 

(a) General provisions. Whenever any 

monitoring system fails to meet the 

quality-assurance and quality-control 

requirements or data validation 

requirements of part 75 of this chapter, 

data shall be substituted using the 

applicable missing data procedures in 

subpart D or appendix D to part 75 of 

this chapter. 

(b) Audit decertification. Whenever 

both an audit of a monitoring system 

and a review of the initial certification 

or recertification application reveal that 

any monitoring system should not have 

been certified or recertified because it 

did not meet a particular performance 

specification or other requirement under 

§ 97.731 or the applicable provisions of 

part 75 of this chapter, both at the time 

of the initial certification or 

recertification application submission 

and at the time of the audit, the 

Administrator will issue a notice of 

disapproval of the certification status of 

such monitoring system. For the 

purposes of this paragraph, an audit 

shall be either a field audit or an audit 

of any information submitted to the 

Administrator or any permitting 

authority. By issuing the notice of 

disapproval, the Administrator revokes 

prospectively the certification status of 

the monitoring system. The data 

measured and recorded by the 

monitoring system shall not be 

considered valid quality-assured data 

from the date of issuance of the 

notification of the revoked certification 

status until the date and time that the 

owner or operator completes 

subsequently approved initial 

certification or recertification tests for 

the monitoring system. The owner or 

operator shall follow the applicable 

initial certification or recertification 

procedures in § 97.731 for each 

disapproved monitoring system. 

§ 97.733 Notifications concerning 

monitoring. 

The designated representative of a TR 

SO2 Group 2 unit shall submit written 

notice to the Administrator in 

accordance with § 75.61 of this chapter. 

§ 97.734 Recordkeeping and reporting. 

(a) General provisions. The designated 

representative shall comply with all 

recordkeeping and reporting 

requirements in this section, the 

applicable recordkeeping and reporting 

requirements in subparts F and G of part 

75 of this chapter, and the requirements 

of § 97.714(a). 

(b) Monitoring plans. The owner or 

operator of a TR SO2 Group 2 unit shall 

comply with requirements of § 75.62 of 

this chapter. 

(c) Certification applications. The 

designated representative shall submit 

an application to the Administrator 

within 45 days after completing all 

initial certification or recertification 

tests required under § 97.731, including 

the information required under § 75.63 

of this chapter. 

(d) Quarterly reports. The designated 

representative shall submit quarterly 

reports, as follows: 

(1) The designated representative 

shall report the SO2 mass emissions data 

and heat input data for the TR SO2

Group 2 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, 

2011, the calendar quarter covering 

January 1, 2012 through March 31, 2012; 

(ii) For a unit that commences 

commercial operation on or after July 1, 

2011, the calendar quarter 

corresponding to the earlier of the date 

of provisional certification or the 

applicable deadline for initial 

certification under § 97.730(b), unless 

that quarter is the third or fourth quarter 

of 2011, in which case reporting shall 


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commence in the quarter covering 

January 1, 2012 through March 31, 2012; 

(iii) Notwithstanding paragraphs 

(d)(1)(i) and (ii) of this section, for a unit 

for which a TR opt-in application is 

submitted and not withdrawn and is not 

yet approved or disapproved, the 

calendar quarter corresponding to the 

date specified in § 97.741(c); and 

(iv) Notwithstanding paragraphs 

(d)(1)(i) and (ii) of this section, for a TR 

SO2 Group 2 opt-in unit, the calendar 

quarter corresponding to the date on 

which the TR SO2 Group 1 opt-in unit 

enters the TR SO2 Group 2 Trading 

Program as provided in § 97.71(h). 

(2) The designated representative 

shall submit each quarterly report to the 

Administrator within 30 days after the 

end of the calendar quarter covered by 

the report. Quarterly reports shall be 

submitted in the manner specified in 

§ 75.64 of this chapter. 

(3) For TR SO2 Group 2 units that are 

also subject to the Acid Rain Program, 

TR NOX Annual Trading Program, or TR 

NOX Ozone Season 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 SO2 mass emission data, 

heat input data, and other information 

required by this subpart. 

(4) The Administrator may review and 

conduct independent audits of any 

quarterly report in order to determine 

whether the quarterly report meets the 

requirements of this subpart and part 75 

of this chapter, including the 

requirement to use substitute data. 

(i) The Administrator will notify the 

designated representative of any 

determination that the quarterly report 

fails to meet any such requirements and 

specify in such notification any 

corrections that the Administrator 

believes are necessary to make through 

resubmission of the quarterly report and 

a reasonable time period within which 

the designated representative must 

respond. Upon request by the 

designated representative, the 

Administrator may specify reasonable 

extensions of such time period. Within 

the time period (including any such 

extensions) specified by the 

Administrator, the designated 

representative shall resubmit the 

quarterly report with the corrections 

specified by the Administrator, except 

to the extent the designated 

representative provides information 

demonstrating that a specified 

correction is not necessary because the 

quarterly report already meets the 

requirements of this subpart and part 75 

of this chapter that are relevant to the 

specified correction. 

(ii) Any resubmission of a quarterly 

report shall meet the requirements 

applicable to the submission of a 

quarterly report under this subpart and 

part 75 of this chapter, except for the 

deadline set forth in paragraph (d)(2) of 

this section. 

(e) Compliance certification. The 

designated representative shall submit 

to the Administrator a compliance 

certification (in a format prescribed by 

the Administrator) in support of each 

quarterly report based on reasonable 

inquiry of those persons with primary 

responsibility for ensuring that all of the 

unit’s emissions are correctly and fully 

monitored. The certification shall state 

that: 

(1) The monitoring data submitted 

were recorded in accordance with the 

applicable requirements of this subpart 

and part 75 of this chapter, including 

the quality assurance procedures and 

specifications; and 

(2) For a unit with add-on SO2

emission controls and for all hours 

where SO2 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 SO2

emissions. 

§ 97.735 Petitions for alternatives to 

monitoring, recordkeeping, or reporting 

requirements. 

(a) The designated representative of a 

TR SO2 Group 2 unit may submit a 

petition under § 75.66 of this chapter to 

the Administrator, requesting approval 

to apply an alternative to any 

requirement of §§ 97.730 through 97.734 

or paragraph (5)(i) or (ii) of the 

definition of ‘‘owner’s share’’ in 

§ 97.702. 

(b) A petition submitted under 

paragraph (a) of this section shall 

include sufficient information for the 

evaluation of the petition, including, at 

a minimum, the following information: 

(i) Identification of each unit and 

source covered by the petition; 

(ii) A detailed explanation of why the 

proposed alternative is being suggested 

in lieu of the requirement; 

(iii) A description and diagram of any 

equipment and procedures used in the 

proposed alternative; 

(iv) A demonstration that the 

proposed alternative is consistent with 

the purposes of the requirement for 

which the alternative is proposed and 

with the purposes of this subpart and 

part 75 of this chapter and that any 

adverse effect of approving the 

alternative will be de minimis; and 

(v) Any other relevant information 

that the Administrator may require. 

(c) Use of an alternative to any 

requirement referenced in paragraph (a) 

of this section is in accordance with this 

subpart only to the extent that the 

petition is approved in writing by the 

Administrator and that such use is in 

accordance with such approval. 

§ 97.740 General requirements for TR SO2

Group 2 opt-in units. 

(a) A TR SO2 Group 2 opt-in unit must 

be a unit that: 

(1) Is located in a State; 

(2) Is not a TR SO2 Group 2 unit under 

§ 97.704; 

(3) Is not covered by a retired unit 

exemption under § 72.8 of this chapter 

that is in effect; and 

(4) Vents all of its emissions to a stack 

and can meet the monitoring, 

recordkeeping, and reporting 

requirements of this subpart. 

(b) A TR SO2 Group 2 opt-in unit shall 

be deemed to be a TR SO2 Group 2 unit 

for purposes of applying this subpart, 

except for §§ 97.705, 97.711, and 97.712. 

(c) Solely for purposes of applying the 

requirements of §§ 97.713 through 

97.718 and §§ 97.730 through 97.735, a 

unit for which a TR opt-in application 

is submitted and not withdrawn and is 

not yet approved or disapproved under 

§ 97.742 shall be deemed to be a TR SO2

Group 2 unit. 

(d) Any TR SO2 Group 2 opt-in unit, 

and any unit for which a TR opt-in 

application is submitted and not 

withdrawn and is not yet approved or 

disapproved under § 97.742, located at 

the same source as one or more TR SO2

Group 2 units shall have the same 

designated representative and alternate 

designated representative as such TR 

SO2 Group 2 units. 

§ 97.741 Opt-in process. 

A unit meeting the requirements for a 

TR SO2 Group 2 opt-in unit in 

§ 97.740(a) may become a TR SO2 Group 

2 opt-in unit only if, in accordance with 

this section, the designated 

representative of the unit submits a 

complete TR opt-in application for the 

unit and the Administrator approves the 

application. 

(a) Applying to opt-in. The designated 

representative of the unit may submit a 

complete TR opt-in application for the 

unit at any time, except as provided 

under § 97.742(e). A complete TR opt-in 

application shall include the following 

elements in a format prescribed by the 

Administrator: 

(1) Identification of the unit and the 

source where the unit is located, 


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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, and unit identification 

number and type; 

(2) A certification that the unit: 

(i) Is not a TR SO2 Group 2 unit under 

§ 97.704; 

(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 

(greater than 0 mmBtu) for more than 

876 hours during the 6 months 

immediately preceding submission of 

the TR opt-in application; 

(3) A monitoring plan in accordance 

with §§ 97.730 through 97.735; 

(4) A statement that the unit, if 

approved to become a TR SO2 Group 2 

unit under paragraph (g) of this section, 

may withdraw from the TR SO2 Group 

2 Trading Program only in accordance 

with § 97.742; 

(5) A statement that the unit, if 

approved to become a TR SO2 Group 2 

unit under paragraph (g) of this section, 

is subject to, and the owners and 

operators of the unit must comply with, 

the requirements of § 97.743; 

(6) A complete certificate of 

representation under § 97.716 consistent 

with § 97.740, if no designated 

representative has been previously 

designated for the source that includes 

the unit; and 

(7) The signature of the designated 

representative and the date signed. 

(b) Interim review of monitoring plan. 

The Administrator will determine, on 

an interim basis, the sufficiency of the 

monitoring plan submitted under 

paragraph (a)(3) of this section. The 

monitoring plan is sufficient, for 

purposes of interim review, if the plan 

appears to contain information 

demonstrating that the SO2 emission 

rate and heat input of the unit and all 

other applicable parameters are 

monitored and reported in accordance 

with §§ 97.730 through 97.735. A 

determination of sufficiency shall not be 

construed as acceptance or approval of 

the monitoring plan. 

(c) Monitoring and reporting. (1)(i) If 

the Administrator determines that the 

monitoring plan is sufficient under 

paragraph (b) of this section, the owner 

or operator of the unit shall monitor and 

report the SO2 emission rate and the 

heat input of the unit and all other 

applicable parameters, in accordance 

with §§ 97.730 through 97.735, starting 

on the date of certification of the 

necessary monitoring systems under 

§§ 97.730 through 97.735 and 

continuing until the TR opt-in 

application submitted under paragraph 

(a) of this section is disapproved under 

this section or, if such TR opt-in 

application is approved, the date and 

time when the unit is withdrawn from 

the TR SO2 Group 2 Trading Program in 

accordance with § 97.742. 

(ii) The monitoring and reporting 

under paragraph (c)(1)(i) of this section 

shall cover the entire control period 

immediately before the date on which 

the unit enters the TR SO2 Group 2 

Trading Program under paragraph (h) of 

this section, during which period 

monitoring system availability must not 

be less than 98 percent under §§ 97.730 

through 97.735 and the unit must be in 

full compliance with any applicable 

State or Federal emissions or emissionsrelated requirements. 

(2) To the extent the SO2 emission 

rate and the heat input of the unit are 

monitored and reported in accordance 

with §§ 97.730 through 97.735 for one or 

more entire control periods, in addition 

to the control period under paragraph 

(c)(1)(ii) of this section, during which 

control periods monitoring system 

availability is not less than 98 percent 

under §§ 97.730 through 97.735 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 

TR SO2 Group 2 Trading Program under 

paragraph (h) of this section, such 

information shall be used as provided in 

paragraphs (e) and (f) of this section. 

(d) Statement on compliance. After 

submitting to the Administrator all 

quarterly reports required for the unit 

under paragraph (c) of this section, the 

designated representative shall submit, 

in a format prescribed by the 

Administrator, to the Administrator a 

statement that, for the years covered by 

such quarterly reports, the unit was in 

full compliance with any applicable 

State or Federal emissions or emissionsrelated requirements. 

(e) Baseline heat input. The unit’s 

baseline heat input shall equal: 

(1) If the unit’s SO2 emission rate and 

heat input are monitored and reported 

for only one entire control period, in 

accordance with paragraph (c) of this 

section, the unit’s total heat input (in 

mmBtu) for such control period; or 

(2) If the unit’s SO2 emission rate and 

heat input are monitored and reported 

for more than one entire control period, 

in accordance with paragraph (c) of this 

section, the average of the amounts of 

the unit’s total heat input (in mmBtu) 

for such control periods. 

(f) Baseline SO2 emission rate. The 

unit’s baseline SO2 emission rate shall 

equal: 

(1) If the unit’s SO2 emission rate and 

heat input are monitored and reported 

for only one entire control period, in 

accordance with paragraph (c) of this 

section, the unit’s SO2 emission rate (in 

lb/mmBtu) for such control period; 

(2) If the unit’s SO2 emission rate and 

heat input are monitored and reported 

for more than one entire control period, 

in accordance with paragraph (c) of this 

section, and the unit does not have addon SO2 emission controls during any 

such control periods, the average of the 

amounts of the unit’s SO2 emission rate 

(in lb/mmBtu) for such control periods; 

or 

(3) If the unit’s SO2 emission rate and 

heat input are monitored and reported 

for more than one entire control period, 

in accordance with paragraph (c) of this 

section, and the unit has add-on SO2

emission controls during any such 

control periods, the average of the 

amounts of the unit’s SO2 emission rate 

(in lb/mmBtu) for such control periods 

during which the unit has add-on SO2

emission controls. 

(g) Review of TR opt-in application. 

(1) After the designated representative 

submits the complete TR opt-in 

application, quarterly reports, and 

statement required in paragraphs (a), (c), 

and (d) of this section and if the 

Administrator determines that the 

designated representative shows that the 

unit meets the requirements for a TR 

SO2 Group 2 opt-in unit in § 97.640, the 

element certified in paragraph (a)(2)(iv) 

of this section, and the monitoring and 

reporting requirements of paragraph (c) 

of this section, the Administrator will 

issue a written approval of the TR optin application for the unit. The written 

approval will state the unit’s baseline 

heat input and baseline SO2 emission 

rate. The Administrator will thereafter 

establish a compliance account for the 

source that includes the unit unless the 

source already has a compliance 

account. 

(2) Notwithstanding paragraphs (a) 

through (f) of this section, if, at any time 

before the TR opt-in application is 

approved under paragraph (g)(1) of this 

section, the Administrator determines 

that the unit cannot meet the 

requirements for a TR SO2 Group 2 optin unit in § 97.740, the element certified 

in paragraph (a)(2)(iv) of this section, or 

the monitoring and reporting 

requirements in paragraph (c) of this 

section, the Administrator will issue a 

written disapproval of the TR opt-in 

application for the unit. 

(h) Date of entry into TR SO2 Group 

2 Trading Program. A unit for which a 


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TR opt-in application is approved under 

paragraph (g)(1) of this section shall 

become a TR SO2 Group 2 opt-in unit, 

and a TR SO2 Group 2 unit, effective as 

of the later of January 1, 2012 or January 

1 of the first control period during 

which such approval is issued. 

§ 97.742 Withdrawal of TR SO2 Group 2 

opt-in unit from TR SO2 Group 2 Trading 

Program. 

A TR SO2 Group 2 opt-in unit may 

withdraw from the TR SO2 Group 2 

Trading Program only if, in accordance 

with this section, the designated 

representative of the unit submits a 

request to withdraw the unit and the 

Administrator issues a written approval 

of the request. 

(a) Requesting withdrawal. In order to 

withdraw the TR SO2 Group 2 opt-in 

unit from the TR SO2 Group 2 Trading 

Program, the designated representative 

of the unit shall submit to the 

Administrator a request to withdraw the 

unit effective as of midnight of 

December 31 of a specified calendar 

year, which date must be at least 4 years 

after December 31 of the year of the 

unit’s entry into the TR SO2 Group 2 

Trading Program under § 97.741(h). The 

request shall be in a format prescribed 

by the Administrator and shall be 

submitted no later than 90 days before 

the requested effective date of 

withdrawal. 

(b) Conditions for withdrawal. Before 

a TR SO2 Group 2 opt-in unit covered 

by the request to withdraw may 

withdraw from the TR SO2 Group 2 

Trading Program, 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 

TR SO2 Group 2 opt-in unit must meet 

the requirement to hold TR SO2 Group 

2 allowances under §§ 97.724 and 

97.725 and cannot have any excess 

emissions. 

(2) After the requirement under 

paragraph (b)(1) of this section is met, 

the Administrator will deduct from the 

compliance account of the source that 

includes the TR SO2 Group 2 opt-in unit 

TR SO2 Group 2 allowances equal in 

amount to and allocated for the same or 

a prior control period as any TR SO2

Group 2 allowances allocated to the TR 

SO2 Group 2 opt-in unit under § 97.744 

for any control period after the date on 

which the withdrawal is to be effective. 

If there are no other TR SO2 Group 2 

units at the source, the Administrator 

will close the compliance account, and 

the owners and operators of the TR SO2

Group 2 opt-in unit may submit a TR 

SO2 Group 2 allowance transfer for any 

remaining TR SO2 Group 2 allowances 

to another Allowance Management 

System account in accordance with 

§§ 97.722 and 97.723. 

(c) Approving withdrawal. (1) After 

the requirements for withdrawal under 

paragraphs (a) and (b) of this section are 

met (including deduction of the full 

amount of TR SO2 Group 2 allowances 

required), the Administrator will issue a 

written approval of the request to 

withdraw, which will become effective 

as of midnight on December 31 of the 

calendar year for which the withdrawal 

was requested. The unit covered by the 

request shall continue to be a TR SO2

Group 2 opt-in unit until the effective 

date of the withdrawal and shall comply 

with all requirements under the TR SO2

Group 2 Trading Program concerning 

any control periods for which the unit 

is a TR SO2 Group 2 opt-in unit, even 

if such requirements arise or must be 

complied with after the withdrawal 

takes effect. 

(2) If the requirements for withdrawal 

under paragraphs (a) and (b) of this 

section are not met, the Administrator 

will issue a written disapproval of the 

request to withdraw. The unit covered 

by the request shall continue to be a TR 

SO2 Group 2 opt-in unit. 

(d) Reapplication upon failure to meet 

conditions of withdrawal. If the 

Administrator disapproves the request 

to withdraw, the designated 

representative of the unit may submit 

another request to withdraw in 

accordance with paragraphs (a) and (b) 

of this section. 

(e) Ability to reapply to the TR SO2

Group 2 Trading Program. Once a TR 

SO2 Group 2 opt-in unit withdraws from 

the TR SO2 Group 2 Trading Program, 

the designated representative may not 

submit another opt-in application under 

§ 97.741 for such unit before the date 

that is 4 years after the date on which 

the withdrawal became effective. 

§ 97.743 Change in regulatory status. 

(a) Notification. If a TR SO2 Group 2 

opt-in unit becomes a TR SO2 Group 2 

unit under § 97.704, then the designated 

representative of the unit shall notify 

the Administrator in writing of such 

change in the TR SO2 Group 2 opt-in 

unit’s regulatory status, within 30 days 

of such change. 

(b) Administrator’s actions. (1) If a TR 

SO2 Group 2 opt-in unit becomes a TR 

SO2 Group 2 unit under § 97.604, the 

Administrator will deduct, from the 

compliance account of the source that 

includes the TR SO2 Group 2 opt-in unit 

that becomes a TR SO2 Group 2 unit 

under § 97.704, TR SO2 Group 2 

allowances equal in amount to and 

allocated for the same or a prior control 

period as: 

(i) Any TR SO2 Group 2 allowances 

allocated to the TR SO2 Group 2 opt-in 

unit under § 97.744 for any control 

period starting after the date on which 

the TR SO2 Group 2 opt-in unit becomes 

a TR SO2 Group 2 unit under § 97.704; 

and 

(ii) If the date on which the TR SO2

Group 2 opt-in unit becomes a TR SO2

Group 2 unit under § 97.704 is not 

December 31, the TR SO2 Group 2 

allowances allocated to the TR SO2

Group 2 opt-in unit under § 97.744 for 

the control period that includes the date 

on which the TR SO2 Group 2 opt-in 

unit becomes a TR SO2 Group 2 unit 

under § 97.704— 

(A) Multiplied by the ratio of the 

number of days, in the control period, 

starting with the date on which the TR 

SO2 Group 2 opt-in unit becomes a TR 

SO2 Group 2 unit under § 97.704, 

divided by the total number of days in 

the control period, and 

(B) Rounded to the nearest allowance. 

(2) The designated representative 

shall ensure that the compliance 

account of the source that includes the 

TR SO2 Group 2 opt-in unit that 

becomes a TR SO2 Group 2 unit under 

§ 97.704 contains the TR SO2 Group 2 

allowances necessary for completion of 

the deduction under paragraph (b)(1) of 

this section. 

(3)(i) For control periods starting after 

the date on which the TR SO2 Group 2 

opt-in unit becomes a TR SO2 Group 2 

unit under § 97.704, the TR SO2 Group 

2 opt-in unit will be allocated TR SO2

Group 2 allowances in accordance with 

§ 97.712. 

(ii) If the date on which the TR SO2

Group 2 opt-in unit becomes a TR SO2

Group 2 unit under § 97.704 is not 

December 31, the following amount of 

TR SO2 Group 2 allowances will be 

allocated to the TR SO2 Group 2 opt-in 

unit (as a TR SO2 Group 2 unit) in 

accordance with § 97.712 for the control 

period that includes the date on which 

the TR SO2 Group 2 opt-in unit becomes 

a TR SO2 Group 2 unit under § 97.704: 

(A) The amount of TR SO2 Group 2 

allowances otherwise allocated to the 

TR SO2 Group 2 opt-in unit (as a TR SO2

Group 2 unit) in accordance with 

§ 97.712 for the control period; 

(B) Multiplied by the ratio of the 

number of days, in the control period, 

starting with the date on which the TR 

SO2 Group 2 opt-in unit becomes a TR 

SO2 Group 2 unit under § 97.704, 

divided by the total number of days in 

the control period; and 

(C) Rounded to the nearest allowance. 


erowe on DSK5CLS3C1PROD with PROPOSALS2
Federal Register / Vol. 75, No. 147 / Monday, August 2, 2010 / Proposed Rules 45465 

§ 97.744 TR SO2 Group 2 allowance 

allocations to TR SO2 Group 2 opt-in units. 

(a) Timing requirements. (1) When the 

TR opt-in application is approved for a 

unit under § 97.741(g), the 

Administrator will issue TR SO2 Group 

2 allowances and allocate them to the 

unit for the control period in which the 

unit enters the TR SO2 Group 2 Trading 

Program under § 97.741(h), in 

accordance with paragraph (b) of this 

section. 

(2) By no later than October 31 of the 

control period after the control period in 

which a TR SO2 Group 2 opt-in unit 

enters the TR SO2 Group 2 Trading 

Program under § 97.741(h) and October 

31 of each year thereafter, the 

Administrator will issue TR SO2 Group 

2 allowances and allocate them to the 

TR SO2 Group 2 opt-in unit for the 

control period that includes such 

allocation deadline and in which the 

unit is a TR SO2 Group 2 opt-in unit, in 

accordance with paragraph (b) of this 

section. 

(b) Calculation of allocation. For each 

control period for which a TR SO2

Group 2 opt-in unit is to be allocated TR 

SO2 Group 2 allowances, the 

Administrator will issue and allocate TR 

SO2 Group 2 allowances in accordance 

with the following procedures: 

(1) The heat input (in mmBtu) used 

for calculating the TR SO2 Group 2 

allowance allocation will be the lesser 

of: 

(i) The TR SO2 Group 2 opt-in unit’s 

baseline heat input determined under 

§ 97.741(g); or 

(ii) The TR SO2 Group 2 opt-in unit’s 

heat input, as determined in accordance 

with §§ 97.730 through 97.735, for the 

immediately prior control period, 

except when the allocation is being 

calculated for the control period in 

which the TR SO2 Group 2 opt-in unit 

enters the TR SO2 Group 2 Trading 

Program under § 97.741(h). 

(2) The SO2 emission rate (in lb/ 

mmBtu) used for calculating TR SO2

Group 2 allowance allocations will be 

the lesser of: 

(i) The TR SO2 Group 2 opt-in unit’s 

baseline SO2 emission rate (in lb/ 

mmBtu) determined under § 97.741(g) 

and multiplied by 70 percent; or 

(ii) The most stringent State or 

Federal SO2 emissions limitation 

applicable to the TR SO2 Group 2 optin unit at any time during the control 

period for which TR SO2 Group 2 

allowances are to be allocated. 

(3) The Administrator will issue TR 

SO2 Group 2 allowances and allocate 

them to the TR SO2 Group 2 opt-in unit 

in an amount equaling the heat input 

under paragraph (b)(1) of this section, 

multiplied by the SO2 emission rate 

under paragraph (b)(2) of this section, 

divided by 2,000 lb/ton, and rounded to 

the nearest allowance. 

(c) Recordation. (1) The Administrator 

will record, in the compliance account 

of the source that includes the TR SO2

Group 2 opt-in unit, the TR SO2 Group 

2 allowances allocated to the TR SO2

Group 2 opt-in unit under paragraph 

(a)(1) of this section. 

(2) By December 1 of the control 

period after the control period in which 

a TR SO2 Group 2 opt-in unit enters the 

TR SO2 Group 2 Trading Program under 

§ 97.741(h) and December 1 of each year 

thereafter, the Administrator will 

record, in the compliance account of the 

source that includes the TR SO2 Group 

2 opt-in unit, the TR SO2 Group 2 

allowances allocated to the TR SO2

Group 2 opt-in unit under paragraph 

(a)(2) of this section. 

[FR Doc. 2010–17007 Filed 7–30–10; 8:45 am] 

BILLING CODE 6560–50–P 


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47218 Federal Register / Vol. 75, No. 150 / Thursday, August 5, 2010 / Rules and Regulations 

Dated: July 26, 2010. 

Gary Kassof, 

Bridge Program Manager, First Coast Guard 

District. 

[FR Doc. 2010–19290 Filed 8–4–10; 8:45 am] 

BILLING CODE 9110–04–P 

ENVIRONMENTAL PROTECTION 

AGENCY 

40 CFR Parts 52 and 81 

[EPA–R04–OAR–2010–0134–201027; FRL– 

9184–9] 

Approval and Promulgation of 

Implementation Plans and Designation 

of Areas for Air Quality Planning 

Purposes; Kentucky; Redesignation of 

the Kentucky Portion of the CincinnatiHamilton 1997 8-Hour Ozone 

Nonattainment Area to Attainment 

AGENCY: Environmental Protection 

Agency (EPA). 

ACTION: Final rule. 

SUMMARY: EPA is taking final action to 

approve a request submitted on January 

29, 2010, from the Commonwealth of 

Kentucky, through the Kentucky Energy 

and Environment Cabinet, Division for 

Air Quality (DAQ), to redesignate the 

Kentucky portion of the tri-state 

Cincinnati-Hamilton 8-hour ozone 

nonattainment area (hereafter referred to 

as ‘‘the Cincinnati-Hamilton Area’’) to 

attainment for the 1997 8-hour ozone 

national ambient air quality standards 

(NAAQS). The Cincinnati-Hamilton 

Area is comprised of Boone, Campbell 

and Kenton Counties in Kentucky 

(hereafter also referred to as ‘‘Northern 

Kentucky’’); Butler, Clermont, Clinton, 

Hamilton and Warren Counties in Ohio; 

and a portion of Dearborn County in 

Indiana. EPA’s approval of the 

redesignation request is based on the 

determination that Northern Kentucky 

has met the criteria for redesignation to 

attainment set forth in the Clean Air Act 

(CAA), including the determination that 

the Cincinnati-Hamilton Area has 

attained the 1997 8-hour ozone NAAQS. 

Additionally, EPA is approving a 

revision to the Kentucky State 

Implementation Plan (SIP) including the 

1997 8-hour ozone maintenance plan for 

Northern Kentucky that contains the 

new 2015 and 2020 motor vehicle 

emission budgets (MVEBs) for nitrogen 

oxides (NOX) and volatile organic 

compounds (VOC) for Northern 

Kentucky. This action also approves the 

emissions inventory submitted with the 

maintenance plan. EPA has previously 

approved, in a separate rulemaking, 

similar redesignation requests submitted 

by the States of Ohio and Indiana for 

their portions of this 1997 8-hour ozone 

area. 

DATES: Effective Date: This rule will be 

effective August 5, 2010. 

ADDRESSES: EPA has established a 

docket for this action under Docket 

Identification No. EPA–R04–OAR– 

2010–0134. All documents in the docket 

are listed on the http:// 

www.regulations.gov Web site. Although 

listed in the index, some information is 

not publicly available, i.e., Confidential 

Business Information or other 

information whose disclosure is 

restricted by statute. Certain other 

material, such as copyrighted material, 

is not placed on the Internet and will be 

publicly available only in hard copy 

form. Publicly available docket 

materials are available either 

electronically through http:// 

www.regulations.gov or in hard copy at 

the Regulatory Development Section, 

Air Planning Branch, Air, Pesticides and 

Toxics Management Division, U.S. 

Environmental Protection Agency, 

Region 4, 61 Forsyth Street, SW., 

Atlanta, Georgia 30303–8960. EPA 

requests that if at all possible, you 

contact the person listed in the FOR

FURTHER INFORMATION CONTACT section to 

schedule your inspection. The Regional 

Office’s official hours of business are 

Monday through Friday, 8:30 to 4:30, 

excluding Federal holidays. 

FOR FURTHER INFORMATION CONTACT: Jane 

Spann, Regulatory Development 

Section, Air Planning Branch, Air, 

Pesticides and Toxics Management 

Division, U.S. Environmental Protection 

Agency, Region 4, 61 Forsyth Street, 

SW., Atlanta, Georgia 30303–8960. Jane 

Spann may be reached by phone at (404) 

562–9029 or via electronic mail at 

spann.jane@epa.gov. 

SUPPLEMENTARY INFORMATION: 

Table of Contents 

I. What Is the Background for the Actions? 

II. What Actions Is EPA Taking? 

III. Why Is EPA Taking These Actions? 

IV. What Are the Effects of These Actions? 

V. Response to Comments 

VI. Final Action 

VII. Statutory and Executive Order Reviews 

I. What Is the Background for the 

Actions? 

On January 29, 2010, the 

Commonwealth of Kentucky, through 

DAQ, submitted a request to redesignate 

Northern Kentucky (as a portion of the 

Cincinnati-Hamilton Area) to attainment 

for the 1997 8-hour ozone NAAQS, and 

for EPA approval of the Kentucky SIP 

revision containing a maintenance plan 

for Northern Kentucky. In an action 

published on May 12, 2010 (75 FR 

26685), EPA proposed to approve the 

redesignation of Northern Kentucky to 

attainment. EPA also proposed approval 

as a SIP revision of Kentucky’s plan for 

maintaining the 1997 8-hour NAAQS, 

including the emissions inventory 

submitted pursuant to CAA section 

172(c)(3); and the NOX and VOC MVEBs 

for Northern Kentucky contained in the 

maintenance plan. The background for 

these rulemakings is set forth in detail 

in EPA’s May 12, 2010 proposal. 

The MVEBs included in the 

maintenance plan are as follows: 

TABLE 1—NORTHERN KENTUCKY VOC 

AND NOX MVEBS

[Summer season tons per day (tpd)] 

Year 2015 2020 

NOX .................................. 14.40 13.27 

VOC .................................. 9.76 10.07 

In its May 12, 2010, proposed action, 

EPA stated that the adequacy public 

comment period on these MVEBs (as 

contained in Kentucky’s submittal) 

began on February 3, 2010, and closed 

on March 5, 2010. No comments were 

received during this public comment 

period, and therefore, EPA deems the 

new MVEBs for Northern Kentucky 

adequate for the purposes of 

transportation conformity. In a separate 

action, EPA previously found adequate 

and approved the MVEB’s for the Ohio 

and Indiana portions of the CincinnatiHamilton Area (75 FR 26118, May 11, 

2010). 

As we stated in the May 12, 2010, 

proposal, this redesignation addresses 

Northern Kentucky’s status solely with 

respect to the 1997 8-hour ozone 

NAAQS, for which designations were 

finalized on April 30, 2004 (69 FR 

23857). In 2008, EPA issued a revised 8- 

hour ozone NAAQS, which is currently 

under reconsideration. Today’s 

rulemaking concerns only the 1997 8- 

hour ozone NAAQS, and does not 

address or affect the 2008 or any 

subsequently revised and promulgated 

ozone NAAQS. 

In this final rulemaking, EPA is noting 

a correction for the site identification 

numbers listed in EPA’s May 12, 2010 

(75 FR 26685), proposed approval. 

Specifically, the air quality monitor site 

identification number (ID) listed in 

Table 2 (Annual 4th Max High and 

Design Value Concentration for 8-Hour 

Ozone for the Cincinnati-Hamilton OHKY-IN Area (parts per million)) of EPA’s 

May 12, 2010 proposed rulemaking, 

column 3 labeled ‘‘Monitor’’ were 

incorrect for the Boone and Campbell 

County, Kentucky entries. The site 

monitor IDs should read: Boone 


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Federal Register / Vol. 75, No. 150 / Thursday, August 5, 2010 / Rules and Regulations 47219 

1On May 11, 2010, EPA took final action to 

approve Ohio’s and Indiana’s redesignation 

requests for their respective portions of the 

Cincinnati-Hamilton Area, including approval of 

the associated emissions inventories, maintenance 

plans and MVEB’s (75 FR 26118). 

County—KY 338 & Lower River Road 

21–015–0003 and Campbell County— 

Highland Heights 21–037–3002. Please 

see below for the corrected table. 

TABLE 2—ANNUAL 4TH MAX HIGH AND DESIGN VALUE CONCENTRATION FOR 8-HOUR OZONE FOR THE CINCINNATIHAMILTON OH-KY-IN AREA

[Parts per million] 

State*/county Monitor 

2007 

4th high 

(ppm) 

2008 

4th high 

(ppm) 

2009 

4th high 

(ppm) 

2007–2009 

average 

(ppm) 

Ohio: 

Butler ...................... Hamilton, 39–017–0004 ...................................... 0.091 0.071 0.073 0.078 

Middletown, 39–017–1004 .................................. 0.091 0.079 0.076 0.082 

Clermont ................. Batavia 39–025–0022 .......................................... 0.086 0.071 0.069 0.075 

Clinton .................... Wilmington, 39–027–1022 ................................... 0.082 0.076 0.070 0.076 

Hamilton ................. Grooms Rd., Cincinnati, 39–061–0006 ............... 0.089 0.086 0.072 0.082 

Cleves, 39–061–0010 .......................................... 0.086 0.077 0.065 0.076 

250 Wm. Howard Taft, Cincinnati, 39–061–0040 0.086 0.080 0.074 0.080 

Warren .................... Lebanon, 39–165–0007 ....................................... 0.088 0.082 0.077 0.082 

Kentucky: 

Boone ..................... KY 338 & Lower River Road, 21–015–0003 ....... 0.078 0.064 0.064 0.068 

Campbell ................ Highland Heights, 21–037–3002 ......................... 0.086 0.075 0.068 0.076 

Kenton .................... Covington, 21–117–0007 .................................... 0.085 0.073 0.074 0.077 

II. What Actions Is EPA Taking? 

In today’s rulemaking, EPA is 

finalizing several related actions. EPA is 

approving: (1) Kentucky’s redesignation 

request to change the legal designation 

of the Northern Kentucky portion of the 

Cincinnati-Hamilton Area from 

nonattainment to attainment for the 

1997 8-hour ozone NAAQS; (2) 

Kentucky’s 1997 8-hour ozone 

maintenance plan for Northern 

Kentucky, including MVEB’s (such 

approval being one of the CAA criteria 

for redesignation to attainment status); 

and (3) Kentucky’s emissions inventory 

which was submitted pursuant to CAA 

section 172(c)(3). The maintenance plan 

is designed to help keep the CincinnatiHamilton Area in attainment for the 

1997 8-hour ozone NAAQS through 

2020. EPA’s approval of the 

redesignation request is based on EPA’s 

determination that Northern Kentucky 

meets the criteria for redesignation set 

forth in CAA, sections 107(d)(3)(E) and 

175A, including EPA’s determination 

that the Cincinnati-Hamilton Area has 

attained the 1997 8-hour ozone NAAQS. 

EPA’s analyses of Kentucky’s 

redesignation request, emissions 

inventory, and maintenance plan are 

described in detail in the May 12, 2010 

proposed rule (75 FR 26685). 

Consistent with the CAA, the 

maintenance plan that EPA is approving 

also includes 2015 and 2020 MVEBs for 

NOX and VOC for Northern Kentucky. 

In this action, EPA is approving these 

NOX and VOC MVEBs for the purposes 

of transportation conformity. For 

regional emission analysis years that 

involve the year 2015, and any year 

between 2015 and 2020, the new 2015 

MVEBs are the applicable budgets (for 

the purpose of conducting 

transportation conformity analyses). For 

regional emission analysis years that 

involve the year 2020 and beyond, the 

applicable budgets, for the purpose of 

conducting transportation conformity 

analyses, are the new 2020 MVEBs. 

III. Why Is EPA Taking These Actions? 

EPA has determined that the 

Cincinnati-Hamilton Area has attained 

the 1997 8-hour ozone NAAQS and has 

also determined that all other criteria for 

the redesignation of Northern Kentucky 

(as part of the Cincinnati-Hamilton 

Area) from nonattainment to attainment 

of the 1997 8-hour ozone NAAQS have 

been met. See section 107(d)(3)(E) of the 

CAA. EPA is also taking final action to 

approve the maintenance plan for 

Northern Kentucky as meeting the 

requirements of sections 175A and 

107(d)(3)(E) of the CAA, and the 

emissions inventory as meeting the 

requirements of section 172(c)(3) of the 

CAA. Furthermore, EPA is approving 

the new NOX and VOC MVEBs for the 

years 2015 and 2020 as contained in 

Kentucky’s maintenance plan for 

Northern Kentucky because these 

MVEBs are consistent with maintenance 

for the Cincinnati-Hamilton Area. In the 

May 12, 2010, proposal to redesignate 

Northern Kentucky, EPA described the 

applicable criteria for redesignation to 

attainment and its analysis of how those 

criteria have been met. The bases and 

rationale for EPA’s findings and actions 

are set forth in the proposed 

rulemaking, and in the responses to 

comments and other discussion in this 

final rulemaking. 

IV. What Are the Effects of These 

Actions? 

Approval of the redesignation request 

changes the legal designation of Boone, 

Campbell and Kenton Counties in 

Kentucky (the Kentucky portion of the 

Cincinnati-Hamilton Area) from 

nonattainment to attainment for the 

1997 8-hour ozone NAAQS. 40 CFR part 

81. EPA is also approving as a revision 

to the Kentucky SIP, Kentucky’s plan for 

maintaining the 1997 8-hour ozone 

NAAQS in the Cincinnati-Hamilton 

Area through 2020. The maintenance 

plan includes contingency measures to 

remedy possible future violations of the 

1997 8-hour ozone NAAQS, and 

establishes NOX and VOC MVEBs for 

the years 2015 and 2020 for Northern 

Kentucky. Additionally, this action 

approves the emissions inventory for 

Northern Kentucky pursuant to section 

172(c)(3) of the CAA.1

V. Response to Comments 

EPA received one set of comments 

from the Allegheny County Health 

Department on EPA’s proposal. The 

comment received addresses minor 

arithmetic errors in tabulating totals in 

some maintenance plan emissions 

inventories. EPA’s response to the 

comment is provided below. 

Comment: The Commenter, the 

Allegheny County Health Department 

states: ‘‘In Table 3 of the proposed 

approval Federal Register the nonroad 

total for 2018 VOC should be 7.43 tons 


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per day (tpd) not 7.68 tpd and the 2018 

VOC total for all sources should be 

40.10 tpd when the nonroad total is 

corrected.’’ 

Response: EPA acknowledges the 

Commentor’s correction for the total 

nonroad VOC and also notes that there 

were additional typographical errors in 

the proposed rule with regard to some 

of the totaled emission categories. See 

Table 3 and 4 below for the corrected 

VOC and NOX emissions totals. The 

corrected numbers are underlined. None 

of these corrections changes the 

downward trend of total Northern 

Kentucky VOC and NOX emissions from 

2008 to 2020, and in some cases the 

revisions reflect lower emissions totals 

than were indicated in EPA’s proposed 

rule. With these corrections, as in EPA’s 

original proposal, Kentucky’s plan for 

Northern Kentucky continues to 

demonstrate maintenance for the initial 

maintenance period with a total of 3.89 

tpd reduction in VOC emissions, and 

14.48 tpd reduction in NOX emissions 

from the 2008 baseline to the 2020 

outyear. 

TABLE 3—NORTHERN KENTUCKY VOC EMISSIONS (tpd) 

2008 2011 2015 2018 2020 

Point 

Boone ................................................................................... 2.81 2.90 3.04 3.14 3.20 

Campbell .............................................................................. 0.28 0.29 0.30 0.31 0.31 

Kenton .................................................................................. 1.17 1.23 1.31 1.38 1.42 

Point Total ..................................................................... 4.26 4.42 4.65 4.83 4.93 

Area 

Boone ................................................................................... 8.41 8.45 8.50 8.50 8.50 

Campbell .............................................................................. 4.34 4.28 4.20 4.20 4.20 

Kenton .................................................................................. 7.88 7.79 7.66 7.66 7.66 

Area Total ..................................................................... 20.63 20.52 20.36 20.36 20.36 

Nonroad 

Boone ................................................................................... 5.07 4.84 4.55 4.44 4.36 

Campbell .............................................................................. 1.51 1.41 1.29 1.25 1.22 

Kenton .................................................................................. 1.95 1.87 1.76 1.74 1.73 

Nonroad Total ............................................................... 8.53 8.12 7.60 7.43 7.31 

Mobile* 

Boone ................................................................................... 4.00 3.63 3.17 3.04 2.96 

Campbell .............................................................................. 2.29 2.04 1.74 1.62 1.55 

Kenton .................................................................................. 3.85 3.39 2.85 2.67 2.56 

Mobile Total .................................................................. 10.14 9.06 7.76 7.33 7.07 

Northern Kentucky Total .................................... 43.56 42.12 40.37 39.95 39.67 

* Calculated using MOBILE6.2. 

TABLE 4—NORTHERN KENTUCKY NOX EMISSIONS (tpd) 

2008 2011 2015 2018 2020 

Point 

Boone ................................................................................... 23.27 24.04 25.08 25.91 26.47 

Campbell .............................................................................. 0.02 0.02 0.02 0.03 0.03 

Kenton .................................................................................. 0.03 0.03 0.03 0.03 0.03 

Point Total ..................................................................... 23.32 24.09 25.13 25.97 26.53 

Area 

Boone ................................................................................... 5.02 5.02 5.03 5.03 5.03 

Campbell .............................................................................. 1.32 1.31 1.30 1.30 1.30 

Kenton .................................................................................. 4.06 4.04 4.02 4.02 4.02 

Area Total ..................................................................... 10.40 10.37 10.35 10.35 10.35 

Nonroad 

Boone ................................................................................... 11.02 10.47 9.77 9.60 9.48 

Campbell .............................................................................. 5.34 5.00 4.57 4.43 4.34 


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TABLE 4—NORTHERN KENTUCKY NOX EMISSIONS (tpd)—Continued 

2008 2011 2015 2018 2020 

Kenton .................................................................................. 7.33 6.81 6.15 5.91 5.75 

Nonroad Total ............................................................... 23.69 22.28 20.49 19.94 19.57 

Mobile* 

Boone ................................................................................... 8.53 6.64 4.63 3.90 3.45 

Campbell .............................................................................. 4.88 3.74 2.54 2.09 1.81 

Kenton .................................................................................. 8.37 6.33 4.23 3.47 3.01 

Mobile Total .................................................................. 21.78 16.71 11.40 9.46 8.27 

Northern Kentucky Total ........................................ 79.19 73.45 67.37 65.72 64.72 

* Calculated using MOBILE6.2. 

EPA has determined that the 

Commonwealth’s redesignation request 

meets all of the CAA redesignation 

criteria for the 1997 8-hour ozone 

NAAQS. EPA’s May 12, 2010, proposed 

rulemaking, as supplemented by today’s 

notice, specifically addresses each of the 

criteria and provides detailed analysis 

of how they are met. 

VI. Final Action 

After evaluating Kentucky’s 

redesignation request and comments 

received, EPA is taking final action to 

approve the redesignation and change 

the legal designation of Boone, 

Campbell and Kenton Counties in 

Kentucky (as part of the CincinnatiHamilton Area) from nonattainment to 

attainment for the 1997 8-hour ozone 

NAAQS. EPA has already taken final 

action to approve the redesignation 

requests, emission inventories and 

maintenance plans for the Ohio and 

Indiana portions of this Area in a 

separate but coordinated action. See 75 

FR 26118. Through this action, EPA is 

also approving into the Kentucky SIP, 

the 1997 8-hour ozone maintenance 

plan for Northern Kentucky, which 

includes the new NOx MVEBs of 14.40 

tpd for 2015, and 13.27 tpd for 2020; 

and new VOC MVEBs of 9.76 tpd for 

2015, and 10.07 tpd for 2020. 

Additionally, EPA is approving the 

emissions inventory for Northern 

Kentucky pursuant to section 172(c)(3) 

of the CAA. Finally, EPA is finding the 

new Northern Kentucky MVEBs are 

adequate for the purposes of 

transportation conformity. Within 24 

months from the effective date of EPA’s 

adequacy finding for the MVEBs, the 

transportation partners will need to 

demonstrate conformity to the new NOx 

and VOC MVEBs pursuant to 40 CFR 

93.104(e). 

In accordance with 5 U.S.C. 553(d), 

EPA finds there is good cause for this 

action to become effective immediately 

upon publication. This is because a 

delayed effective date is unnecessary 

due to the nature of a redesignation to 

attainment, which relieves the area from 

certain CAA requirements that would 

otherwise apply to it. The immediate 

effective date for this action is 

authorized under both 5 U.S.C. 

553(d)(1), which after publication it 

provides that rulemaking actions may 

become effective less than 30 days after 

publication if the rule ‘‘grants or 

recognizes an exemption or relieves a 

restriction,’’ and section 553(d)(3), 

which allows an effective date less than 

30 days after publication ‘‘as otherwise 

provided by the agency for good cause 

found and published with the rule.’’ The 

purpose of the 30-day waiting period 

prescribed in section 553(d) is to give 

affected parties a reasonable time to 

adjust their behavior and prepare before 

the final rule takes effect. Today’s rule, 

however, does not create any new 

regulatory requirements such that 

affected parties would need time to 

prepare before the rule takes effect. 

Rather, today’s rule relieves the 

Commonwealth of various requirements 

for the Northern Kentucky Area. For 

these reasons, EPA finds good cause 

under 5 U.S.C. 553(d)(3) for this action 

to become effective on the date of 

publication of this action. 

VII. Statutory and Executive Order 

Reviews 

Under the CAA, the Administrator is 

required to approve a SIP submission 

that complies with the provisions of the 

Act and applicable Federal regulations. 

42 U.S.C. 7410(k); 40 CFR 52.02(a). 

Thus, in reviewing SIP submissions, 

EPA’s role is to approve state choices, 

provided that they meet the criteria of 

the CAA. Accordingly, this action 

merely approves state law as meeting 

Federal requirements and does not 

impose additional requirements beyond 

those imposed by state law. For that 

reason, this action: 

• Is not a ‘‘significant regulatory 

action’’ subject to review by the Office 

of Management and Budget under 

Executive Order 12866 (58 FR 51735, 

October 4, 1993); 

• Does not impose an information 

collection burden under the provisions 

of the Paperwork Reduction Act (44 

U.S.C. 3501 et seq.); 

• Is certified as not having a 

significant economic impact on a 

substantial number of small entities 

under the Regulatory Flexibility Act (5 

U.S.C. 601 et seq.); 

• Does not contain any unfunded 

mandate or significantly or uniquely 

affect small governments, as described 

in the Unfunded Mandates Reform Act 

of 1995 (Pub. L. 104–4); 

• Does not have Federalism 

implications as specified in Executive 

Order 13132 (64 FR 43255, August 10, 

1999); 

• Is not an economically significant 

regulatory action based on health or 

safety risks subject to Executive Order 

13045 (62 FR 19885, April 23, 1997); 

• Is not a significant regulatory action 

subject to Executive Order 13211 (66 FR 

28355, May 22, 2001); 

• Is not subject to requirements of 

Section 12(d) of the National 

Technology Transfer and Advancement 

Act of 1995 (15 U.S.C. 272 note) because 

application of those requirements would 

be inconsistent with the CAA; and 

• Does not provide EPA with the 

discretionary authority to address, as 

appropriate, disproportionate human 

health or environmental effects, using 

practicable and legally permissible 

methods, under Executive Order 12898 

(59 FR 7629, February 16, 1994). 

In addition, this rule does not have 

tribal implications as specified by 

Executive Order 13175 (65 FR 67249, 

November 9, 2000), because the SIP is 

not approved to apply in Indian country 


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located in the state, and EPA notes that 

it will not impose substantial direct 

costs on tribal governments or preempt 

tribal law. 

The Congressional Review Act, 5 

U.S.C. 801 et seq., as added by the Small 

Business Regulatory Enforcement 

Fairness Act of 1996, generally provides 

that before a rule may take effect, the 

agency promulgating the rule must 

submit a rule report, which includes a 

copy of the rule, to each House of the 

Congress and to the Comptroller General 

of the United States. EPA will submit a 

report containing this action and other 

required information to the U.S. Senate, 

the U.S. House of Representatives, and 

the Comptroller General of the United 

States prior to publication of the rule in 

the Federal Register. A major rule 

cannot take effect until 60 days after it 

is published in the Federal Register. 

This action is not a ‘‘major rule’’ as 

defined by 5 U.S.C. 804(2). 

Under section 307(b)(1) of the CAA, 

petitions for judicial review of this 

action must be filed in the United States 

Court of Appeals for the appropriate 

circuit by October 4, 2010. Filing a 

petition for reconsideration by the 

Administrator of this final rule does not 

affect the finality of this action for the 

purposes of judicial review nor does it 

extend the time within which a petition 

for judicial review may be filed, and 

shall not postpone the effectiveness of 

such rule or action. This action may not 

be challenged later in proceedings to 

enforce its requirements. (See section 

307(b)(2)). 

List of Subjects 

40 CFR Part 52 

Environmental protection, Air 

pollution control, Incorporation by 

reference, Nitrogen dioxide, Ozone, 

Intergovernmental relations, and 

Volatile organic compounds. 

40 CFR Part 81 

Environmental protection and Air 

pollution control. 

Dated: July 26, 2010. 

A. Stanley Meiburg, 

Acting Regional Administrator, Region 4. 

■ Accordingly, 40 CFR parts 52 and 81 

are amended as follows: 

PART 52—[AMENDED] 

■ 1. The authority citation for part 52 

continues to read as follows: 

Authority: 42 U.S.C. 7401 et seq. 

Subpart S—Kentucky 

■ 2. Section 52.920(e) is amended by 

adding a new entry at the end of the 

table for ‘‘Northern Kentucky 8-Hour 

Ozone Maintenance Plan’’ to read as 

follows: 

§ 52.920 Identification of plan. 

* * * * * 

(e) * * * 

EPA–APPROVED KENTUCKY NON-REGULATORY PROVISIONS

Name of non-regulatory SIP 

provision 

Applicable geographic or 

nonattainment area 

State submittal 

date/effective 

date 

EPA approval date Explanations 

*******

Northern Kentucky 8-Hour 

Ozone Maintenance plan.

Boone, Campbell and Kenton 

Counties in Kentucky.

1/29/2010 8/5/2010 [Insert citation of 

publication].

For the 1997 8-hour ozone 

NAAQS. 

PART 81—[AMENDED] 

■ 3. The authority citation for part 81 

continues to read as follows: 

Authority: 42 U.S.C. 7401 et seq. 

■ 4. In § 81.318, the table entitled 

‘‘Kentucky-Ozone (8-Hour Standard)’’ is 

amended under ‘‘Cincinnati-Hamilton, 

OH-KY-IN’’ by revising the entries for 

‘‘Boone County,’’ ‘‘Campbell County,’’ 

and ‘‘Kenton County’’ to read as follows: 

§ 81.318 Kentucky. 

* * * * * 

KENTUCKY-OZONE

[8-Hour Standard] 

Designated 

Designation a Category/classification 

Date 1 Type Date 1 Type 

Cincinnati-Hamilton, 

OH-KY-IN: 

Boone County ...... This action is effective 08/05/10 ..................... Attainment 

Campbell County This action is effective 08/05/10 ..................... Attainment 

Kenton County ..... This action is effective 08/05/10 ..................... Attainment 

* * * * * * * 

a Includes Indian Country located in each county or area, except as otherwise specified. 

1This date is June 15, 2004, unless otherwise noted. 


wwoods2 on DSK1DXX6B1PROD with RULES_PART 1
Federal Register / Vol. 75, No. 150 / Thursday, August 5, 2010 / Rules and Regulations 47223 

* * * * * 

[FR Doc. 2010–19170 Filed 8–4–10; 8:45 am] 

BILLING CODE 6560–50–P 

ENVIRONMENTAL PROTECTION 

AGENCY 

40 CFR Parts 271 and 272 

[EPA–R06–2009–0570; FRL–9172–6] 

Louisiana: Final Authorization of StateInitiated Changes and Incorporation by 

Reference of Approved State 

Hazardous Waste Management 

Program 

AGENCY: Environmental Protection 

Agency (EPA). 

ACTION: Direct final rule. 

SUMMARY: During a review of 

Louisiana’s regulations, the EPA 

identified a variety of State-initiated 

changes to its hazardous waste program 

under the Resource Conservation and 

Recovery Act (RCRA). We have 

determined that these changes are minor 

and satisfy all requirements needed to 

qualify for Final authorization and are 

authorizing the State-initiated changes 

through this direct Final action. In 

addition, this document corrects 

technical errors made in various Federal 

Register authorization documents for 

Louisiana. 

The Solid Waste Disposal Act, as 

amended, commonly referred to as the 

Resource Conservation and Recovery 

Act (RCRA), allows the Environmental 

Protection Agency (EPA) to authorize 

States to operate their hazardous waste 

management programs in lieu of the 

Federal program. The EPA uses the 

regulations entitled ‘‘Approved State 

Hazardous Waste Management 

Programs’’ to provide notice of the 

authorization status of State programs 

and to incorporate by reference those 

provisions of the State statutes and 

regulations that will be subject to the 

EPA’s inspection and enforcement. The 

rule codifies in the regulations the prior 

approval of Louisiana’s hazardous waste 

management program and incorporates 

by reference authorized provisions of 

the State’s statutes and regulations. 

DATES: This regulation is effective 

October 4, 2010, unless the EPA 

receives adverse written comment on 

this regulation by the close of business 

September 7, 2010. If the EPA receives 

such comments, it will publish a timely 

withdrawal of this direct final rule in 

the Federal Register informing the 

public that this rule will not take effect. 

The Director of the Federal Register 

approves this incorporation by reference 

as of October 4, 2010 in accordance with 

5 U.S.C. 552(a) and 1 CFR part 51. 

ADDRESSES: Submit your comments by 

one of the following methods: 

1. Federal eRulemaking Portal: 

http://www.regulations.gov. Follow the 

on-line instructions for submitting 

comments. 

2. E-mail: patterson.alima@epa.gov or 

banks.julia@epa.gov. 

3. Mail: Alima Patterson, Region 6, 

Regional Authorization Coordinator, or 

Julia Banks, Codification Coordinator, 

State/Tribal Oversight Section (6PD–O), 

Multimedia Planning and Permitting 

Division, EPA Region 6, 1445 Ross 

Avenue, Dallas, Texas 75202–2733. 

4. Hand Delivery or Courier: Deliver 

your comments to Alima Patterson, 

Region 6, Regional Authorization 

Coordinator, or Julia Banks, Codification 

Coordinator, State/Tribal Oversight 

Section (6PD–O), Multimedia Planning 

and Permitting Division, EPA Region 6, 

1445 Ross Avenue, Dallas, Texas 75202– 

2733. 

Instructions: Direct your comments to 

Docket ID No. EPA–R06–RCRA–2009– 

0570. EPA’s policy is that all comments 

received will be included in the public 

docket without change, including 

personal information provided, unless 

the comment includes information 

claimed to be Confidential Business 

Information (CBI) or other information 

whose disclosure is restricted by statute. 

Do not submit information that you 

consider to be CBI or otherwise 

protected through http:// 

www.regulations.gov, or e-mail. The 

Federal http://www.regulations.gov Web 

site is an ‘‘anonymous access’’ system, 

which means the EPA will not know 

your identity or contact information 

unless you provide it in the body of 

your comment. If you send an e-mail 

comment directly to the EPA without 

going through http:// 

www.regulations.gov, your e-mail 

address will be automatically captured 

and included as part of the comment 

that is placed in the public docket and 

made available on the Internet. If you 

submit an electronic comment, the EPA 

recommends that you include your 

name and other contact information in 

the body of your comment and with any 

disk or CD–ROM you submit. If the EPA 

cannot read your comment due to 

technical difficulties, and cannot 

contact you for clarification, the EPA 

may not be able to consider your 

comment. Electronic files should avoid 

the use of special characters, any form 

of encryption, and be free of any defects 

or viruses. (For additional information 

about the EPA’s public docket, visit the 

EPA Docket Center homepage at 

http://www.spa.gov/epahome/ 

dockets.htm). 

You can view and copy the 

documents that form the basis for this 

codification and associated publicly 

available materials from 8:30 a.m. to 

4 p.m. Monday through Friday at the 

following location: EPA Region 6, 1445 

Ross Avenue, Dallas, Texas, 75202– 

2733, phone number (214) 665–8533 or 

(214) 665–8178. Interested persons 

wanting to examine these documents 

should make an appointment with the 

office at least two weeks in advance. 

FOR FURTHER INFORMATION CONTACT: 

Alima Patterson, Region 6 Regional 

Authorization Coordinator, or Julia 

Banks, Codification Coordinator, State/ 

Tribal Oversight Section (6PD–O), 

Multimedia Planning and Permitting 

Division, (214) 665–8533 or (214) 665– 

8178, EPA Region 6, 1445 Ross Avenue, 

Dallas, Texas 75202–2733, and e-mail 

address patterson.alima@epa.gov or 

banks.julia@epa.gov. 

SUPPLEMENTARY INFORMATION: 

I. Authorization of State-Initiated 

Changes 

A. Why are revisions to State programs 

necessary? 

States which have received Final 

authorization from the EPA under RCRA 

section 3006(b), 42 U.S.C. 6926(b), must 

maintain a hazardous waste program 

that is equivalent to, consistent with, 

and no less stringent than the Federal 

hazardous waste program. As the 

Federal program changes, the States 

must change their programs and ask the 

EPA to authorize the changes. Changes 

to State hazardous waste programs may 

be necessary when Federal or State 

statutory or regulatory authority is 

modified or when certain other changes 

occur. Most commonly, States must 

change their programs because of 

changes to the EPA’s regulations in 40 

Code of Federal Regulations (CFR) parts 

124, 260 through 268, 270, 273 and 279. 

States can also initiate their own 

changes to their hazardous waste 

program and these changes must then be 

authorized. 

B. What decisions have we made in this 

rule? 

We conclude that Louisiana’s 

revisions to its authorized program meet 

all of the statutory and regulatory 

requirements established by RCRA. We 

found that the State-initiated changes 

make Louisiana’s rules more clear or 

conform more closely to the Federal 

equivalents and are so minor in nature 

that a formal application is unnecessary. 

Therefore, we grant Louisiana final 

authorization to operate its hazardous 


wwoods2 on DSK1DXX6B1PROD with RULES_PART 1
Appendix C

Ambient Data, Meteorology, and

Monitor Site Descriptions
From: Apache [apache@wwwagwx.ca.uky.edu]

Sent: Tuesday, March 09, 2010 1:46 PM

To: Weaver, Susan (EEC)

Subject: Weather Data Request

This data provided by the University of Kentucky Agricultural Weather 

Center (Phone (859)257-3000 ext.245) World Wide Web URL: 

http://wwwagwx.ca.uky.edu/

Covington Monthly Climate Data(01-2007 to 12-2009)

 ----------------- AIR TEMPERATURE ---------------- -- SOD 

--

 NO. OF DAYS 4" 

TEMP 

 AVERAGE EXTREME AVG DEPART MAX MIN 

AVERAGE 

YEAR MONTH MAX MIN AVG MAX MIN FROM NORM >=90 <=32 MAX 

MIN 

2007 Jan 42 29 35 65 12 +3 0 20 43 

40

2007 Feb 32 16 24 53 -2 -12 0 24 33 

32

2007 Mar 60 41 51 82 17 +6 0 13 48 

45

2007 Apr 61 43 52 85 23 -4 0 6 54 

51

2007 May 80 56 68 89 39 +4 0 0 68 

63

2007 Jun 86 63 75 94 51 +3 10 0 75 

70

2007 Jul 86 64 75 91 53 -1 5 0 77 

73

2007 Aug 94 70 82 101 60 +7 26 0 78 

75

2007 Sep 86 61 73 97 47 +4 12 0 73 

69

2007 Oct 71 52 62 91 30 +5 2 2 65 

61

2007 Nov 52 36 44 69 18 -2 0 11 51 

48

2007 Dec 42 30 36 67 14 -1 0 20 45 

42

2008 Jan 37 23 30 67 2 -2 0 24 40 

36

2008 Feb 38 26 32 63 4 -4 0 23 41 

37

2008 Mar 49 33 41 71 6 -4 0 17 45 

41

2008 Apr 64 45 55 81 31 -1 0 1 56 

52

2008 May 71 51 61 85 37 -3 0 0 59 

59

2008 Jun 84 62 73 90 51 +1 5 0 75 

70

2008 Jul 85 64 75 92 47 -1 6 0 78 

73

2008 Aug 85 64 75 93 54 -0 8 0 79 
73

2008 Sep 82 60 71 95 50 +2 6 0 75 

70

2008 Oct 67 45 56 84 25 -1 0 2 63 

58

2008 Nov 51 34 43 74 12 -3 0 15 48 

45

2008 Dec 40 26 33 70 3 -4 0 24 41 

38

2009 Jan 33 20 26 59 -6 -6 0 28 36 

34

2009 Feb 44 28 36 63 -5 -0 0 18 38 

36

2009 Mar 57 38 47 77 9 +2 0 9 48 

45

2009 Apr 64 45 55 85 30 -1 0 4 56 

52

2009 May 74 56 65 85 41 +1 0 0 65 

63

2009 Jun 82 63 73 91 48 +1 3 0 77 

72

2009 Jul 79 62 70 85 53 -6 0 0 75 

71

2009 Aug 82 63 72 91 50 -3 1 0 75 

72

2009 Sep 77 60 68 85 49 -1 0 0 71 

69

2009 Oct 61 44 53 80 28 -4 0 2 59 

56

2009 Nov 56 40 48 71 27 +2 0 3 51 

49

2009 Dec 39 27 33 59 15 -4 0 23 40 

38

 

------------------------ PRECIPITATION -----------------------

 DEPARTURE GREATEST 

 FROM CUMULATIVE 24 HOUR % RAIN NO. 

DAYS

YEAR MONTH TOTAL NORMAL TOTAL DEPARTURE TOTAL DAYS >=.01

2007 Jan 3.84 +1.25 3.84 +1.25 1.01 32 10

2007 Feb 3.38 +0.69 7.22 +1.94 1.05 32 9

2007 Mar 3.14 -1.10 10.36 +0.84 0.88 39 12

2007 Apr 3.17 -0.58 13.53 +0.26 0.62 37 11

2007 May 0.91 -3.37 14.44 -3.11 0.58 16 5

2007 Jun 1.86 -1.98 16.30 -5.09 0.71 23 7

2007 Jul 1.92 -2.32 18.22 -7.41 0.61 32 10

2007 Aug 0.53 -2.82 18.75 -10.23 0.23 19 6

2007 Sep 2.47 -0.41 21.22 -10.64 1.80 13 4

2007 Oct 7.07 +4.21 28.29 -6.43 2.59 19 6
2007 Nov 2.73 -0.73 31.02 -7.16 1.50 27 8

2007 Dec 5.63 +2.48 36.65 -4.68 1.20 48 15

2008 Jan 2.11 -0.48 38.76 -5.16 0.74 32 10

2008 Feb 5.15 +2.46 43.91 -2.70 1.20 54 15

2008 Mar 9.52 +5.28 53.43 +2.58 2.39 39 12

2008 Apr 2.75 -1.00 56.18 +1.58 1.66 30 9

2008 May 6.32 +2.04 62.50 +3.62 0.99 42 13

2008 Jun 5.21 +1.37 67.71 +4.99 1.93 33 10

2008 Jul 3.16 -1.08 70.87 +3.91 0.93 26 8

2008 Aug 1.78 -1.57 72.65 +2.34 0.93 13 4

2008 Sep 1.22 -1.66 73.87 +0.68 0.79 13 4

2008 Oct 1.63 -1.23 75.50 -0.55 0.84 10 3

2008 Nov 1.71 -1.75 77.21 -2.30 0.69 23 7

2008 Dec 4.51 +1.36 81.72 -0.94 1.82 55 17

2009 Jan 2.87 +0.28 84.59 -0.66 1.01 35 11

2009 Feb 2.37 -0.32 86.96 -0.98 1.04 25 7

2009 Mar 1.58 -2.66 88.54 -3.64 0.40 19 6

2009 Apr 3.70 -0.05 92.24 -3.69 0.61 43 13

2009 May 3.79 -0.49 96.03 -4.18 0.70 45 14

2009 Jun 7.69 +3.85 103.72 -0.33 2.45 43 13

2009 Jul 5.81 +1.57 109.53 +1.24 1.12 48 15

2009 Aug 1.78 -1.57 111.31 -0.33 1.15 10 3

2009 Sep 4.92 +2.04 116.23 +1.71 0.88 40 12

2009 Oct 5.42 +2.56 121.65 +4.27 1.40 39 12

2009 Nov 0.91 -2.55 122.56 +1.72 0.36 13 4

2009 Dec 2.76 -0.39 125.32 +1.33 0.68 39 12

Data if used for legal purposes must be certified by NCDC, National 

Climate Data Center (Phone 828/271-4800)
Appendix C:  Locations of ambient monitors in the Cincinnati‐Hamilton, OH‐IN‐KY area

Source Map:  Google Earth   

Latitudes‐Longitudes provided by USEPA/AQS AMP380 Site Description Report.

Blue pins are the Kentucky monitors.

Red pins are the Ohio monitors.

Dearborn County, Indiana does not have a monitoring location.
County State Site Name Monitor ID Latitude Longitude

Campbell KY NKU 21‐037‐3002 39.021806  ‐84.474453

Kenton KY University College 21‐117‐0007 39.072500  ‐84.525000

Butler OH Fire House 39‐017‐0004 39.383333  ‐84.544167

Butler OH Hook Field 39‐017‐1004 39.530000  ‐84.392500

Clermont OH Gov Bldg 39‐025‐0022 39.082319  ‐84.144193

Clinton OH Laurel Ctr 39‐027‐1002 39.430000  ‐83.788611

Hamilton OH Sycamore 39‐061‐0006 39.278499  ‐84.365974

Hamilton OH Colerain 39‐061‐0010 39.214931  ‐84.690723

Hamilton OH Taft 39‐061‐0040 39.128611  ‐84.504167

Warren OH SE St 39‐165‐0007 39.427797  ‐84.202208

Source:  USEPA/AQS AMP 380 Site Description Report 2010
UNITES STATES ENVIRONMENTAL PROTECTION AGENCY

QUICKLOOK CRITERIA PARAMETERS

Report Request ID: 720853 Report Code: AMP450 Feb. 19, 2010

Selection Criteria Page 1

User ID: NOQ

State County Site Parameter POC City AQCR UAR CBSA CSA

EPA

Region Method Duration Begin Date End Date

21 1

GEOGRAPHIC SELECTIONS

PROTOCOL SELECTIONS

Parameter

Classification Parameter Method Duration

CRITERIA 88101

SELECTED OPTIONS

EVENTS PROCESSING

MERGE PDF FILES

Option Type Option Value

EXCLUDE REGIONALLY CONCURRED EVENTS

YES

SORT ORDER

1

2

3

4

5

6

7

Order Column

PARAMETER_CODE

STATE_CODE

COUNTY_CODE

SITE_ID

POC

DATES

EDT_ID

GLOBAL DATES

2000

Start Date End Date

2009

Tribal
Feb. 19, 2010

Note: The * indicates that the mean does

not satisfy summary criteria.

UNITED STATES ENVIRONMENTAL PROTECTION AGENCY

AIR QUALITY SYSTEM

QUICK LOOK REPORT (AMP450)

Page 1 of 27

EXCEPTIONAL DATA TYPES

EDT DESCRIPTION

0

1

2

3

4

5

6

7

NO EVENTS

EVENTS EXCLUDED

EVENTS INCLUDED

EXCEPTIONAL EVENTS EXCLUDED

NATURAL EVENTS EXCLUDED

EVENTS WITH CONCURRENCE EXCLUDED

EXCEPTIONAL EVENTS WITH CONCURRENCE EXCLUDED

NATURAL EVENTS WITH CONCURRENCE EXCLUDED
Feb. 19, 2010

Note: The * indicates that the mean does

not satisfy summary criteria.

UNITED STATES ENVIRONMENTAL PROTECTION AGENCY

AIR QUALITY SYSTEM

QUICK LOOK REPORT (AMP450)

Page 2 of 27

PM2.5 - Local Conditions (88101) Kentucky Micrograms/cubic meter (LC) (105)

SITE ID

P

O

C PQAO CITY COUNTY ADDRESS YEAR METH #OBS

4TH

MAX CERT EDT

21-013-0002

21-013-0002

21-013-0002

21-013-0002

21-013-0002

21-013-0002

21-013-0002

21-013-0002

21-013-0002

1

1

1

1

1

1

1

1

1

0584

0584

0584

0584

0584

0584

0584

0584

0584

Middlesboroug

h (corporate 

name for 

Middlesboro)

Middlesboroug

h (corporate 

name for 

Middlesboro)

Middlesboroug

h (corporate 

name for 

Middlesboro)

Middlesboroug

h (corporate 

name for 

Middlesboro)

Middlesboroug

h (corporate 

name for 

Middlesboro)

Middlesboroug

h (corporate 

name for 

Middlesboro)

Middlesboroug

h (corporate 

name for 

Middlesboro)

Middlesboroug

h (corporate 

name for 

Middlesboro)

Middlesboroug

Bell

Bell

Bell

Bell

Bell

Bell

Bell

Bell

Bell

MIDDLESBORO 

AIRPORT, 34TH

& DORCHESTER

MIDDLESBORO 

AIRPORT, 34TH

& DORCHESTER

MIDDLESBORO 

AIRPORT, 34TH

& DORCHESTER

MIDDLESBORO 

AIRPORT, 34TH

& DORCHESTER

MIDDLESBORO 

AIRPORT, 34TH

& DORCHESTER

MIDDLESBORO 

AIRPORT, 34TH

& DORCHESTER

MIDDLESBORO 

AIRPORT, 34TH

& DORCHESTER

MIDDLESBORO 

AIRPORT, 34TH

& DORCHESTER

MIDDLESBORO 

2000

2001

2002

2003

2004

2005

2006

2007

2008

118

118

118

118

118

118

118

118

118

44.3

36.8

34.5

42.2

32.0

34.4

30.2

40.7

30.3

Y

Y

Y

Y

Y

0

5

0

0

0

5

5

5

0

24-HOUR 

98TH

PERCENTILE

VALUE

41.5

30.2

25.9

32.7

29.5

31.0

25.7

29.5

24.4

53

54

57

58

58

55

61

59

59

1ST

MAX

2ND

MAX

3RD

MAX

41.5

30.2

25.9

32.7

29.5

31.0

25.7

29.5

24.4

40.2

28.2

24.5

22.3

25.9

27.2

24.5

28.2

23.1

39.8

26.6

24.1

21.4

23.0

26.6

24.1

27.5

23.1

18.23*

15.08 

14.29 

14.21 

13.40 

14.95*

13.75 

15.24 

12.53 

WTD

ARITH

MEAN
Feb. 19, 2010

Note: The * indicates that the mean does

not satisfy summary criteria.

UNITED STATES ENVIRONMENTAL PROTECTION AGENCY

AIR QUALITY SYSTEM

QUICK LOOK REPORT (AMP450)

Page 3 of 27

PM2.5 - Local Conditions (88101) Kentucky Micrograms/cubic meter (LC) (105)

SITE ID

P

O

C PQAO CITY COUNTY ADDRESS YEAR METH #OBS

4TH

MAX CERT EDT

21-013-0002

21-019-0017

21-019-0017

21-019-0017

21-019-0017

21-019-0017

21-019-0017

21-019-0017

21-019-0017

21-019-0017

1

1

1

1

1

1

1

1

1

1

0584

0584

0584

0584

0584

0584

0584

0584

0584

0584

h (corporate 

name for 

Middlesboro)

Middlesboroug

h (corporate 

name for 

Middlesboro)

Ashland

Ashland

Ashland

Ashland

Ashland

Ashland

Ashland

Ashland

Ashland

Bell

Boyd

Boyd

Boyd

Boyd

Boyd

Boyd

Boyd

Boyd

Boyd

AIRPORT, 34TH

& DORCHESTER

MIDDLESBORO 

AIRPORT, 34TH

& DORCHESTER

2924 HOLT ST,

FIVCO HEALTH 

DEPT

2924 HOLT ST,

FIVCO HEALTH 

DEPT

2924 HOLT ST,

FIVCO HEALTH 

DEPT

2924 HOLT ST,

FIVCO HEALTH 

DEPT

2924 HOLT ST,

FIVCO HEALTH 

DEPT

2924 HOLT ST,

FIVCO HEALTH 

DEPT

2924 HOLT ST,

FIVCO HEALTH 

DEPT

2924 HOLT ST,

FIVCO HEALTH 

DEPT

2924 HOLT ST,

FIVCO HEALTH 

2009

2000

2001

2002

2003

2004

2005

2006

2007

2008

118

118

118

118

118

118

118

118

118

118

29.5

37.2

54.4

46.8

37.7

30.7

39.0

48.6

40.4

27.8

Y

Y

Y

Y

Y

0

5

5

0

0

0

5

0

5

0

24-HOUR 

98TH

PERCENTILE

VALUE

23.1

34.0

37.7

39.4

33.8

30.3

36.1

28.6

38.5

24.3

59

112

115

116

110

120

119

115

117

121

1ST

MAX

2ND

MAX

3RD

MAX

23.1

34.1

38.5

44.2

37.4

30.4

38.1

28.9

39.0

25.8

19.8

34.0

37.7

39.4

33.8

30.3

36.1

28.6

38.5

24.3

18.7

32.6

37.0

39.2

30.7

26.7

35.5

28.0

35.2

23.8

10.40 

15.66 

15.27 

15.54 

13.93 

13.29 

16.01 

13.76 

14.34 

12.06 

WTD

ARITH

MEAN
Feb. 19, 2010

Note: The * indicates that the mean does

not satisfy summary criteria.

UNITED STATES ENVIRONMENTAL PROTECTION AGENCY

AIR QUALITY SYSTEM

QUICK LOOK REPORT (AMP450)

Page 4 of 27

PM2.5 - Local Conditions (88101) Kentucky Micrograms/cubic meter (LC) (105)

SITE ID

P

O

C PQAO CITY COUNTY ADDRESS YEAR METH #OBS

4TH

MAX CERT EDT

21-019-0017

21-029-0006

21-029-0006

21-029-0006

21-029-0006

21-029-0006

21-029-0006

21-029-0006

21-029-0006

21-029-0006

21-029-0006

21-037-0003

21-037-0003

1

1

1

1

1

1

1

1

1

1

1

1

1

0584

0584

0584

0584

0584

0584

0584

0584

0584

0584

0584

0584

0584

Ashland

Shepherdsvill

e

Shepherdsvill

e

Shepherdsvill

e

Shepherdsvill

e

Shepherdsvill

e

Shepherdsvill

e

Shepherdsvill

e

Shepherdsvill

e

Shepherdsvill

e

Shepherdsvill

e

Fort Thomas

Fort Thomas

Boyd

Bullitt

Bullitt

Bullitt

Bullitt

Bullitt

Bullitt

Bullitt

Bullitt

Bullitt

Bullitt

Campbell

Campbell

DEPT

2924 HOLT ST,

FIVCO HEALTH 

DEPT

2ND & 

CARPENTER STS

2ND & 

CARPENTER STS

2ND & 

CARPENTER STS

2ND & 

CARPENTER STS

2ND & 

CARPENTER STS

2ND & 

CARPENTER STS

2ND & 

CARPENTER STS

2ND & 

CARPENTER STS

2ND & 

CARPENTER STS

2ND & 

CARPENTER STS

700 

ALEXANDRIA 

PK, WATER 

PLT, FT 

THOMAS

700 

ALEXANDRIA 

PK, WATER 

2009

2000

2001

2002

2003

2004

2005

2006

2007

2008

2009

2000

2001

118

118

118

118

118

118

118

118

118

118

145

118

118

26.8

39.2

41.6

53.2

40.7

33.8

42.4

39.0

46.8

29.3

25.7

34.4

35.8

Y

Y

Y

Y

Y

Y

0

5

5

0

0

0

5

5

5

0

0

5

5

24-HOUR 

98TH

PERCENTILE

VALUE

23.5

35.2

32.8

34.1

34.8

28.9

39.0

33.5

35.1

25.4

23.1

33.0

31.3

118

106

114

116

115

116

114

117

118

121

115

118

99

1ST

MAX

2ND

MAX

3RD

MAX

24.6

35.8

38.3

45.0

38.9

31.9

41.2

34.3

37.7

25.9

23.5

34.0

35.3

23.5

35.2

32.8

34.1

34.8

28.9

39.0

33.5

35.1

25.4

23.1

33.0

31.3

21.7

35.0

31.5

32.8

31.2

28.8

35.1

30.9

34.0

24.8

22.7

31.1

30.5

10.94 

16.43 

15.55 

14.69 

14.37 

13.62 

16.32*

14.14 

15.14 

12.84 

11.88 

15.09 

13.44 

WTD

ARITH

MEAN
Feb. 19, 2010

Note: The * indicates that the mean does

not satisfy summary criteria.

UNITED STATES ENVIRONMENTAL PROTECTION AGENCY

AIR QUALITY SYSTEM

QUICK LOOK REPORT (AMP450)

Page 5 of 27

PM2.5 - Local Conditions (88101) Kentucky Micrograms/cubic meter (LC) (105)

SITE ID

P

O

C PQAO CITY COUNTY ADDRESS YEAR METH #OBS

4TH

MAX CERT EDT

21-037-0003

21-037-0003

21-037-0003

21-037-0003

21-037-0003

21-037-3002

21-037-3002

21-037-3002

1

1

1

1

1

1

1

1

0584

0584

0584

0584

0584

0584

0584

0584

Fort Thomas

Fort Thomas

Fort Thomas

Fort Thomas

Fort Thomas

Highland 

Heights

Highland 

Heights

Highland 

Heights

Campbell

Campbell

Campbell

Campbell

Campbell

Campbell

Campbell

Campbell

PLT, FT 

THOMAS

700 

ALEXANDRIA 

PK, WATER 

PLT, FT 

THOMAS

700 

ALEXANDRIA 

PK, WATER 

PLT, FT 

THOMAS

700 

ALEXANDRIA 

PK, WATER 

PLT, FT 

THOMAS

700 

ALEXANDRIA 

PK, WATER 

PLT, FT 

THOMAS

700 

ALEXANDRIA 

PK, WATER 

PLT, FT 

THOMAS

524A John 

Hill Road

524A John 

Hill Road

524A John 

Hill Road

2002

2003

2004

2005

2006

2007

2008

2009

118

118

118

118

118

118

118

145

42.5

32.6

37.2

48.5

25.2

34.0

30.5

24.5

Y

Y

Y

Y

0

0

0

5

0

5

0

0

24-HOUR 

98TH

PERCENTILE

VALUE

42.3

28.1

27.5

38.0

25.2

34.0

26.1

22.5

99

112

119

117

18

50

119

112

1ST

MAX

2ND

MAX

3RD

MAX

42.3

29.7

30.7

39.0

19.8

33.5

27.3

22.7

38.9

28.1

27.5

38.0

17.0

26.3

26.1

22.5

37.7

27.8

26.9

36.0

16.8

26.0

24.4

21.4

14.81*

13.42 

12.77 

14.84 

11.54*

14.36*

11.83 

11.43 

WTD

ARITH

MEAN
Feb. 19, 2010

Note: The * indicates that the mean does

not satisfy summary criteria.

UNITED STATES ENVIRONMENTAL PROTECTION AGENCY

AIR QUALITY SYSTEM

QUICK LOOK REPORT (AMP450)

Page 6 of 27

PM2.5 - Local Conditions (88101) Kentucky Micrograms/cubic meter (LC) (105)

SITE ID

P

O

C PQAO CITY COUNTY ADDRESS YEAR METH #OBS

4TH

MAX CERT EDT

21-043-0500

21-043-0500

21-043-0500

21-043-0500

21-043-0500

21-043-0500

21-043-0500

21-043-0500

21-043-0500

21-043-0500

21-047-0006

21-047-0006

21-047-0006

1

1

1

1

1

1

1

1

1

1

1

1

1

0584

0584

0584

0584

0584

0584

0584

0584

0584

0584

0584

0584

0584

Not in a city

Not in a city

Not in a city

Not in a city

Not in a city

Not in a city

Not in a city

Not in a city

Not in a city

Not in a city

Not in a city

Not in a city

Not in a city

Carter

Carter

Carter

Carter

Carter

Carter

Carter

Carter

Carter

Carter

Christian

Christian

Christian

CAMP WEBB 

GRAYSON LAKE

CAMP WEBB 

GRAYSON LAKE

CAMP WEBB 

GRAYSON LAKE

CAMP WEBB 

GRAYSON LAKE

CAMP WEBB 

GRAYSON LAKE

CAMP WEBB 

GRAYSON LAKE

CAMP WEBB 

GRAYSON LAKE

CAMP WEBB 

GRAYSON LAKE

CAMP WEBB 

GRAYSON LAKE

CAMP WEBB 

GRAYSON LAKE

10800 PILOT 

ROCK ROAD, 

WILLIAMSON 

RES.

10800 PILOT 

ROCK ROAD, 

WILLIAMSON 

RES.

10800 PILOT 

ROCK ROAD, 

WILLIAMSON 

RES.

2000

2001

2002

2003

2004

2005

2006

2007

2008

2009

2000

2001

2002

118

118

118

118

118

118

118

118

118

145

118

118

118

29.5

47.3

39.3

31.3

28.6

39.8

43.2

36.7

25.2

22.2

40.4

33.4

35.0

Y

Y

Y

Y

Y

Y

Y

5

5

0

0

0

5

0

5

0

0

5

0

0

24-HOUR 

98TH

PERCENTILE

VALUE

28.8

28.9

29.8

26.7

24.5

37.2

25.5

30.9

22.6

16.9

38.3

27.2

29.3

107

116

115

111

122

117

112

116

121

120

104

111

107

1ST

MAX

2ND

MAX

3RD

MAX

28.9

30.5

37.0

29.7

24.6

39.6

26.3

31.8

24.5

19.5

39.7

27.6

32.0

28.8

28.9

29.8

26.7

24.5

37.2

25.5

30.9

22.6

16.9

38.3

27.2

29.3

27.8

28.8

27.9

26.3

24.1

36.4

24.9

30.8

21.2

15.5

34.7

26.5

25.8

13.75*

12.36 

12.44 

11.41 

11.08 

13.55 

11.49*

12.81 

10.25 

8.77 

15.45*

13.51 

13.09*

WTD

ARITH

MEAN
Feb. 19, 2010

Note: The * indicates that the mean does

not satisfy summary criteria.

UNITED STATES ENVIRONMENTAL PROTECTION AGENCY

AIR QUALITY SYSTEM

QUICK LOOK REPORT (AMP450)

Page 7 of 27

PM2.5 - Local Conditions (88101) Kentucky Micrograms/cubic meter (LC) (105)

SITE ID

P

O

C PQAO CITY COUNTY ADDRESS YEAR METH #OBS

4TH

MAX CERT EDT

21-047-0006

21-047-0006

21-047-0006

21-047-0006

21-047-0006

21-047-0006

21-047-0006

21-059-0005

21-059-0005

1

1

1

1

1

1

1

1

1

0584

0584

0584

0584

0584

0584

0584

0584

0584

Not in a city

Not in a city

Not in a city

Not in a city

Not in a city

Not in a city

Not in a city

Owensboro

Owensboro

Christian

Christian

Christian

Christian

Christian

Christian

Christian

Daviess

Daviess

10800 PILOT 

ROCK ROAD, 

WILLIAMSON 

RES.

10800 PILOT 

ROCK ROAD, 

WILLIAMSON 

RES.

10800 PILOT 

ROCK ROAD, 

WILLIAMSON 

RES.

10800 PILOT 

ROCK ROAD, 

WILLIAMSON 

RES.

10800 PILOT 

ROCK ROAD, 

WILLIAMSON 

RES.

10800 PILOT 

ROCK ROAD, 

WILLIAMSON 

RES.

10800 PILOT 

ROCK ROAD, 

WILLIAMSON 

RES.

WYNDALL SHPG 

CTR US 60 & 

PLSNT VALLEY 

RD

WYNDALL SHPG 

2003

2004

2005

2006

2007

2008

2009

2005

2006

118

118

118

118

118

118

145

118

118

39.0

32.7

44.9

36.8

43.6

28.4

28.6

38.9

42.7

Y

Y

Y

0

0

5

0

5

0

0

5

0

24-HOUR 

98TH

PERCENTILE

VALUE

36.8

26.2

35.0

30.3

35.5

27.2

24.0

36.7

30.0

103

106

119

115

116

117

103

110

114

1ST

MAX

2ND

MAX

3RD

MAX

38.3

28.5

41.0

30.9

39.5

27.9

28.5

38.6

38.2

36.8

26.2

35.0

30.3

35.5

27.2

24.0

36.7

30.0

34.5

25.1

34.2

27.1

35.5

26.7

21.3

36.6

28.8

13.86*

11.83*

14.04 

12.63 

13.99 

11.90 

10.71*

15.09 

13.05 

WTD

ARITH

MEAN
Feb. 19, 2010

Note: The * indicates that the mean does

not satisfy summary criteria.

UNITED STATES ENVIRONMENTAL PROTECTION AGENCY

AIR QUALITY SYSTEM

QUICK LOOK REPORT (AMP450)

Page 8 of 27

PM2.5 - Local Conditions (88101) Kentucky Micrograms/cubic meter (LC) (105)

SITE ID

P

O

C PQAO CITY COUNTY ADDRESS YEAR METH #OBS

4TH

MAX CERT EDT

21-059-0005

21-059-0005

21-059-0005

21-059-0014

21-059-0014

21-059-0014

21-059-0014

21-059-0014

21-061-0501

1

1

1

1

1

1

1

1

1

0584

0584

0584

0584

0584

0584

0584

0584

0584

Owensboro

Owensboro

Owensboro

Owensboro

Owensboro

Owensboro

Owensboro

Owensboro

Not in a city

Daviess

Daviess

Daviess

Daviess

Daviess

Daviess

Daviess

Daviess

Edmonson

CTR US 60 & 

PLSNT VALLEY 

RD

WYNDALL SHPG 

CTR US 60 & 

PLSNT VALLEY 

RD

WYNDALL SHPG 

CTR US 60 & 

PLSNT VALLEY 

RD

WYNDALL SHPG 

CTR US 60 & 

PLSNT VALLEY 

RD

KY WESLEYAN 

COLLEGE, 3000

FREDERICA ST

KY WESLEYAN 

COLLEGE, 3000

FREDERICA ST

KY WESLEYAN 

COLLEGE, 3000

FREDERICA ST

KY WESLEYAN 

COLLEGE, 3000

FREDERICA ST

KY WESLEYAN 

COLLEGE, 3000

FREDERICA ST

MAMMOTH CAVE 

NP - ALFRED 

COOK ROAD

2007

2008

2009

2000

2001

2002

2003

2004

2004

118

118

145

118

118

118

118

118

118

40.8

28.9

34.0

40.7

44.2

49.3

45.5

32.6

33.2

Y

Y

N

Y

Y

Y

5

0

0

5

0

5

0

0

0

24-HOUR 

98TH

PERCENTILE

VALUE

34.9

24.4

25.4

39.5

31.5

29.5

36.5

27.0

24.2

110

115

114

79

113

111

98

116

117

1ST

MAX

2ND

MAX

3RD

MAX

38.5

24.6

28.3

39.5

41.2

34.6

36.5

27.4

26.8

34.9

24.4

25.4

39.5

31.5

29.5

34.8

27.0

24.2

34.3

23.4

24.2

37.2

30.4

28.7

34.4

25.6

23.9

14.17 

11.99 

11.89 

17.17*

15.18 

14.64 

14.62*

12.47 

11.58 

WTD

ARITH

MEAN
Feb. 19, 2010

Note: The * indicates that the mean does

not satisfy summary criteria.

UNITED STATES ENVIRONMENTAL PROTECTION AGENCY

AIR QUALITY SYSTEM

QUICK LOOK REPORT (AMP450)

Page 9 of 27

PM2.5 - Local Conditions (88101) Kentucky Micrograms/cubic meter (LC) (105)

SITE ID

P

O

C PQAO CITY COUNTY ADDRESS YEAR METH #OBS

4TH

MAX CERT EDT

21-061-0501

21-061-0501

21-067-0012

21-067-0012

21-067-0012

21-067-0012

21-067-0012

21-067-0012

1

1

1

1

1

1

1

1

0584

0584

0584

0584

0584

0584

0584

0584

Not in a city

Not in a city

LexingtonFayette 

(corporate 

name for 

Lexington)

LexingtonFayette 

(corporate 

name for 

Lexington)

LexingtonFayette 

(corporate 

name for 

Lexington)

LexingtonFayette 

(corporate 

name for 

Lexington)

LexingtonFayette 

(corporate 

name for 

Lexington)

LexingtonFayette 

Edmonson

Edmonson

Fayette

Fayette

Fayette

Fayette

Fayette

Fayette

MAMMOTH CAVE 

NP - ALFRED 

COOK ROAD

MAMMOTH CAVE 

NP - ALFRED 

COOK ROAD

650 NEWTOWN 

PIKE, FAYETTE

CO HEALTH 

DEPT

650 NEWTOWN 

PIKE, FAYETTE

CO HEALTH 

DEPT

650 NEWTOWN 

PIKE, FAYETTE

CO HEALTH 

DEPT

650 NEWTOWN 

PIKE, FAYETTE

CO HEALTH 

DEPT

650 NEWTOWN 

PIKE, FAYETTE

CO HEALTH 

DEPT

650 NEWTOWN 

PIKE, FAYETTE

2005

2006

2000

2001

2002

2003

2004

2005

118

118

118

118

118

118

118

118

34.4

17.1

38.6

48.6

56.0

28.9

33.0

44.1

Y

Y

Y

Y

5

0

5

5

0

0

0

5

24-HOUR 

98TH

PERCENTILE

VALUE

33.6

17.1

36.8

35.8

41.6

28.3

29.1

35.6

119

15

112

119

115

109

114

119

1ST

MAX

2ND

MAX

3RD

MAX

33.8

13.5

38.5

39.1

53.3

28.6

30.3

40.8

33.6

12.5

36.8

35.8

41.6

28.3

29.1

35.6

32.8

10.0

31.9

34.3

33.2

28.0

28.6

34.7

13.63 

8.75*

16.22 

15.71 

15.08 

13.79 

13.45 

15.51 

WTD

ARITH

MEAN
Feb. 19, 2010

Note: The * indicates that the mean does

not satisfy summary criteria.

UNITED STATES ENVIRONMENTAL PROTECTION AGENCY

AIR QUALITY SYSTEM

QUICK LOOK REPORT (AMP450)

Page 10 of 27

PM2.5 - Local Conditions (88101) Kentucky Micrograms/cubic meter (LC) (105)

SITE ID

P

O

C PQAO CITY COUNTY ADDRESS YEAR METH #OBS

4TH

MAX CERT EDT

21-067-0012

21-067-0012

21-067-0012

21-067-0012

21-067-0014

21-067-0014

1

1

1

1

1

1

0584

0584

0584

0584

0584

0584

(corporate 

name for 

Lexington)

LexingtonFayette 

(corporate 

name for 

Lexington)

LexingtonFayette 

(corporate 

name for 

Lexington)

LexingtonFayette 

(corporate 

name for 

Lexington)

LexingtonFayette 

(corporate 

name for 

Lexington)

LexingtonFayette 

(corporate 

name for 

Lexington)

LexingtonFayette 

(corporate 

name for 

Lexington)

Fayette

Fayette

Fayette

Fayette

Fayette

Fayette

CO HEALTH 

DEPT

650 NEWTOWN 

PIKE, FAYETTE

CO HEALTH 

DEPT

650 NEWTOWN 

PIKE, FAYETTE

CO HEALTH 

DEPT

650 NEWTOWN 

PIKE, FAYETTE

CO HEALTH 

DEPT

650 NEWTOWN 

PIKE, FAYETTE

CO HEALTH 

DEPT

533 S 

LIMESTONE

533 S 

LIMESTONE

2006

2007

2008

2009

2000

2001

118

118

118

145

118

118

36.6

51.7

26.0

23.7

39.5

49.0

Y

Y

5

5

5

0

5

5

24-HOUR 

98TH

PERCENTILE

VALUE

30.4

33.7

23.5

21.4

38.1

32.6

119

117

119

117

107

112

1ST

MAX

2ND

MAX

3RD

MAX

34.1

35.1

23.6

22.0

38.4

38.1

30.4

33.7

23.5

21.4

38.1

32.6

29.0

29.5

23.0

21.3

33.0

31.5

13.67 

14.39 

12.09 

11.17 

16.96*

16.20 

WTD

ARITH

MEAN
Feb. 19, 2010

Note: The * indicates that the mean does

not satisfy summary criteria.

UNITED STATES ENVIRONMENTAL PROTECTION AGENCY

AIR QUALITY SYSTEM

QUICK LOOK REPORT (AMP450)

Page 11 of 27

PM2.5 - Local Conditions (88101) Kentucky Micrograms/cubic meter (LC) (105)

SITE ID

P

O

C PQAO CITY COUNTY ADDRESS YEAR METH #OBS

4TH

MAX CERT EDT

21-067-0014

21-067-0014

21-067-0014

21-067-0014

21-067-0014

21-067-0014

21-067-0014

1

1

1

1

1

1

1

0584

0584

0584

0584

0584

0584

0584

LexingtonFayette 

(corporate 

name for 

Lexington)

LexingtonFayette 

(corporate 

name for 

Lexington)

LexingtonFayette 

(corporate 

name for 

Lexington)

LexingtonFayette 

(corporate 

name for 

Lexington)

LexingtonFayette 

(corporate 

name for 

Lexington)

LexingtonFayette 

(corporate 

name for 

Lexington)

LexingtonFayette 

(corporate 

Fayette

Fayette

Fayette

Fayette

Fayette

Fayette

Fayette

533 S 

LIMESTONE

533 S 

LIMESTONE

533 S 

LIMESTONE

533 S 

LIMESTONE

533 S 

LIMESTONE

533 S 

LIMESTONE

533 S 

LIMESTONE

2002

2003

2004

2005

2006

2007

2008

118

118

118

118

118

118

118

51.9

43.6

32.5

41.0

42.8

33.6

28.8

Y

Y

Y

Y

0

0

0

5

5

5

5

24-HOUR 

98TH

PERCENTILE

VALUE

41.0

29.1

29.2

35.4

32.2

32.0

22.7

115

104

121

116

114

108

116

1ST

MAX

2ND

MAX

3RD

MAX

49.9

30.0

30.7

38.2

36.4

33.1

24.6

41.0

29.1

29.2

35.4

32.2

32.0

22.7

34.1

28.6

29.0

35.1

30.6

30.2

22.4

15.56 

15.03*

14.32 

16.05 

13.86 

14.12 

12.10 

WTD

ARITH

MEAN
Feb. 19, 2010

Note: The * indicates that the mean does

not satisfy summary criteria.

UNITED STATES ENVIRONMENTAL PROTECTION AGENCY

AIR QUALITY SYSTEM

QUICK LOOK REPORT (AMP450)

Page 12 of 27

PM2.5 - Local Conditions (88101) Kentucky Micrograms/cubic meter (LC) (105)

SITE ID

P

O

C PQAO CITY COUNTY ADDRESS YEAR METH #OBS

4TH

MAX CERT EDT

21-067-0014

21-073-0006

21-073-0006

21-073-0006

21-073-0006

21-073-0006

21-073-0006

21-073-0006

21-073-0006

21-073-0006

21-073-0006

21-093-0006

21-093-0006

1

1

1

1

1

1

1

1

1

1

1

1

1

0584

0584

0584

0584

0584

0584

0584

0584

0584

0584

0584

0584

0584

name for 

Lexington)

LexingtonFayette 

(corporate 

name for 

Lexington)

Frankfort

Frankfort

Frankfort

Frankfort

Frankfort

Frankfort

Frankfort

Frankfort

Frankfort

Frankfort

Elizabethtown

Elizabethtown

Fayette

Franklin

Franklin

Franklin

Franklin

Franklin

Franklin

Franklin

Franklin

Franklin

Franklin

Hardin

Hardin

533 S 

LIMESTONE

803 SCHENKEL 

LANE

803 SCHENKEL 

LANE

803 SCHENKEL 

LANE

803 SCHENKEL 

LANE

803 SCHENKEL 

LANE

803 SCHENKEL 

LANE

803 SCHENKEL 

LANE

803 SCHENKEL 

LANE

803 SCHENKEL 

LANE

803 SCHENKEL 

LANE

801 N MILES 

ST, AMERICAN 

LEGION PARK

801 N MILES 

ST, AMERICAN 

2009

2000

2001

2002

2003

2004

2005

2006

2007

2008

2009

2000

2001

118

118

118

118

118

118

118

118

118

118

145

118

118

21.2

37.0

53.1

47.2

36.4

28.9

49.1

37.1

43.9

27.8

22.7

39.4

37.7

Y

Y

Y

Y

Y

Y

0

5

5

0

0

0

5

0

5

0

0

5

5

24-HOUR 

98TH

PERCENTILE

VALUE

20.0

34.2

35.6

35.0

30.3

26.9

38.0

28.1

35.3

23.2

19.6

35.0

30.7

112

114

105

111

116

115

118

118

120

119

120

86

115

1ST

MAX

2ND

MAX

3RD

MAX

20.2

36.3

50.6

46.2

31.2

27.6

45.7

30.2

37.0

24.5

22.0

35.0

36.3

20.0

34.2

35.6

35.0

30.3

26.9

38.0

28.1

35.3

23.2

19.6

32.9

30.7

19.7

31.0

30.1

32.9

28.5

26.1

35.5

26.9

30.0

22.7

18.5

32.6

29.6

11.15 

15.13 

13.85 

13.85 

13.07 

12.54 

14.59 

12.43 

13.54 

11.45 

10.47 

15.61*

14.61 

WTD

ARITH

MEAN
Feb. 19, 2010

Note: The * indicates that the mean does

not satisfy summary criteria.

UNITED STATES ENVIRONMENTAL PROTECTION AGENCY

AIR QUALITY SYSTEM

QUICK LOOK REPORT (AMP450)

Page 13 of 27

PM2.5 - Local Conditions (88101) Kentucky Micrograms/cubic meter (LC) (105)

SITE ID

P

O

C PQAO CITY COUNTY ADDRESS YEAR METH #OBS

4TH

MAX CERT EDT

21-093-0006

21-093-0006

21-093-0006

21-093-0006

21-093-0006

21-093-0006

21-093-0006

21-093-0006

21-101-0006

21-101-0006

21-101-0006

21-101-0006

1

1

1

1

1

1

1

1

1

1

1

1

0584

0584

0584

0584

0584

0584

0584

0584

0584

0584

0584

0584

Elizabethtown

Elizabethtown

Elizabethtown

Elizabethtown

Elizabethtown

Elizabethtown

Elizabethtown

Elizabethtown

Henderson

Henderson

Henderson

Henderson

Hardin

Hardin

Hardin

Hardin

Hardin

Hardin

Hardin

Hardin

Henderson

Henderson

Henderson

Henderson

LEGION PARK

801 N MILES 

ST, AMERICAN 

LEGION PARK

801 N MILES 

ST, AMERICAN 

LEGION PARK

801 N MILES 

ST, AMERICAN 

LEGION PARK

801 N MILES 

ST, AMERICAN 

LEGION PARK

801 N MILES 

ST, AMERICAN 

LEGION PARK

801 N MILES 

ST, AMERICAN 

LEGION PARK

801 N MILES 

ST, AMERICAN 

LEGION PARK

801 N MILES 

ST, AMERICAN 

LEGION PARK

BEND GATE SCH

BEND GATE RD.

BEND GATE SCH

BEND GATE RD.

BEND GATE SCH

BEND GATE RD.

BEND GATE SCH

2002

2003

2004

2005

2006

2007

2008

2009

2000

2001

2002

2003

118

118

118

118

118

118

118

145

118

118

118

118

48.8

39.9

30.6

39.6

37.1

48.7

25.9

25.3

38.5

38.0

49.9

29.0

Y

Y

Y

Y

Y

Y

Y

0

0

0

5

0

5

0

0

5

0

0

0

24-HOUR 

98TH

PERCENTILE

VALUE

32.2

32.4

27.8

35.1

31.8

38.4

25.2

22.3

34.4

30.0

41.4

29.0

115

104

117

118

119

118

110

116

100

107

119

29

1ST

MAX

2ND

MAX

3RD

MAX

37.1

34.5

29.7

39.5

33.3

38.6

25.4

23.2

38.3

36.6

45.8

25.7

32.2

32.4

27.8

35.1

31.8

38.4

25.2

22.3

34.4

30.0

41.4

25.4

32.1

26.7

25.3

33.2

29.0

34.9

24.6

20.6

25.6

28.8

35.8

21.5

13.98 

13.39 

12.24 

14.50 

13.23 

14.36 

12.22 

10.97 

14.99 

14.21 

14.18 

13.18*

WTD

ARITH

MEAN
Feb. 19, 2010

Note: The * indicates that the mean does

not satisfy summary criteria.

UNITED STATES ENVIRONMENTAL PROTECTION AGENCY

AIR QUALITY SYSTEM

QUICK LOOK REPORT (AMP450)

Page 14 of 27

PM2.5 - Local Conditions (88101) Kentucky Micrograms/cubic meter (LC) (105)

SITE ID

P

O

C PQAO CITY COUNTY ADDRESS YEAR METH #OBS

4TH

MAX CERT EDT

21-101-0014

21-101-0014

21-101-0014

21-101-0014

21-101-0014

21-101-0014

21-101-0014

21-111-0043

21-111-0043

21-111-0043

21-111-0043

21-111-0043

21-111-0043

1

1

1

1

1

1

1

1

1

1

1

1

1

0584

0584

0584

0584

0584

0584

0584

0549

0549

0549

0549

0549

0549

Not in a city

Not in a city

Not in a city

Not in a city

Not in a city

Not in a city

Not in a city

Louisville

Louisville

Louisville

Louisville

Louisville

Louisville

Henderson

Henderson

Henderson

Henderson

Henderson

Henderson

Henderson

Jefferson

Jefferson

Jefferson

Jefferson

Jefferson

Jefferson

BEND GATE RD.

BASKETT FIRE 

DEPARTMENT

BASKETT FIRE 

DEPARTMENT

BASKETT FIRE 

DEPARTMENT

BASKETT FIRE 

DEPARTMENT

BASKETT FIRE 

DEPARTMENT

BASKETT FIRE 

DEPARTMENT

BASKETT FIRE 

DEPARTMENT

37TH & 

SOUTHERN 

AVENUE

37TH & 

SOUTHERN 

AVENUE

37TH & 

SOUTHERN 

AVENUE

37TH & 

SOUTHERN 

AVENUE

37TH & 

SOUTHERN 

AVENUE

37TH & 

SOUTHERN 

2003

2004

2005

2006

2007

2008

2009

2000

2001

2002

2003

2004

2005

118

118

118

118

118

118

145

118

118

118

118

118

118

47.5

27.5

44.7

39.1

35.5

25.5

32.2

54.7

48.7

80.2

44.0

43.7

48.8

Y

Y

Y

Y

0

0

5

0

5

0

0

0

0

0

0

5

5

24-HOUR 

98TH

PERCENTILE

VALUE

35.8

25.8

36.7

28.9

31.4

24.3

26.2

39.4

35.7

46.5

36.3

31.1

42.9

78

116

110

117

117

113

117

342

83

319

335

342

338

1ST

MAX

2ND

MAX

3RD

MAX

35.8

26.1

36.9

36.8

34.6

25.0

29.6

50.6

35.7

54.5

43.2

42.8

47.8

32.5

25.8

36.7

28.9

31.4

24.3

26.2

44.5

35.4

50.0

42.6

35.1

45.9

31.4

25.0

34.0

28.4

30.6

23.8

25.6

43.7

34.0

49.8

40.9

33.1

44.3

14.02*

12.14 

15.36 

13.35 

14.15 

11.92 

11.67 

17.31 

17.10*

17.16 

15.96 

14.53 

16.64 

WTD

ARITH

MEAN
Feb. 19, 2010

Note: The * indicates that the mean does

not satisfy summary criteria.

UNITED STATES ENVIRONMENTAL PROTECTION AGENCY

AIR QUALITY SYSTEM

QUICK LOOK REPORT (AMP450)

Page 15 of 27

PM2.5 - Local Conditions (88101) Kentucky Micrograms/cubic meter (LC) (105)

SITE ID

P

O

C PQAO CITY COUNTY ADDRESS YEAR METH #OBS

4TH

MAX CERT EDT

21-111-0043

21-111-0043

21-111-0043

21-111-0043

21-111-0044

21-111-0044

21-111-0044

21-111-0044

21-111-0044

1

1

1

1

1

1

1

1

1

0549

0584

0584

0584

0549

0549

0549

0549

0549

Louisville

Louisville

Louisville

Louisville

Louisville

Louisville

Louisville

Louisville

Louisville

Jefferson

Jefferson

Jefferson

Jefferson

Jefferson

Jefferson

Jefferson

Jefferson

Jefferson

AVENUE

37TH & 

SOUTHERN 

AVENUE

37TH & 

SOUTHERN 

AVENUE

37TH & 

SOUTHERN 

AVENUE

37TH & 

SOUTHERN 

AVENUE

1032 BEECHER 

AVE, 

WYANDOTTE 

PARK

1032 BEECHER 

AVE, 

WYANDOTTE 

PARK

1032 BEECHER 

AVE, 

WYANDOTTE 

PARK

1032 BEECHER 

AVE, 

WYANDOTTE 

PARK

1032 BEECHER 

AVE, 

WYANDOTTE 

2006

2007

2008

2009

2000

2001

2002

2003

2004

118

118

118

118

118

118

118

118

118

48.2

47.7

35.6

31.5

53.1

53.2

100.6

53.5

43.5

Y

Y

Y

Y

5

5

0

0

0

0

0

0

5

24-HOUR 

98TH

PERCENTILE

VALUE

36.0

34.1

28.7

24.3

37.8

43.0

45.4

37.9

30.6

298

354

333

352

333

347

330

316

347

1ST

MAX

2ND

MAX

3RD

MAX

39.3

43.8

32.5

31.2

44.7

46.5

69.4

44.8

41.0

38.0

43.0

31.9

27.6

43.4

46.1

58.8

42.3

34.2

37.4

41.4

31.6

26.5

43.2

44.9

57.4

41.5

32.7

14.96*

15.09 

13.17 

12.21 

16.68 

17.73 

17.45 

15.38 

14.05 

WTD

ARITH

MEAN
Feb. 19, 2010

Note: The * indicates that the mean does

not satisfy summary criteria.

UNITED STATES ENVIRONMENTAL PROTECTION AGENCY

AIR QUALITY SYSTEM

QUICK LOOK REPORT (AMP450)

Page 16 of 27

PM2.5 - Local Conditions (88101) Kentucky Micrograms/cubic meter (LC) (105)

SITE ID

P

O

C PQAO CITY COUNTY ADDRESS YEAR METH #OBS

4TH

MAX CERT EDT

21-111-0044

21-111-0044

21-111-0044

21-111-0044

21-111-0044

21-111-0048

21-111-0048

21-111-0048

21-111-0048

21-111-0048

21-111-0048

1

1

1

1

1

1

1

1

1

1

1

0549

0549

0584

0584

0584

0549

0549

0549

0549

0549

0549

Louisville

Louisville

Louisville

Louisville

Louisville

Louisville

Louisville

Louisville

Louisville

Louisville

Louisville

Jefferson

Jefferson

Jefferson

Jefferson

Jefferson

Jefferson

Jefferson

Jefferson

Jefferson

Jefferson

Jefferson

PARK

1032 BEECHER 

AVE, 

WYANDOTTE 

PARK

1032 BEECHER 

AVE, 

WYANDOTTE 

PARK

1032 BEECHER 

AVE, 

WYANDOTTE 

PARK

1032 BEECHER 

AVE, 

WYANDOTTE 

PARK

1032 BEECHER 

AVE, 

WYANDOTTE 

PARK

850 BARRET 

AVENUE

850 BARRET 

AVENUE

850 BARRET 

AVENUE

850 BARRET 

AVENUE

850 BARRET 

AVENUE

850 BARRET 

2005

2006

2007

2008

2009

2000

2001

2002

2003

2004

2005

118

118

118

118

118

118

118

118

118

118

118

48.9

48.9

44.5

36.2

33.8

38.6

55.9

52.1

43.0

42.7

46.4

Y

Y

Y

Y

5

5

5

0

0

0

0

0

0

5

5

24-HOUR 

98TH

PERCENTILE

VALUE

40.1

36.3

33.5

29.5

25.7

37.5

42.6

44.7

35.5

28.8

43.2

331

339

354

342

353

108

109

103

108

109

114

1ST

MAX

2ND

MAX

3RD

MAX

44.5

38.4

42.8

35.9

28.3

37.7

43.7

45.8

42.1

30.4

43.6

43.2

38.3

41.6

31.9

28.0

37.5

42.6

44.7

35.5

28.8

43.2

43.1

38.2

41.2

31.8

27.3

36.6

40.2

38.0

32.5

28.3

41.6

16.40 

15.18 

14.85 

13.41 

12.45 

16.71*

16.90*

16.43 

15.53 

13.71*

16.72 

WTD

ARITH

MEAN
Feb. 19, 2010

Note: The * indicates that the mean does

not satisfy summary criteria.

UNITED STATES ENVIRONMENTAL PROTECTION AGENCY

AIR QUALITY SYSTEM

QUICK LOOK REPORT (AMP450)

Page 17 of 27

PM2.5 - Local Conditions (88101) Kentucky Micrograms/cubic meter (LC) (105)

SITE ID

P

O

C PQAO CITY COUNTY ADDRESS YEAR METH #OBS

4TH

MAX CERT EDT

21-111-0048

21-111-0048

21-111-0048

21-111-0051

21-111-0051

21-111-0051

21-111-0051

21-111-0051

21-111-0051

21-111-0051

1

1

1

1

1

1

1

1

1

1

0549

0584

0584

0549

0549

0549

0549

0549

0549

0549

Louisville

Louisville

Louisville

Louisville

Louisville

Louisville

Louisville

Louisville

Louisville

Louisville

Jefferson

Jefferson

Jefferson

Jefferson

Jefferson

Jefferson

Jefferson

Jefferson

Jefferson

Jefferson

AVENUE

850 BARRET 

AVENUE

850 BARRET 

AVENUE

850 BARRET 

AVENUE

7201 WATSON 

LN, WATSON LN

ELEMENTARY 

SCH

7201 WATSON 

LN, WATSON LN

ELEMENTARY 

SCH

7201 WATSON 

LN, WATSON LN

ELEMENTARY 

SCH

7201 WATSON 

LN, WATSON LN

ELEMENTARY 

SCH

7201 WATSON 

LN, WATSON LN

ELEMENTARY 

SCH

7201 WATSON 

LN, WATSON LN

ELEMENTARY 

SCH

7201 WATSON 

2006

2007

2008

2000

2001

2002

2003

2004

2005

2006

118

118

118

118

118

118

118

118

118

118

40.9

42.9

35.0

37.8

37.9

30.5

37.3

29.3

39.1

32.8

Y

Y

Y

Y

Y

5

5

0

0

0

0

0

0

5

5

24-HOUR 

98TH

PERCENTILE

VALUE

36.7

31.9

30.7

36.4

37.6

30.5

33.0

25.8

36.5

32.5

119

116

116

55

51

50

57

60

59

58

1ST

MAX

2ND

MAX

3RD

MAX

37.6

40.4

31.3

36.4

37.6

29.6

33.0

25.8

36.5

32.5

36.7

31.9

30.7

34.9

32.4

28.8

31.1

24.2

30.0

28.4

33.4

31.3

25.1

33.3

29.7

28.3

29.8

23.7

29.2

26.2

13.87 

14.96 

13.44 

16.80*

16.27*

15.72*

14.92 

12.63 

16.48 

13.67 

WTD

ARITH

MEAN
Feb. 19, 2010

Note: The * indicates that the mean does

not satisfy summary criteria.

UNITED STATES ENVIRONMENTAL PROTECTION AGENCY

AIR QUALITY SYSTEM

QUICK LOOK REPORT (AMP450)

Page 18 of 27

PM2.5 - Local Conditions (88101) Kentucky Micrograms/cubic meter (LC) (105)

SITE ID

P

O

C PQAO CITY COUNTY ADDRESS YEAR METH #OBS

4TH

MAX CERT EDT

21-111-0051

21-111-0051

21-111-0051

21-111-0067

21-111-1041

21-117-0007

21-117-0007

21-117-0007

1

1

1

1

1

1

1

1

0584

0584

0584

0584

0549

0584

0584

0584

Louisville

Louisville

Louisville

Not in a city

Louisville

Covington

Covington

Covington

Jefferson

Jefferson

Jefferson

Jefferson

Jefferson

Kenton

Kenton

Kenton

LN, WATSON LN

ELEMENTARY 

SCH

7201 WATSON 

LN, WATSON LN

ELEMENTARY 

SCH

7201 WATSON 

LN, WATSON LN

ELEMENTARY 

SCH

7201 WATSON 

LN, WATSON LN

ELEMENTARY 

SCH

2730 CANNONS 

LANE, BOWMAN 

FIELD

4201 

ALGONQUIN 

PKWY

1401 DIXIE 

HWY, 

UNIVERSITY 

COLLEGE

1401 DIXIE 

HWY, 

UNIVERSITY 

COLLEGE

1401 DIXIE 

HWY, 

UNIVERSITY 

COLLEGE

2007

2008

2009

2009

2001

2000

2001

2002

118

118

118

118

118

118

118

118

51.3

30.3

26.7

30.8

60.8

38.9

51.5

39.5

Y

Y

Y

Y

5

0

0

0

0

5

5

0

24-HOUR 

98TH

PERCENTILE

VALUE

32.5

28.6

24.7

24.1

43.8

37.2

40.2

37.8

59

57

61

122

330

118

112

107

1ST

MAX

2ND

MAX

3RD

MAX

32.5

28.6

24.7

27.2

49.9

38.4

44.6

38.0

32.0

24.6

24.5

24.1

49.9

37.2

40.2

37.8

30.7

24.4

22.4

24.0

47.9

36.9

39.3

37.4

15.37 

12.78 

11.59 

11.67 

18.74 

16.26 

15.25 

15.06*

WTD

ARITH

MEAN
Feb. 19, 2010

Note: The * indicates that the mean does

not satisfy summary criteria.

UNITED STATES ENVIRONMENTAL PROTECTION AGENCY

AIR QUALITY SYSTEM

QUICK LOOK REPORT (AMP450)

Page 19 of 27

PM2.5 - Local Conditions (88101) Kentucky Micrograms/cubic meter (LC) (105)

SITE ID

P

O

C PQAO CITY COUNTY ADDRESS YEAR METH #OBS

4TH

MAX CERT EDT

21-117-0007

21-117-0007

21-117-0007

21-117-0007

21-117-0007

21-117-0007

21-117-0007

21-125-0004

21-125-0004

1

1

1

1

1

1

1

1

1

0584

0584

0584

0584

0584

0584

0584

0584

0584

Covington

Covington

Covington

Covington

Covington

Covington

Covington

London

London

Kenton

Kenton

Kenton

Kenton

Kenton

Kenton

Kenton

Laurel

Laurel

1401 DIXIE 

HWY, 

UNIVERSITY 

COLLEGE

1401 DIXIE 

HWY, 

UNIVERSITY 

COLLEGE

1401 DIXIE 

HWY, 

UNIVERSITY 

COLLEGE

1401 DIXIE 

HWY, 

UNIVERSITY 

COLLEGE

1401 DIXIE 

HWY, 

UNIVERSITY 

COLLEGE

1401 DIXIE 

HWY, 

UNIVERSITY 

COLLEGE

1401 DIXIE 

HWY, 

UNIVERSITY 

COLLEGE

LONDON 

AIRPORT

LONDON 

AIRPORT

2003

2004

2005

2006

2007

2008

2009

2002

2003

118

118

118

118

118

118

118

118

118

31.9

38.1

52.7

36.7

34.7

30.5

24.5

31.6

28.3

Y

Y

Y

Y

Y

0

0

5

5

5

0

0

0

0

24-HOUR 

98TH

PERCENTILE

VALUE

30.8

29.4

42.1

32.6

31.6

25.2

23.1

31.6

24.5

107

115

118

116

117

121

116

47

55

1ST

MAX

2ND

MAX

3RD

MAX

31.9

37.4

46.8

32.7

34.6

27.3

23.3

27.3

24.5

30.8

29.4

42.1

32.6

31.6

25.2

23.1

24.5

23.1

29.6

28.2

40.4

32.2

30.5

25.0

22.1

23.5

21.8

14.30 

13.42 

15.86 

13.29 

13.99 

11.99 

11.15 

13.02*

12.11*

WTD

ARITH

MEAN
Feb. 19, 2010

Note: The * indicates that the mean does

not satisfy summary criteria.

UNITED STATES ENVIRONMENTAL PROTECTION AGENCY

AIR QUALITY SYSTEM

QUICK LOOK REPORT (AMP450)

Page 20 of 27

PM2.5 - Local Conditions (88101) Kentucky Micrograms/cubic meter (LC) (105)

SITE ID

P

O

C PQAO CITY COUNTY ADDRESS YEAR METH #OBS

4TH

MAX CERT EDT

21-125-0004

21-125-0004

21-125-0004

21-145-1004

21-145-1004

21-145-1004

21-145-1004

21-145-1004

21-145-1004

21-145-1004

21-145-1004

21-145-1004

1

1

1

1

1

1

1

1

1

1

1

1

0584

0584

0584

0584

0584

0584

0584

0584

0584

0584

0584

0584

London

London

London

Paducah

Paducah

Paducah

Paducah

Paducah

Paducah

Paducah

Paducah

Paducah

Laurel

Laurel

Laurel

McCracken

McCracken

McCracken

McCracken

McCracken

McCracken

McCracken

McCracken

McCracken

LONDON 

AIRPORT

LONDON 

AIRPORT

LONDON 

AIRPORT

342 LONE OAK 

RD, PADUCAH 

MIDDLE SCHOOL

342 LONE OAK 

RD, PADUCAH 

MIDDLE SCHOOL

342 LONE OAK 

RD, PADUCAH 

MIDDLE SCHOOL

342 LONE OAK 

RD, PADUCAH 

MIDDLE SCHOOL

342 LONE OAK 

RD, PADUCAH 

MIDDLE SCHOOL

342 LONE OAK 

RD, PADUCAH 

MIDDLE SCHOOL

342 LONE OAK 

RD, PADUCAH 

MIDDLE SCHOOL

342 LONE OAK 

RD, PADUCAH 

MIDDLE SCHOOL

342 LONE OAK 

RD, PADUCAH 

2004

2005

2006

2000

2001

2002

2003

2004

2005

2006

2007

2008

118

118

118

118

118

118

118

118

118

118

118

118

28.5

38.4

16.2

37.5

34.1

44.3

43.6

27.7

39.6

39.3

36.8

26.4

Y

Y

Y

Y

Y

Y

0

5

0

5

0

0

0

0

5

5

5

0

24-HOUR 

98TH

PERCENTILE

VALUE

21.5

29.5

16.2

35.3

28.1

30.2

31.0

26.5

37.1

36.7

33.9

25.3

57

55

8

92

106

103

102

117

119

119

114

117

1ST

MAX

2ND

MAX

3RD

MAX

21.5

29.5

11.0

35.3

33.0

34.4

36.3

27.0

37.2

38.9

34.2

25.7

20.0

27.5

11.0

34.4

28.1

30.2

31.0

26.5

37.1

36.7

33.9

25.3

19.0

27.4

10.1

29.6

27.2

28.3

29.3

26.3

36.9

31.4

31.0

25.3

11.47 

14.07 

9.00*

15.26*

14.11 

12.61*

13.75 

11.77 

14.03 

13.61 

13.89 

11.80 

WTD

ARITH

MEAN
Feb. 19, 2010

Note: The * indicates that the mean does

not satisfy summary criteria.

UNITED STATES ENVIRONMENTAL PROTECTION AGENCY

AIR QUALITY SYSTEM

QUICK LOOK REPORT (AMP450)

Page 21 of 27

PM2.5 - Local Conditions (88101) Kentucky Micrograms/cubic meter (LC) (105)

SITE ID

P

O

C PQAO CITY COUNTY ADDRESS YEAR METH #OBS

4TH

MAX CERT EDT

21-145-1004

21-151-0003

21-151-0003

21-151-0003

21-151-0003

21-151-0003

21-151-0003

21-151-0003

21-151-0003

21-151-0003

21-151-0003

1

1

1

1

1

1

1

1

1

1

1

0584

0584

0584

0584

0584

0584

0584

0584

0584

0584

0584

Paducah

Richmond

Richmond

Richmond

Richmond

Richmond

Richmond

Richmond

Richmond

Richmond

Richmond

McCracken

Madison

Madison

Madison

Madison

Madison

Madison

Madison

Madison

Madison

Madison

MIDDLE SCHOOL

342 LONE OAK 

RD, PADUCAH 

MIDDLE SCHOOL

MAYFIELD 

SCHOOL, BOND 

STREET

MAYFIELD 

SCHOOL, BOND 

STREET

MAYFIELD 

SCHOOL, BOND 

STREET

MAYFIELD 

SCHOOL, BOND 

STREET

MAYFIELD 

SCHOOL, BOND 

STREET

MAYFIELD 

SCHOOL, BOND 

STREET

MAYFIELD 

SCHOOL, BOND 

STREET

MAYFIELD 

SCHOOL, BOND 

STREET

MAYFIELD 

SCHOOL, BOND 

STREET

MAYFIELD 

2009

2000

2001

2002

2003

2004

2005

2006

2007

2008

2009

145

118

118

118

118

118

118

118

118

118

118

30.9

37.3

50.6

49.8

31.3

33.7

42.3

32.4

44.7

25.3

18.9

Y

Y

Y

Y

Y

0

5

5

0

0

0

5

0

5

0

0

24-HOUR 

98TH

PERCENTILE

VALUE

25.1

29.9

29.9

33.7

28.1

28.4

32.6

28.2

31.9

23.5

18.5

116

116

105

109

112

111

115

118

118

119

114

1ST

MAX

2ND

MAX

3RD

MAX

25.2

31.2

30.5

34.6

31.2

28.6

35.2

28.6

35.6

23.5

18.7

25.1

29.9

29.9

33.7

28.1

28.4

32.6

28.2

31.9

23.5

18.5

25.1

28.8

28.6

32.8

26.3

27.0

31.7

26.9

31.8

20.8

18.4

11.53 

14.93 

13.85 

13.46 

12.93 

12.98 

15.21 

12.31 

13.32 

10.45 

9.76 

WTD

ARITH

MEAN
Feb. 19, 2010

Note: The * indicates that the mean does

not satisfy summary criteria.

UNITED STATES ENVIRONMENTAL PROTECTION AGENCY

AIR QUALITY SYSTEM

QUICK LOOK REPORT (AMP450)

Page 22 of 27

PM2.5 - Local Conditions (88101) Kentucky Micrograms/cubic meter (LC) (105)

SITE ID

P

O

C PQAO CITY COUNTY ADDRESS YEAR METH #OBS

4TH

MAX CERT EDT

21-183-0032

21-183-0032

21-183-0032

21-183-0032

21-183-0032

21-193-0003

21-193-0003

21-193-0003

21-193-0003

21-193-0003

21-193-0003

21-193-0003

21-193-0003

21-193-0003

21-195-0002

21-195-0002

1

1

1

1

1

1

1

1

1

1

1

1

1

1

1

1

0584

0584

0584

0584

0584

0584

0584

0584

0584

0584

0584

0584

0584

0584

0584

0584

Not in a city

Not in a city

Not in a city

Not in a city

Not in a city

Hazard

Hazard

Hazard

Hazard

Hazard

Hazard

Hazard

Hazard

Hazard

Pikeville

Pikeville

Ohio

Ohio

Ohio

Ohio

Ohio

Perry

Perry

Perry

Perry

Perry

Perry

Perry

Perry

Perry

Pike

Pike

SCHOOL, BOND 

STREET

KEYTOWN ROAD

KEYTOWN ROAD

KEYTOWN ROAD

KEYTOWN ROAD

KEYTOWN ROAD

PERRY COUNTY 

HORSE PARK

PERRY COUNTY 

HORSE PARK

PERRY COUNTY 

HORSE PARK

PERRY COUNTY 

HORSE PARK

PERRY COUNTY 

HORSE PARK

PERRY COUNTY 

HORSE PARK

PERRY COUNTY 

HORSE PARK

PERRY COUNTY 

HORSE PARK

PERRY COUNTY 

HORSE PARK

101 NORTH 

MAYO TRAIL, 

DOT DISTRICT 

OFFIC

101 NORTH 

MAYO TRAIL, 

2005

2006

2007

2008

2009

2000

2001

2002

2003

2004

2005

2006

2007

2008

2000

2001

118

118

118

118

145

118

118

118

118

118

118

118

118

118

118

118

34.5

25.0

43.6

28.0

25.8

34.9

36.5

25.4

37.3

27.9

34.6

29.9

38.0

22.5

32.7

44.5

Y

Y

Y

Y

Y

Y

Y

Y

Y

5

0

5

0

0

5

0

0

0

0

5

5

5

0

5

5

24-HOUR 

98TH

PERCENTILE

VALUE

34.5

24.2

38.6

25.4

25.6

34.9

28.0

25.4

28.3

24.7

31.4

26.9

31.2

22.5

31.3

31.9

48

55

56

60

54

36

55

50

57

61

55

58

57

25

106

108

1ST

MAX

2ND

MAX

3RD

MAX

33.1

24.2

38.6

25.4

25.6

33.7

28.0

23.2

28.3

24.7

31.4

26.9

31.2

20.0

31.5

34.1

29.2

22.6

26.1

24.1

24.5

33.6

28.0

22.0

22.5

21.0

26.4

22.7

27.8

16.5

31.3

31.9

28.0

22.5

23.6

21.4

20.3

33.4

26.6

21.2

22.5

19.7

25.8

21.8

26.5

14.8

30.9

30.5

14.85*

12.67 

14.40 

12.07 

11.08 

17.95*

14.33 

13.03*

13.30 

11.94 

13.87 

12.36 

14.03 

10.97*

14.78 

14.49 

WTD

ARITH

MEAN
Feb. 19, 2010

Note: The * indicates that the mean does

not satisfy summary criteria.

UNITED STATES ENVIRONMENTAL PROTECTION AGENCY

AIR QUALITY SYSTEM

QUICK LOOK REPORT (AMP450)

Page 23 of 27

PM2.5 - Local Conditions (88101) Kentucky Micrograms/cubic meter (LC) (105)

SITE ID

P

O

C PQAO CITY COUNTY ADDRESS YEAR METH #OBS

4TH

MAX CERT EDT

21-195-0002

21-195-0002

21-195-0002

21-195-0002

21-195-0002

21-195-0002

21-195-0002

21-195-0002

1

1

1

1

1

1

1

1

0584

0584

0584

0584

0584

0584

0584

0584

Pikeville

Pikeville

Pikeville

Pikeville

Pikeville

Pikeville

Pikeville

Pikeville

Pike

Pike

Pike

Pike

Pike

Pike

Pike

Pike

DOT DISTRICT 

OFFIC

101 NORTH 

MAYO TRAIL, 

DOT DISTRICT 

OFFIC

101 NORTH 

MAYO TRAIL, 

DOT DISTRICT 

OFFIC

101 NORTH 

MAYO TRAIL, 

DOT DISTRICT 

OFFIC

101 NORTH 

MAYO TRAIL, 

DOT DISTRICT 

OFFIC

101 NORTH 

MAYO TRAIL, 

DOT DISTRICT 

OFFIC

101 NORTH 

MAYO TRAIL, 

DOT DISTRICT 

OFFIC

101 NORTH 

MAYO TRAIL, 

DOT DISTRICT 

OFFIC

101 NORTH 

MAYO TRAIL, 

DOT DISTRICT 

2002

2003

2004

2005

2006

2007

2008

2009

118

118

118

118

118

118

118

118

41.7

62.2

36.5

43.7

32.2

39.6

25.8

35.7

Y

Y

Y

Y

Y

0

0

0

5

0

5

0

0

24-HOUR 

98TH

PERCENTILE

VALUE

29.7

30.5

28.2

32.0

29.4

33.0

21.2

23.5

119

114

120

120

120

119

85

87

1ST

MAX

2ND

MAX

3RD

MAX

38.2

43.0

29.7

34.1

30.9

38.1

21.2

23.5

29.7

30.5

28.2

32.0

29.4

33.0

19.7

20.1

29.0

29.5

25.4

30.0

28.3

32.6

18.0

17.3

13.58 

13.13 

12.34 

14.14 

13.44 

14.19 

10.49 

9.45 

WTD

ARITH

MEAN
Feb. 19, 2010

Note: The * indicates that the mean does

not satisfy summary criteria.

UNITED STATES ENVIRONMENTAL PROTECTION AGENCY

AIR QUALITY SYSTEM

QUICK LOOK REPORT (AMP450)

Page 24 of 27

PM2.5 - Local Conditions (88101) Kentucky Micrograms/cubic meter (LC) (105)

SITE ID

P

O

C PQAO CITY COUNTY ADDRESS YEAR METH #OBS

4TH

MAX CERT EDT

21-227-0007

21-227-0007

21-227-0007

21-227-0007

21-227-0007

21-227-0007

21-227-0007

21-227-0007

1

1

1

1

1

1

1

1

0584

0584

0584

0584

0584

0584

0584

0584

Bowling Green

Bowling Green

Bowling Green

Bowling Green

Bowling Green

Bowling Green

Bowling Green

Bowling Green

Warren

Warren

Warren

Warren

Warren

Warren

Warren

Warren

OFFIC

KEREIAKES 

PARK, 

FAIRVIEW & 

COLLETT LN

KEREIAKES 

PARK, 

FAIRVIEW & 

COLLETT LN

KEREIAKES 

PARK, 

FAIRVIEW & 

COLLETT LN

KEREIAKES 

PARK, 

FAIRVIEW & 

COLLETT LN

KEREIAKES 

PARK, 

FAIRVIEW & 

COLLETT LN

KEREIAKES 

PARK, 

FAIRVIEW & 

COLLETT LN

KEREIAKES 

PARK, 

FAIRVIEW & 

COLLETT LN

KEREIAKES 

PARK, 

FAIRVIEW & 

COLLETT LN

2000

2001

2002

2003

2004

2005

2006

2007

118

118

118

118

118

118

118

118

41.8

37.0

32.0

36.2

34.7

38.9

37.3

44.2

Y

Y

Y

Y

5

0

0

0

0

5

0

5

24-HOUR 

98TH

PERCENTILE

VALUE

32.6

31.5

29.1

30.2

31.5

32.5

34.8

38.0

116

118

119

107

115

117

117

80

1ST

MAX

2ND

MAX

3RD

MAX

33.8

33.5

31.0

32.7

32.8

35.1

35.0

38.0

32.6

31.5

29.1

30.2

31.5

32.5

34.8

37.5

32.3

30.1

26.7

29.1

29.2

31.5

30.6

34.9

15.24 

14.77 

13.27 

13.31 

13.14 

14.82 

13.83 

16.63*

WTD

ARITH

MEAN
Feb. 19, 2010

Note: The * indicates that the mean does

not satisfy summary criteria.

UNITED STATES ENVIRONMENTAL PROTECTION AGENCY

AIR QUALITY SYSTEM

QUICK LOOK REPORT (AMP450)

Page 25 of 27

PM2.5 - Local Conditions (88101) Kentucky Micrograms/cubic meter (LC) (105)

SITE ID

P

O

C PQAO CITY COUNTY ADDRESS YEAR METH #OBS

4TH

MAX CERT EDT

21-227-0008

21-227-0008

21-227-0008

1

1

1

0584

0584

0584

Oakland

Oakland

Oakland

Warren

Warren

Warren

OAKLAND 

ELEMENTARY 

SCH, KY 179, 

OAKLAND

OAKLAND 

ELEMENTARY 

SCH, KY 179, 

OAKLAND

OAKLAND 

ELEMENTARY 

SCH, KY 179, 

OAKLAND

2007

2008

2009

118

118

145

37.5

29.2

26.5

Y

5

0

0

24-HOUR 

98TH

PERCENTILE

VALUE

37.5

28.6

21.0

39

115

111

1ST

MAX

2ND

MAX

3RD

MAX

22.4

28.9

26.0

20.9

28.6

21.0

19.5

25.3

17.8

12.54*

12.16 

10.55 

WTD

ARITH

MEAN
Feb. 19, 2010

Note: The * indicates that the mean does

not satisfy summary criteria.

UNITED STATES ENVIRONMENTAL PROTECTION AGENCY

AIR QUALITY SYSTEM

QUICK LOOK REPORT (AMP450)

Page 26 of 27

88101

88101

118

145

R & P Model 2025 PM2.5 Sequential w/WINS

R & P Model 2025 PM-2.5 Sequential Air Sampler

GRAVIMETRIC

Gravimetric

PARAMETER

METHOD

CODE COLLECTION METHOD ANALYSIS METHOD

METHODS USED IN THIS REPORT
Feb. 19, 2010

Note: The * indicates that the mean does

not satisfy summary criteria.

UNITED STATES ENVIRONMENTAL PROTECTION AGENCY

AIR QUALITY SYSTEM

QUICK LOOK REPORT (AMP450)

Page 27 of 27

PQAOS USED IN THIS REPORT

PQAO AGENCY DESCRIPTION

0549

0584

Jefferson County, KY Air Pollution Control District

Kentucky Division For Air Quality
UNITES STATES ENVIRONMENTAL PROTECTION AGENCY

QUICKLOOK CRITERIA PARAMETERS

Report Request ID: 720857 Report Code: AMP450 Feb. 19, 2010

Selection Criteria Page 1

User ID: NOQ

State County Site Parameter POC City AQCR UAR CBSA CSA

EPA

Region Method Duration Begin Date End Date

39

39

39

39

39

39

017

025

061

087

145

165

GEOGRAPHIC SELECTIONS

PROTOCOL SELECTIONS

Parameter

Classification Parameter Method Duration

CRITERIA 88101

SELECTED OPTIONS

EVENTS PROCESSING

MERGE PDF FILES

Option Type Option Value

EXCLUDE REGIONALLY CONCURRED EVENTS

YES

SORT ORDER

1

2

3

4

5

6

7

Order Column

PARAMETER_CODE

STATE_CODE

COUNTY_CODE

SITE_ID

POC

DATES

EDT_ID

GLOBAL DATES

2000

Start Date End Date

2009

Tribal
Feb. 19, 2010

Note: The * indicates that the mean does

not satisfy summary criteria.

UNITED STATES ENVIRONMENTAL PROTECTION AGENCY

AIR QUALITY SYSTEM

QUICK LOOK REPORT (AMP450)

Page 1 of 12

EXCEPTIONAL DATA TYPES

EDT DESCRIPTION

0

1

2

3

4

5

6

7

NO EVENTS

EVENTS EXCLUDED

EVENTS INCLUDED

EXCEPTIONAL EVENTS EXCLUDED

NATURAL EVENTS EXCLUDED

EVENTS WITH CONCURRENCE EXCLUDED

EXCEPTIONAL EVENTS WITH CONCURRENCE EXCLUDED

NATURAL EVENTS WITH CONCURRENCE EXCLUDED
Feb. 19, 2010

Note: The * indicates that the mean does

not satisfy summary criteria.

UNITED STATES ENVIRONMENTAL PROTECTION AGENCY

AIR QUALITY SYSTEM

QUICK LOOK REPORT (AMP450)

Page 2 of 12

PM2.5 - Local Conditions (88101) Ohio Micrograms/cubic meter (LC) (105)

SITE ID

P

O

C PQAO CITY COUNTY ADDRESS YEAR METH #OBS

4TH

MAX CERT EDT

39-017-0003

39-017-0003

39-017-0003

39-017-0003

39-017-0003

39-017-0003

39-017-0003

39-017-0003

39-017-0003

39-017-0003

39-017-0003

39-017-0003

39-017-0003

39-017-0016

39-017-0016

39-017-0016

1

1

1

1

1

1

1

1

1

1

2

2

2

1

1

1

1259

1259

1259

1259

1259

1259

1259

1259

1259

1259

1259

1259

1259

1259

1259

1259

Middletown

Middletown

Middletown

Middletown

Middletown

Middletown

Middletown

Middletown

Middletown

Middletown

Middletown

Middletown

Middletown

Fairfield

Fairfield

Fairfield

Butler

Butler

Butler

Butler

Butler

Butler

Butler

Butler

Butler

Butler

Butler

Butler

Butler

Butler

Butler

Butler

BONITA & ST 

JOHN

BONITA & ST 

JOHN

BONITA & ST 

JOHN

BONITA & ST 

JOHN

BONITA & ST 

JOHN

BONITA & ST 

JOHN

BONITA & ST 

JOHN

BONITA & ST 

JOHN

BONITA & ST 

JOHN

BONITA & ST 

JOHN

BONITA & ST 

JOHN

BONITA & ST 

JOHN

BONITA & ST 

JOHN

400 NILLES 

RD.

400 NILLES 

RD.

400 NILLES 

RD.

2000

2001

2002

2003

2004

2005

2006

2007

2008

2009

2003

2008

2009

2000

2001

2002

120

120

120

120

000

119

119

120

120

000

120

000

000

120

120

120

43.8

49.9

48.1

48.1

39.5

47.6

31.5

37.8

38.4

31.5

38.7

38.1

29.9

43.8

45.5

39.2

Y

Y

Y

Y

Y

Y

Y

Y

Y

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

24-HOUR 

98TH

PERCENTILE

VALUE

38.1

41.7

40.7

38.6

37.2

47.6

30.2

36.8

27.1

25.3

38.7

30.9

22.8

43.8

41.5

33.6

312

345

339

310

60

37

59

118

119

116

21

58

58

30

114

115

1ST

MAX

2ND

MAX

3RD

MAX

42.2

47.8

44.8

47.4

37.2

43.1

30.2

37.1

31.2

27.4

27.1

30.9

22.8

39.0

42.9

35.1

42.1

44.9

43.0

46.6

31.6

35.8

26.7

36.8

27.1

25.3

26.5

27.3

22.2

36.5

41.5

33.6

41.3

44.4

42.3

44.6

28.4

28.0

24.1

35.3

26.3

24.3

24.8

27.2

21.9

32.2

36.1

32.2

16.96 

16.43 

16.83 

15.05*

14.06 

19.04*

14.05 

15.41 

13.69 

12.68 

17.20*

14.32 

12.41 

18.85*

15.87 

15.34 

WTD

ARITH

MEAN
Feb. 19, 2010

Note: The * indicates that the mean does

not satisfy summary criteria.

UNITED STATES ENVIRONMENTAL PROTECTION AGENCY

AIR QUALITY SYSTEM

QUICK LOOK REPORT (AMP450)

Page 3 of 12

PM2.5 - Local Conditions (88101) Ohio Micrograms/cubic meter (LC) (105)

SITE ID

P

O

C PQAO CITY COUNTY ADDRESS YEAR METH #OBS

4TH

MAX CERT EDT

39-017-0016

39-017-0016

39-017-0016

39-017-0016

39-017-0016

39-017-0016

39-017-0016

39-017-0017

39-017-0017

39-017-0017

39-017-0017

39-017-0017

39-017-0017

39-017-1004

39-017-1004

39-017-1004

39-017-1004

39-017-1004

1

1

1

1

1

1

1

1

1

1

1

1

1

1

1

1

1

1

1259

1259

1259

1259

1259

1259

1259

1259

1259

1259

1259

1259

1259

1259

1259

1259

1259

1259

Fairfield

Fairfield

Fairfield

Fairfield

Fairfield

Fairfield

Fairfield

Middletown

Middletown

Middletown

Middletown

Middletown

Middletown

Middletown

Middletown

Middletown

Middletown

Middletown

Butler

Butler

Butler

Butler

Butler

Butler

Butler

Butler

Butler

Butler

Butler

Butler

Butler

Butler

Butler

Butler

Butler

Butler

400 NILLES 

RD.

400 NILLES 

RD.

400 NILLES 

RD.

400 NILLES 

RD.

400 NILLES 

RD.

400 NILLES 

RD.

400 NILLES 

RD.

3300 WILWOOD

3300 WILWOOD

3300 WILWOOD

3300 WILWOOD

3300 WILWOOD

3300 WILWOOD

HOOK FIELD 

AIRPORT

HOOK FIELD 

AIRPORT

HOOK FIELD 

AIRPORT

HOOK FIELD 

AIRPORT

HOOK FIELD 

AIRPORT

2003

2004

2005

2006

2007

2008

2009

2000

2001

2002

2003

2004

2005

2001

2002

2003

2004

2005

120

120

120

120

120

120

000

120

120

120

120

120

120

119

119

119

119

119

48.0

39.9

56.3

35.7

38.0

39.5

33.0

38.7

48.9

40.2

39.4

37.9

49.7

16.5

32.3

33.5

36.3

47.1

Y

Y

Y

Y

Y

Y

Y

Y

Y

Y

Y

Y

Y

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

24-HOUR 

98TH

PERCENTILE

VALUE

34.8

32.2

43.4

35.2

34.5

31.5

27.2

38.7

44.8

33.8

34.6

34.3

44.9

16.5

30.9

33.0

31.6

45.4

115

120

122

115

115

118

113

30

122

120

102

121

122

5

59

61

120

122

1ST

MAX

2ND

MAX

3RD

MAX

35.3

32.2

53.5

35.6

36.8

32.7

29.5

38.2

45.0

38.3

34.7

35.6

49.7

11.9

30.9

33.0

32.3

46.5

34.8

32.2

43.4

35.2

34.5

31.5

27.2

37.4

44.8

33.8

34.6

34.3

44.9

11.7

28.6

31.7

31.6

45.4

34.5

30.6

38.9

30.8

34.0

27.6

25.5

28.2

39.9

33.6

31.7

32.0

42.0

9.0

27.0

30.7

29.8

40.3

15.83 

14.65 

17.88 

13.99 

14.94 

13.75 

13.08 

17.93*

15.79 

15.51 

14.66*

14.20 

17.23 

11.62*

13.85 

14.99 

13.57 

16.87 

WTD

ARITH

MEAN
Feb. 19, 2010

Note: The * indicates that the mean does

not satisfy summary criteria.

UNITED STATES ENVIRONMENTAL PROTECTION AGENCY

AIR QUALITY SYSTEM

QUICK LOOK REPORT (AMP450)

Page 4 of 12

PM2.5 - Local Conditions (88101) Ohio Micrograms/cubic meter (LC) (105)

SITE ID

P

O

C PQAO CITY COUNTY ADDRESS YEAR METH #OBS

4TH

MAX CERT EDT

39-017-1004

39-017-1004

39-025-0022

39-025-0022

39-025-0022

39-025-0022

39-025-0022

39-061-0006

39-061-0006

39-061-0006

39-061-0006

39-061-0006

39-061-0014

39-061-0014

39-061-0014

39-061-0014

1

1

1

1

1

1

1

1

1

1

1

1

1

1

1

1

1259

1259

1259

1259

1259

1259

1259

1259

1259

1259

1259

1259

1259

1259

1259

1259

Middletown

Middletown

Batavia

Batavia

Batavia

Batavia

Batavia

Cincinnati

Cincinnati

Cincinnati

Cincinnati

Cincinnati

Cincinnati

Cincinnati

Cincinnati

Cincinnati

Butler

Butler

Clermont

Clermont

Clermont

Clermont

Clermont

Hamilton

Hamilton

Hamilton

Hamilton

Hamilton

Hamilton

Hamilton

Hamilton

Hamilton

HOOK FIELD 

AIRPORT

HOOK FIELD 

AIRPORT

2400 CLERMONT

CENTER DR.

2400 CLERMONT

CENTER DR.

2400 CLERMONT

CENTER DR.

2400 CLERMONT

CENTER DR.

2400 CLERMONT

CENTER DR.

11590 GROOMS 

RD

11590 GROOMS 

RD

11590 GROOMS 

RD

11590 GROOMS 

RD

11590 GROOMS 

RD

SEYMOUR & 

VINE ST.

SEYMOUR & 

VINE ST.

SEYMOUR & 

VINE ST.

SEYMOUR & 

VINE ST.

2006

2007

2005

2006

2007

2008

2009

2005

2006

2007

2008

2009

2000

2001

2002

2003

120

120

120

120

120

120

120

120

120

120

120

120

120

120

120

120

36.0

37.6

40.8

34.2

40.8

25.3

23.5

47.4

35.0

40.8

33.9

29.7

49.7

53.2

50.6

46.5

Y

Y

Y

Y

Y

Y

Y

Y

Y

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

24-HOUR 

98TH

PERCENTILE

VALUE

32.7

36.4

38.3

31.6

33.5

23.6

22.0

45.0

33.3

34.7

27.0

24.2

44.3

44.5

43.7

37.8

122

112

114

117

114

116

121

118

118

296

174

122

323

327

351

357

1ST

MAX

2ND

MAX

3RD

MAX

35.0

36.9

38.9

31.9

34.1

24.5

22.4

46.6

34.6

39.2

28.1

26.3

49.4

52.5

48.0

46.5

32.7

36.4

38.3

31.6

33.5

23.6

22.0

45.0

33.3

38.1

28.1

24.2

47.6

52.0

46.2

44.5

29.7

35.5

35.5

30.9

33.1

23.5

21.8

41.0

31.8

37.2

27.0

23.9

46.7

49.4

46.0

42.7

13.38 

14.63 

15.73 

12.72 

14.01 

11.75 

11.01 

16.61 

13.29 

14.63 

12.48 

12.11 

19.25 

18.16*

17.89 

16.95 

WTD

ARITH

MEAN
Feb. 19, 2010

Note: The * indicates that the mean does

not satisfy summary criteria.

UNITED STATES ENVIRONMENTAL PROTECTION AGENCY

AIR QUALITY SYSTEM

QUICK LOOK REPORT (AMP450)

Page 5 of 12

PM2.5 - Local Conditions (88101) Ohio Micrograms/cubic meter (LC) (105)

SITE ID

P

O

C PQAO CITY COUNTY ADDRESS YEAR METH #OBS

4TH

MAX CERT EDT

39-061-0014

39-061-0014

39-061-0014

39-061-0014

39-061-0014

39-061-0014

39-061-0014

39-061-0014

39-061-0014

39-061-0040

39-061-0040

39-061-0040

39-061-0040

39-061-0040

39-061-0040

39-061-0040

1

1

1

1

1

1

2

2

2

1

1

1

1

1

1

1

1259

1259

1259

1259

1259

1259

1259

1259

1259

1259

1259

1259

1259

1259

1259

1259

Cincinnati

Cincinnati

Cincinnati

Cincinnati

Cincinnati

Cincinnati

Cincinnati

Cincinnati

Cincinnati

Cincinnati

Cincinnati

Cincinnati

Cincinnati

Cincinnati

Cincinnati

Cincinnati

Hamilton

Hamilton

Hamilton

Hamilton

Hamilton

Hamilton

Hamilton

Hamilton

Hamilton

Hamilton

Hamilton

Hamilton

Hamilton

Hamilton

Hamilton

Hamilton

SEYMOUR & 

VINE ST.

SEYMOUR & 

VINE ST.

SEYMOUR & 

VINE ST.

SEYMOUR & 

VINE ST.

SEYMOUR & 

VINE ST.

SEYMOUR & 

VINE ST.

SEYMOUR & 

VINE ST.

SEYMOUR & 

VINE ST.

SEYMOUR & 

VINE ST.

250 WM. 

HOWARD TAFT

250 WM. 

HOWARD TAFT

250 WM. 

HOWARD TAFT

250 WM. 

HOWARD TAFT

250 WM. 

HOWARD TAFT

250 WM. 

HOWARD TAFT

250 WM. 

HOWARD TAFT

2004

2005

2006

2007

2008

2009

2001

2008

2009

2000

2001

2002

2003

2004

2005

2006

120

120

120

120

120

120

120

000

119

120

120

120

120

120

120

120

47.4

43.3

36.3

41.5

37.7

34.3

44.6

40.1

35.3

40.6

51.3

39.2

35.8

41.6

52.1

34.5

Y

Y

Y

Y

Y

Y

Y

Y

Y

Y

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

24-HOUR 

98TH

PERCENTILE

VALUE

42.0

38.5

35.2

36.5

33.0

27.1

44.6

34.7

31.1

34.3

41.2

37.7

31.9

30.5

45.8

32.8

61

58

58

109

119

355

22

58

62

115

117

118

118

115

115

121

1ST

MAX

2ND

MAX

3RD

MAX

42.0

38.5

35.2

38.1

33.3

33.9

33.4

34.7

31.1

40.1

44.5

38.7

34.4

37.3

50.0

33.7

35.2

38.1

31.5

36.5

33.0

29.5

32.6

33.0

30.4

34.3

41.2

37.7

31.9

30.5

45.8

32.8

27.7

32.9

27.1

36.2

31.7

29.1

32.2

32.1

25.1

34.0

40.9

36.4

31.6

29.1

41.3

32.3

15.91 

19.75 

15.51 

16.59 

15.12 

13.40 

23.00*

15.25 

13.89 

16.72 

15.93 

15.29 

15.50 

14.63 

17.53 

13.57 

WTD

ARITH

MEAN
Feb. 19, 2010

Note: The * indicates that the mean does

not satisfy summary criteria.

UNITED STATES ENVIRONMENTAL PROTECTION AGENCY

AIR QUALITY SYSTEM

QUICK LOOK REPORT (AMP450)

Page 6 of 12

PM2.5 - Local Conditions (88101) Ohio Micrograms/cubic meter (LC) (105)

SITE ID

P

O

C PQAO CITY COUNTY ADDRESS YEAR METH #OBS

4TH

MAX CERT EDT

39-061-0040

39-061-0040

39-061-0040

39-061-0040

39-061-0041

39-061-0041

39-061-0041

39-061-0041

39-061-0041

39-061-0041

39-061-0041

39-061-0042

39-061-0042

39-061-0042

39-061-0042

39-061-0042

1

1

1

2

1

1

1

1

1

1

2

1

1

1

1

1

1259

1259

1259

1259

1259

1259

1259

1259

1259

1259

1259

1259

1259

1259

1259

1259

Cincinnati

Cincinnati

Cincinnati

Cincinnati

Cincinnati

Cincinnati

Cincinnati

Cincinnati

Cincinnati

Cincinnati

Cincinnati

Cincinnati

Cincinnati

Cincinnati

Cincinnati

Cincinnati

Hamilton

Hamilton

Hamilton

Hamilton

Hamilton

Hamilton

Hamilton

Hamilton

Hamilton

Hamilton

Hamilton

Hamilton

Hamilton

Hamilton

Hamilton

Hamilton

250 WM. 

HOWARD TAFT

250 WM. 

HOWARD TAFT

250 WM. 

HOWARD TAFT

250 WM. 

HOWARD TAFT

5300 WINNESTE

AVE.

5300 WINNESTE

AVE.

5300 WINNESTE

AVE.

5300 WINNESTE

AVE.

5300 WINNESTE

AVE.

5300 WINNESTE

AVE.

5300 WINNESTE

AVE.

2101 W. 8TH 

ST.

2101 W. 8TH 

ST.

2101 W. 8TH 

ST.

2101 W. 8TH 

ST.

2101 W. 8TH 

ST.

2007

2008

2009

2002

2000

2001

2002

2003

2004

2005

2000

2000

2001

2002

2003

2004

120

000

142

000

120

120

120

120

120

120

120

120

120

120

120

120

41.9

31.5

28.5

39.4

42.0

53.7

39.7

37.2

42.6

49.2

43.7

44.8

56.1

51.6

34.3

43.0

Y

Y

Y

Y

Y

Y

Y

Y

Y

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

24-HOUR 

98TH

PERCENTILE

VALUE

34.7

25.5

24.8

37.3

38.0

41.9

33.6

34.4

32.2

37.4

43.7

44.8

46.6

40.0

33.8

31.9

107

107

116

108

63

117

119

119

108

51

14

25

116

119

119

122

1ST

MAX

2ND

MAX

3RD

MAX

35.3

26.6

25.7

38.1

38.0

46.2

38.5

34.7

42.4

37.4

43.3

43.9

47.7

40.1

33.8

41.9

34.7

25.5

24.8

37.3

30.4

41.9

33.6

34.4

32.2

28.7

33.4

40.0

46.6

40.0

33.8

31.9

33.1

25.0

24.8

37.2

27.7

41.4

31.9

32.0

30.3

27.3

29.3

37.5

41.4

39.0

33.6

30.7

15.09 

12.62 

12.73 

15.74*

15.88*

16.11 

15.10 

15.30 

14.63*

15.77*

19.75*

20.61*

17.63 

16.83 

16.69 

15.99 

WTD

ARITH

MEAN
Feb. 19, 2010

Note: The * indicates that the mean does

not satisfy summary criteria.

UNITED STATES ENVIRONMENTAL PROTECTION AGENCY

AIR QUALITY SYSTEM

QUICK LOOK REPORT (AMP450)

Page 7 of 12

PM2.5 - Local Conditions (88101) Ohio Micrograms/cubic meter (LC) (105)

SITE ID

P

O

C PQAO CITY COUNTY ADDRESS YEAR METH #OBS

4TH

MAX CERT EDT

39-061-0042

39-061-0042

39-061-0042

39-061-0042

39-061-0042

39-061-0043

39-061-0043

39-061-0043

39-061-0043

39-061-0043

39-061-0043

39-061-0043

39-061-0043

39-061-0043

39-061-7001

39-061-7001

1

1

1

1

1

1

1

1

1

1

1

1

1

1

1

1

1259

1259

1259

1259

1259

1259

1259

1259

1259

1259

1259

1259

1259

1259

1259

1259

Cincinnati

Cincinnati

Cincinnati

Cincinnati

Cincinnati

Sharonville

Sharonville

Sharonville

Sharonville

Sharonville

Sharonville

Sharonville

Sharonville

Sharonville

Norwood

Norwood

Hamilton

Hamilton

Hamilton

Hamilton

Hamilton

Hamilton

Hamilton

Hamilton

Hamilton

Hamilton

Hamilton

Hamilton

Hamilton

Hamilton

Hamilton

Hamilton

2101 W. 8TH 

ST.

2101 W. 8TH 

ST.

2101 W. 8TH 

ST.

2101 W. 8TH 

ST.

2101 W. 8TH 

ST.

3254 E. 

KEMPER RD.

3254 E. 

KEMPER RD.

3254 E. 

KEMPER RD.

3254 E. 

KEMPER RD.

3254 E. 

KEMPER RD.

3254 E. 

KEMPER RD.

3254 E. 

KEMPER RD.

3254 E. 

KEMPER RD.

3254 E. 

KEMPER RD.

2059 SHERMAN 

AVE.

2059 SHERMAN 

AVE.

2005

2006

2007

2008

2009

2000

2001

2002

2003

2004

2005

2006

2007

2008

2000

2001

120

120

120

120

000

120

120

120

120

120

120

120

120

120

120

120

58.9

39.4

39.2

33.5

36.5

41.2

46.2

38.8

37.7

42.4

48.4

39.0

37.2

35.0

44.2

53.4

Y

Y

Y

Y

Y

Y

Y

Y

Y

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

24-HOUR 

98TH

PERCENTILE

VALUE

44.4

34.5

35.9

27.5

27.0

41.2

40.1

34.8

37.3

31.4

39.9

34.9

34.0

28.2

39.1

42.3

106

122

110

111

109

30

113

121

119

116

103

118

116

117

265

337

1ST

MAX

2ND

MAX

3RD

MAX

45.8

37.0

36.3

32.2

28.2

40.8

45.9

37.2

37.4

35.8

47.2

35.8

34.0

28.5

42.0

53.2

44.4

34.5

35.9

27.5

27.0

39.5

40.1

34.8

37.3

31.4

39.9

34.9

34.0

28.2

41.8

48.8

38.7

33.5

33.6

27.5

26.3

33.7

39.0

34.1

33.2

30.2

38.4

32.2

32.6

28.0

39.8

48.7

19.09*

14.94 

15.90 

14.40 

13.71 

19.10*

16.07 

15.42 

15.67 

14.92 

16.89*

14.47 

14.85 

13.32 

17.24*

16.76 

WTD

ARITH

MEAN
Feb. 19, 2010

Note: The * indicates that the mean does

not satisfy summary criteria.

UNITED STATES ENVIRONMENTAL PROTECTION AGENCY

AIR QUALITY SYSTEM

QUICK LOOK REPORT (AMP450)

Page 8 of 12

PM2.5 - Local Conditions (88101) Ohio Micrograms/cubic meter (LC) (105)

SITE ID

P

O

C PQAO CITY COUNTY ADDRESS YEAR METH #OBS

4TH

MAX CERT EDT

39-061-7001

39-061-7001

39-061-7001

39-061-7001

39-061-7001

39-061-7001

39-061-7001

39-061-7001

39-061-8001

39-061-8001

39-061-8001

39-061-8001

39-061-8001

39-061-8001

39-061-8001

39-061-8001

1

1

1

1

1

1

1

1

1

1

1

1

1

1

1

1

1259

1259

1259

1259

1259

1259

1259

1259

1259

1259

1259

1259

1259

1259

1259

1259

Norwood

Norwood

Norwood

Norwood

Norwood

Norwood

Norwood

Norwood

St. Bernard

St. Bernard

St. Bernard

St. Bernard

St. Bernard

St. Bernard

St. Bernard

St. Bernard

Hamilton

Hamilton

Hamilton

Hamilton

Hamilton

Hamilton

Hamilton

Hamilton

Hamilton

Hamilton

Hamilton

Hamilton

Hamilton

Hamilton

Hamilton

Hamilton

2059 SHERMAN 

AVE.

2059 SHERMAN 

AVE.

2059 SHERMAN 

AVE.

2059 SHERMAN 

AVE.

2059 SHERMAN 

AVE.

2059 SHERMAN 

AVE.

2059 SHERMAN 

AVE.

2059 SHERMAN 

AVE.

300 MURRAY 

RD.

300 MURRAY 

RD.

300 MURRAY 

RD.

300 MURRAY 

RD.

300 MURRAY 

RD.

300 MURRAY 

RD.

300 MURRAY 

RD.

300 MURRAY 

RD.

2002

2003

2004

2005

2006

2007

2008

2009

2000

2001

2002

2003

2004

2005

2006

2007

120

120

120

120

120

120

000

142

120

120

120

120

120

120

120

120

48.3

44.0

43.4

54.4

34.9

40.9

34.2

30.5

48.2

45.5

51.4

41.1

46.8

54.8

37.9

37.4

Y

Y

Y

Y

Y

Y

Y

Y

Y

Y

Y

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

24-HOUR 

98TH

PERCENTILE

VALUE

40.7

37.1

34.6

47.1

34.0

33.7

30.3

25.7

40.8

37.0

40.1

35.8

33.9

51.4

36.1

35.4

357

338

350

119

111

111

112

119

103

108

121

118

112

110

114

110

1ST

MAX

2ND

MAX

3RD

MAX

45.3

43.8

40.8

51.8

34.0

35.0

31.9

27.8

46.1

37.2

41.8

36.4

42.8

53.9

36.8

36.3

43.4

42.4

39.3

47.1

34.0

33.7

30.3

25.7

40.8

37.0

40.1

35.8

33.9

51.4

36.1

35.4

43.3

40.2

37.3

43.4

33.0

32.0

28.9

25.7

40.4

36.7

36.9

35.4

30.3

42.2

34.7

32.8

16.08 

16.01 

15.33 

18.37 

14.37 

15.09 

13.74 

12.97 

19.27*

17.02*

16.98 

17.31 

16.39 

20.00 

15.90 

16.07 

WTD

ARITH

MEAN
Feb. 19, 2010

Note: The * indicates that the mean does

not satisfy summary criteria.

UNITED STATES ENVIRONMENTAL PROTECTION AGENCY

AIR QUALITY SYSTEM

QUICK LOOK REPORT (AMP450)

Page 9 of 12

PM2.5 - Local Conditions (88101) Ohio Micrograms/cubic meter (LC) (105)

SITE ID

P

O

C PQAO CITY COUNTY ADDRESS YEAR METH #OBS

4TH

MAX CERT EDT

39-061-8001

39-061-8001

39-087-0010

39-087-0010

39-087-0010

39-087-0010

39-087-0010

39-087-0010

39-087-0010

39-087-0010

39-087-0010

39-087-0012

39-087-0012

39-145-0013

39-145-0013

39-145-0013

39-145-0013

39-145-0013

39-145-0013

39-145-0013

39-145-0013

39-145-0013

39-145-0013

1

1

1

1

1

1

1

1

1

1

1

1

1

1

1

1

1

1

1

1

1

1

1

1259

1259

0880

0880

0880

0880

0880

0880

0880

0880

0880

0880

0880

0880

0880

0880

0880

0880

0880

0880

0880

0880

0880

St. Bernard

St. Bernard

Ironton

Ironton

Ironton

Ironton

Ironton

Ironton

Ironton

Ironton

Ironton

Ironton

Ironton

New Boston

New Boston

New Boston

New Boston

New Boston

New Boston

New Boston

New Boston

New Boston

New Boston

Hamilton

Hamilton

Lawrence

Lawrence

Lawrence

Lawrence

Lawrence

Lawrence

Lawrence

Lawrence

Lawrence

Lawrence

Lawrence

Scioto

Scioto

Scioto

Scioto

Scioto

Scioto

Scioto

Scioto

Scioto

Scioto

300 MURRAY 

RD.

300 MURRAY 

RD.

2128 S. 9TH

2128 S. 9TH

2128 S. 9TH

2128 S. 9TH

2128 S. 9TH

2128 S. 9TH

2128 S. 9TH

2128 S. 9TH

2128 S. 9TH

450 Commerce 

Drive

450 Commerce 

Drive

4862 GALLIA

4862 GALLIA

4862 GALLIA

4862 GALLIA

4862 GALLIA

4862 GALLIA

4862 GALLIA

4862 GALLIA

4862 GALLIA

4862 GALLIA

2008

2009

2000

2001

2002

2003

2004

2005

2006

2007

2008

2008

2009

2000

2001

2002

2003

2004

2005

2006

2007

2008

2009

120

120

120

120

120

120

120

120

120

120

120

120

120

120

120

120

120

120

120

120

120

120

120

37.4

30.8

51.6

57.5

51.3

33.7

33.7

46.5

42.8

44.8

16.5

30.5

28.8

55.8

68.4

50.9

36.0

37.3

44.0

52.4

41.8

31.7

24.0

Y

Y

Y

Y

Y

Y

Y

Y

N

Y

Y

Y

Y

Y

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

24-HOUR 

98TH

PERCENTILE

VALUE

31.0

28.7

40.2

41.0

42.4

29.3

31.2

38.5

30.8

35.2

16.5

27.6

21.4

43.5

49.2

42.1

32.8

29.4

40.3

30.5

37.5

24.4

21.8

115

117

95

108

118

117

117

118

119

118

11

98

116

66

117

118

117

118

120

120

120

347

115

1ST

MAX

2ND

MAX

3RD

MAX

31.8

30.8

40.2

47.8

44.2

30.7

32.7

42.3

34.7

40.0

15.4

27.6

21.9

43.5

57.5

43.5

33.8

30.5

40.7

41.9

38.8

30.8

23.5

31.0

28.7

35.6

41.0

42.4

29.3

31.2

38.5

30.8

35.2

14.7

26.0

21.4

38.5

49.2

42.1

32.8

29.4

40.3

30.5

37.5

27.8

21.8

30.8

28.5

35.2

38.7

38.1

27.8

28.8

35.3

30.1

34.8

12.2

25.9

20.2

38.1

44.0

35.8

30.1

27.8

35.2

29.0

33.8

26.0

21.0

14.40 

13.44 

17.35*

17.67 

15.48 

14.25 

13.71 

16.97 

14.39 

14.97 

10.84*

13.12 

11.33 

21.11*

20.32 

16.65 

14.69 

12.95 

16.24 

14.32 

13.99 

12.15 

10.88 

WTD

ARITH

MEAN
Feb. 19, 2010

Note: The * indicates that the mean does

not satisfy summary criteria.

UNITED STATES ENVIRONMENTAL PROTECTION AGENCY

AIR QUALITY SYSTEM

QUICK LOOK REPORT (AMP450)

Page 10 of 12

PM2.5 - Local Conditions (88101) Ohio Micrograms/cubic meter (LC) (105)

SITE ID

P

O

C PQAO CITY COUNTY ADDRESS YEAR METH #OBS

4TH

MAX CERT EDT

39-145-0013

39-145-0013

39-165-0007

39-165-0007

39-165-0007

2

2

1

1

1

0880

0880

1259

1259

1259

New Boston

New Boston

Lebanon

Lebanon

Lebanon

Scioto

Scioto

Warren

Warren

Warren

4862 GALLIA

4862 GALLIA

416 SOUTHEAST

ST.

416 SOUTHEAST

ST.

416 SOUTHEAST

ST.

2008

2009

2007

2008

2009

120

120

120

120

120

25.2

21.8

40.8

27.7

26.5

Y

0

0

0

0

0

24-HOUR 

98TH

PERCENTILE

VALUE

24.4

21.0

33.6

24.2

23.6

58

55

114

118

119

1ST

MAX

2ND

MAX

3RD

MAX

24.4

21.0

36.6

25.7

25.6

22.9

20.0

33.6

24.2

23.6

21.9

16.9

33.3

23.3

22.4

11.74 

10.30*

13.98 

11.92 

11.70 

WTD

ARITH

MEAN
Feb. 19, 2010

Note: The * indicates that the mean does

not satisfy summary criteria.

UNITED STATES ENVIRONMENTAL PROTECTION AGENCY

AIR QUALITY SYSTEM

QUICK LOOK REPORT (AMP450)

Page 11 of 12

88101

88101

88101

88101

000

119

120

142

MULTIPLE METHODS

Andersen RAAS2.5-100 PM2.5 SAM w/WINS

Andersen RAAS2.5-300 PM2.5 SEQ w/WINS

BGI Models PQ200-VSCC or PQ200A-VSCC

MULTIPLE METHODS

GRAVIMETRIC

GRAVIMETRIC

Gravimetric

PARAMETER

METHOD

CODE COLLECTION METHOD ANALYSIS METHOD

METHODS USED IN THIS REPORT
Feb. 19, 2010

Note: The * indicates that the mean does

not satisfy summary criteria.

UNITED STATES ENVIRONMENTAL PROTECTION AGENCY

AIR QUALITY SYSTEM

QUICK LOOK REPORT (AMP450)

Page 12 of 12

PQAOS USED IN THIS REPORT

PQAO AGENCY DESCRIPTION

0880

1259

Portsmouth City Health Dept Division Air Pollution Control

Hamilton County Department Of Environmental Services
Kentucky Annual Ambient Air 

Monitoring Network Plan 2009 

Commonwealth of Kentucky Energy & Environment Cabinet 

Department for Environmental Protection 

Division for Air Quality 

200 Fair Oaks Lane, 1st Floor, 

Frankfort, Kentucky 40601 
This is a publication of the Kentucky Division for Air Quality, part of the Department 

for Environmental Protection, Energy and Environment Cabinet. The Cabinet does not 

discriminate on the basis of race, color, national origin, sex, age, religion, or disability 

and provides, on request, reasonable accommodations including auxiliary aids and 

services necessary to afford an individual with a disability an equal opportunity to 

participate in all services, programs, and activities. 

PUBLIC NOTIFICATION AND COMMENT PERIOD

In accordance with 40 C.F.R. 58.10(a)(1), the Kentucky Energy and Environment 

Cabinet shall make the annual monitoring network plan available for public inspection 

for at least 30 days prior to submission to the U.S. EPA. The annual monitoring 

network plan details the operation and location of ambient air monitors operated by the 

Kentucky Division for Air Quality (KYDAQ), Louisville Metro Air Pollution Control 

District (LMAPCD), and the National Park Service (NPS). 
TABLE OF CONTENTS 

INTRODUCTION i

STATION DESCRIPTION FORMAT 1 

KENTUCKY METROPLOITAN 

STATISTICAL AREAS 

AND COUNTIES MAP 8 

NETWORK MAP 9

AIR STATION SUMMARIES 10 

NETWORK CHANGES 11 

METROPOLITAN STATISTICAL AREAS 

Bowling Green, KY 13 

Cincinnati-Middletown, OH-KY-IN 16 

Clarksville, TN-KY 23 

Elizabethtown, KY 26 

Evansville, IN-KY 29 

Huntington-Ashland, WV-KY-OH 32 

Lexington-Fayette, KY 41 

Louisville-Jefferson County, KY-IN 48 

Owensboro, KY 69 

MICROPOLITAN STATISTICAL AREAS 

Middlesborough, KY 75 

Frankfort, KY 77 

Paducah-Mayfield, KY-IN 79 

Richmond-Berea, KY 87 

Somerset, KY 89 

NOT IN A MSA 

Grayson, KY 92 

Calvert City, KY 94 

Echols, KY 102 

Hazard, KY 104 

Pikeville, KY 106 

Franklin, KY 108 

 

APPENDIX A – LMAPCD AIR TOXICS A-1 

APPENDIX B - NCORE WORKPLAN B-1 

APPENDIX C - LEAD MONITORING 

WAIVER REQUEST C-1 

APPENDIX D - PUBLIC COMMENTS D-1 

ACRONYMS 

AEM – Automated Equivalent Method 

AQI – Air Quality Index 

AQS – Air Quality System 

ARM – Automated Reference Method 

CBSA – Core-Based Statistical Area 

CSA – Combined Statistical Area 

FAM – Federal Alternate Method 

FEM – Federal Equivalent Method 

FRM – Federal Reference Method 

KYDAQ – Kentucky Division for Air 

Quality 

LMAPCD – Louisville Metro Air 

Pollution Control District 

MSA – Metropolitan Statistical Area 

NAAQS – National Ambient Air Quality 

Standards 

NAMS – National Air Monitoring 

Stations 

SAMWG – Standing Air Monitoring 

Working Group 

SLAMS – State and Local Air 

Monitoring Stations 

SPM – Special Purpose Monitors 

U.S.EPA – United States Environmental 

Protection Agency 

UV – Ultra Violet 

VOC – Volatile Organic Compounds 
INTRODUCTION

In October 1975, the United States Environmental Protection Agency (U.S.EPA) established a work 

group to critically review and evaluate current air monitoring activities at that time. This group was 

named the Standing Air Monitoring Working Group (SAMWG). The review by the SAMWG 

indicated several areas where deficiencies existed which needed correction. The principal areas 

needing correction were: an excess of monitoring sites in some areas to assess air quality; existing 

regulations did not allow for flexibility to conduct special purpose monitoring studies; data reporting 

was untimely and incomplete, caused by a lack of uniformity in station location and probe siting, 

sampling methodology, quality assurance practices, and data handling procedures. 

In August 1978, recommendations developed by SAMWG, to remedy the deficiencies in the existing 

monitoring activities, were combined with the new requirements of Section 319 of the Clean Air Act. 

Section 319 provided for the development of uniform air quality monitoring criteria and 

methodology; reporting of a uniform air quality index in major urban areas; and the establishment of 

an air quality monitoring system nationwide which utilizes uniform monitoring criteria and provides 

for monitoring stations in major urban areas that supplement State monitoring. The combination of 

the recommendations and requirements were included in a proposed revision to the air monitoring 

regulations. 

In May 1979, air monitoring regulations were finalized by the U.S.EPA requiring certain 

modifications and additions to be included in the State Implementation Plan for air quality 

surveillance. These regulations require each state to operate a network of monitoring stations 

designated as State and Local Air Monitoring Stations (SLAMS) that measure ambient 

concentrations of air pollutants for which standards have been established. The SLAMS designation 

contains provisions concerning the conformity to specific siting and monitoring criteria not 

previously required. The regulations also provide for an annual review of the monitoring network to 

insure objectives are being met and to identify needed modification. 

The Kentucky Division for Air Quality (KYDAQ) has operated an air quality monitoring network in 

the Commonwealth since July 1967. The Louisville Metro Air Pollution Control District (LMAPCD), 

a local agency, has maintained a sub-network in its area of jurisdiction since January 1956. Since that 

time, the networks have been expanded in accordance with the U.S.EPA's regulations to consist of a 

current overall network of 44 stations, operated by KYDAQ, LMAPCD and the National Park 

Service. The Commonwealth’s SLAMS air monitoring network monitors criteria pollutants for which 

the National Ambient Air Quality Standards (NAAQS) have been issued. In addition to a SLAMS 

network, KYDAQ’s air monitoring network includes special purpose monitors (SPM) for air toxics, 

mercury, wet deposition and meteorological stations. 

The annual monitoring network description, as provided for in 40 CFR Part 58.10, Annual 

monitoring network plan and periodic network assessment, must contain the following information 

for each monitoring station in the network: 

1. The Air Quality System(AQS) site identification number for existing stations. 

2. The location, including the street address and geographical coordinates, for each monitoring 

station. 

3. The sampling and analysis method used for each measured parameter. 

i
4. The operating schedule for each monitor. 

5. Any proposal to remove or move a monitoring station within a period of eighteen months following 

the plan submittal. 

6. The monitoring objective and spatial scale of representativeness for each monitor. 

7. The identification of any site that is suitable for comparison against the PM2.5 NAAQS. 

8. The Metropolitan Statistical Area (MSA), Core-Based Statistical Area (CBSA), Combined 

Statistical Area (CSA) or other area represented by the monitor. 

The following document constitutes the Kentucky ambient air monitoring network description and is 

organized into three main parts: 

(1) Station Description Format: An outline of the designations, parameters, monitoring methods, 

and the basis for site selection. 

(2) Network Summaries: Presenting the total number of sites and monitors in each region and for 

the state. Also included is a listing of all proposed changes to the current network. 

(3) Air Monitoring Station Description: Each air monitor station is described in detail as per the 

outline in (1) above. 

 

Modification to the network as determined by an annual review process will be made each year to 

maintain a current up-to-date network description document.

ii
STATION DESCRIPTION FORMAT

AQS Site Identification Information

Pertinent, specific siting information for each site and monitor is stored in the U.S. EPA’s AQS data 

system. This information includes the exact location of the site, local and regional population, 

description of the site location, monitor types, and monitoring objectives. This site and monitor 

information is routinely updated whenever there is a change in site characteristics or pollutants 

monitored. 

Network Station Description 

The network station descriptions contained in this document include the following information: 

1. Site Description 

Specific information is provided to show the location of the monitoring equipment at the site, if 

the site is located in a CSA/MSA, the AQS identification number, the GPS coordinates, and that 

monitors and monitor probes conform to the siting criteria. 

2. Date Established

The date when each existing monitoring station was established is shown in the description. For 

those stations, which are proposed, a date is provided when it is expected for the station to be in 

operation. 

3. Site Approval Status

Each monitoring station in the existing network has been reviewed with the purpose of 

determining whether it meets all design criteria for inclusion in the SLAMS network. Stations 

that do not meet the criteria will either be relocated in the immediate area or when possible, resited at the present location.

4. Monitoring Objectives

The monitoring network was designed to provide information to be used as a basis for the 

following actions: 

(a) To determine compliance with ambient air quality standards and to plan measures to attain 

these standards. 

(b) To activate emergency control procedures in the event of an impending air pollution episode. 

(c) To observe pollution trends throughout a region including rural areas and report progress made 

toward meeting ambient air quality standards. 

(d) To provide a database for the evaluation of the effects of air quality on population, land use, and 

transportation planning; to provide a database for the development and evaluation of air 

dispersion models. 

1
5. Monitoring Stations’ Designations

Most stations described in the air quality surveillance network are designated as "SLAMS”. In 

addition, some of these stations fulfill other requirements, which must be identified. In this 

description of the network, designations are also made for Special Purpose Monitors (SPM), 

Emergency Episode Monitoring sites and Air Quality Index sites (AQI). The following is the 

criteria used for each of these designations. 

SLAMS: Requirements for air quality surveillance systems provide for the establishment of a 

network of monitoring stations designated as State and Local Air Monitoring Stations 

(SLAMS) that measure ambient concentrations of pollutants for which standards have been 

established. These stations must meet requirements that relate to four major areas: quality 

assurance, monitoring methodology, sampling interval, siting of instruments and instrument 

probes. 

EMERGENCY EPISODE MONITORING SITES (EPISODE): Regulations provide for the 

operation of at least one continuous SLAMS monitor for each major pollutant in designated 

locations for emergency episode monitoring. These monitors are placed in areas of worst air 

quality and provide continual surveillance during episode conditions. 

AIR QUALITY INDEX (AQI): Certain stations in the SLAMS network provide data for daily 

index reporting. Index reporting is required for all urban areas with a population exceeding 

200,000. However, KYDAQ is providing this service to the general public from all areas where 

monitoring and attending staff are available. The AQI is a method of reporting that converts 

concentration levels of pollution to a simple number scale of 0-500. Intervals on the AQI scale 

are related to potential health effects of the daily measured concentrations of the major 

pollutants. KYDAQ prepares the Index twice daily for release to the public from the pollutant 

data reported from the Field Offices. 

SPM: Not all monitors and monitoring stations in the air quality surveillance network are 

included in the SLAMS network. In order to allow the capability of providing monitoring for 

complaint studies, modeling verification and compliance status, certain monitors are reserved 

for short-term studies and designated as Special Purpose Monitors (SPM). These monitors are 

not committed to any one location or for any specified time period. They may be located as 

separate monitoring stations or be included at SLAMS locations. Monitoring data may be 

reported, provided that the monitors and stations conform to all requirements of the SLAMS 

network. 

6. Monitoring Methods 

All sampling and analytical procedures used in the air-monitoring network conform to Federal 

reference (FRM), alternate (FAM) or equivalent (FEM) methods. In case there is no federal 

method, procedures are described in the Kentucky Air Quality Monitoring and Quality 

Assurance Manuals. 

(a) Particulate Matter 10 microns in size (PM10)

All PM10 samplers operated by the Division for Air Quality are certified as either FRM or FEM 

samplers and are operated according to the requirements set forth in 40 CFR 50 and 40 CFR 53. 

2
Intermittent samplers collect a 24-hour sample every sixth day on 46.2mm PTFE filters. The 

filter is weighed before and after the sample run. The gain in weight in relation to the volume of 

air sampled is calculated in micrograms per cubic meter (ug/m3). The PTFE filters are to be 

equilibrated before each weighing for a minimum of 24 hours at a 20-23 degrees C mean 

temperature and a 30-40% mean relative humidity. 

Continuous PM10 samplers provide 24-hour samples daily for SLAMS reporting. During 

sampling, ambient air passes through an inlet designed to pass only particles smaller than 10 

microns in diameter. After exiting the inlet, the sample stream is sent to a mass transducer. 

Inside the transducer the sample stream passes through a Teflon-coated glass fiber filter. This 

filter is weighed every two seconds. The difference between the current filter weight and the 

initial or installed weight gives the total mass of the collected particulate. The mass 

concentration is computed by dividing the total mass by the flow rate. Data is transmitted by 

telemetry for entry into the automated central data acquisition system. 

(b) Particulate Matter 2.5 microns in size (PM2.5) 

With the exception of continuous samplers, all PM2.5 samplers operated by the Division for Air 

Quality are certified as either FRM or FEM samplers. All manual samplers are operated per the 

requirements set forth in 40 CFR 50, Appendix L. Samples are collected on 46.2mm PTFE 

filters over a 24-hour sampling period. Air flow through the filter is to be maintained at 16.7 

liters per minute. The flow rate must not vary more than +/-5% for five minutes over a 24-hour 

sample period at actual ambient temperature and pressure. Samples must be retrieved within 

177 hours of the end of the sample run and must be kept cool (4 degrees C or cooler) during 

transit to meet the thirty-day limit for re-weighing. 

The PTFE filters are to be equilibrated before each weighing for a minimum of 24 hours at a 

controlled atmosphere of 20-23 degrees C mean temperature and 30-40% mean relative 

humidity. Filters must be used within thirty days of initial weighing. Filters must be re-weighed 

within thirty days of the end of the sample run and must be kept at 4 degrees C or cooler. The 

gain in weight in relation to the volume of air sampled is calculated in micrograms per cubic 

meter (ug/m3

). 

Continuous PM2.5 samplers provide 24-hour samples daily for AQI reporting. During sampling, 

ambient air passes through an inlet and very sharp cut cyclone designed to pass only particles 

smaller than 2.5 microns in diameter. After exiting the inlet, the sample stream is sent to a mass 

transducer. Inside the transducer the sample stream passes through a Teflon-coated glass fiber 

filter. This filter is weighed every two seconds. The difference between the current filter 

weight and the initial or installed weight gives the total mass of the collected particulate. The 

mass concentration is computed by dividing the total mass by the flow rate. 

Another means of measuring PM2.5 continuously is through beta ray attenuation. During 

sampling, ambient air passes through an inlet and very sharp cut cyclone designed to pass only 

particles smaller than 2.5 microns in diameter. The sample is collected on filter tape as the air 

passes through the tape. The filter tape is then placed in between a beta source and a 

scintillation detector causing an attenuation of the beta particle signal. 

Data is transmitted by telemetry for entry into the automated central data acquisition system. 

3
(c) PM2.5 Speciation sampling and analysis

In addition to operating PM2.5 samplers that determine only PM2.5 mass values, KYDAQ also 

operates PM2.5 speciation samplers that collect samples that are analyzed to determine the 

chemical makeup of PM2.5. Samples are collected on a set of three filters over a 24-hour 

sampling period. The individual filters are composed of different media in order to collect 

specific types of toxic pollutants. 

After collection, the samples are shipped in ice chests to an EPA contract laboratory for 

analysis. At the laboratory, the samples are analyzed using optical and electron microscopy, 

thermal optical analysis, ion chromatography and x-ray fluorescence to determine the presence 

and level of specific toxic compounds. Sample results are entered in the AQS data system. 

(d) Sulfur Dioxide

Instruments used to continuously monitor sulfur dioxide levels in the atmosphere employ the 

UV fluorescence and UV open path methods. The continuous data output from the instrument is 

transmitted by telemetry for entry into an automated central data system. 

Calibration of these instruments is done dynamically using certified gas mixtures containing a 

known concentration of sulfur dioxide gas. This gas is then diluted in a specially designed 

apparatus to give varying known concentrations of sulfur dioxide. These known concentrations 

are supplied to the instruments, which are adjusted so that instrument output corresponds with 

the specific concentrations. Calibration curves are prepared for each instrument and each data 

point is automatically compared to this curve before entry into the data acquisition system. 

(e) Carbon Monoxide

Continuous monitoring for carbon monoxide is performed by use of the non-dispersive infrared 

correlation method. Data is transmitted by telemetry for entry in an automated central data 

acquisition system. 

Calibration of the instrument is performed periodically by using nitrogen or zero air to establish 

the zero baseline and NIST or NIST traceable gas mixtures of carbon monoxide in air. The span 

is checked daily using a certified mixture of compressed gas containing approximately 45 parts 

per million carbon monoxide. 

(f) Ozone

Ozone is monitored using the UV photometry and UV open path methods. The continuous data 

output from the instrument is transmitted by telemetry for entry into an automated central data 

acquisition system. 

Monitors are calibrated routinely using an ozone generator, which is calibrated using the ultra 

violet photometry reference method. Calibration curves are prepared for each instrument and 

each data point is automatically compared to this curve before entry into the data acquisition 

system. 

(g) Nitrogen Dioxide

4
The chemiluminescence and UV open path methods are used in monitoring the nitrogen dioxide 

level in the ambient air. The continuous data output from the instrument is transmitted by 

telemetry for entry into an automated central data acquisition system. 

Calibration of these instruments is done dynamically using NIST certified gas mixtures of nitric 

oxide. Through the use of dilution apparatus, varying concentrations are produced and supplied 

to the monitors, thus producing a specific calibration curve for each instrument. Each data point 

is automatically compared to this curve before entry into the data acquisition system. 

(h) Lead

Lead concentrations are determined from the analysis of suspended particulates collected by 

high volume particulate samplers. Particulate samples are ashed to remove organic matter and 

acid extracted to dissolve the metals. The lead content is determined by the atomic absorption 

spectroscopy method or an approved Federal Equivalent Method. 

(i) Mercury

Cold vapor atomic fluorescence spectrometry is used to determine elemental gaseous mercury 

in ambient air at sub-ng/m3 levels. The analyzer uses a dual, ultra pure gold absurbent cartridge 

design that allows alternating desorption and sampling. The dual cartridge design results in 

continuous mercury sampling of the air stream. The continuous data output from the instrument 

is transmitted by telemetry for entry into an automated central data acquisition system. 

(j) Air Toxics

Air toxics pollutants are determined in three categories: metals, volatile organic compounds 

(VOC), and carbonyls. 

Metal samples are collected on 46.2 mm PTFE filter over a 24-hour period similar to the PM10

monitoring method. The filter is weighed before and after the sample run. The gain in weight in 

relation to the volume of air sampled is used to calculate the concentration in micrograms per 

cubic meter (ug/m3

). The PTFE filter is to be equilibrated before each weighing for a minimum 

of 24 hours at a 20-23 degrees C mean temperature and a 30-40% mean relative humidity. The 

filter is then delivered to the Division for Environmental Program Support for inductively 

coupled plasma/mass spectrometer analysis to determine the concentration of metals in ug/m3

. 

VOC samples are collected in a vacuum canister. Ambient air is pulled into the canister over a 

24-hour sampling period. The sample is shipped to the Division for Environmental Program 

Support for gas chromatography/mass spectrometer analysis. VOC concentrations determined 

in the sample are reported in ug/m3. 

Carbonyl samples are collected on a DPNH cartridge. An ambient air stream flows through the 

cartridge at a (1) liter per minute flow rate for a 24-hour sampling period. The cartridge is 

packed on ice and shipped to the Division for Environmental Program Support for highpressure liquid chromatography analysis. Carbonyl concentrations determined in the sample 

are reported in ug/m3

. 

5
(k) Wet Deposition

Acid precipitation monitoring stations operate on a weekly sampling schedule. Cumulative 

precipitation events occurring during a seven-day period are collected in one container to 

represent a one-week sample. An Aerochem precipitation monitor and NCON monitors are 

used to collect the wet deposition samples. The principle of operation of the samplers is based 

on the use of a moisture sensor that activates an electrically driven movable container lid 

covering the “wet” container during dry periods and then is moved to uncover the “wet” 

container when precipitation occurs. The opening and closing of the lid for each precipitation 

event is indicated on a data logger providing the time and date of each event. At the end of each 

weekly sampling period, the sample bag/bottle in the “wet” container is removed and a new 

sample bag/bottle is installed. The sample is then analyzed at the Division for Environmental 

Program Supports’ laboratory. 

7. Quality Assurance Status

The Division for Air Quality has an extensive quality assurance program to ensure that all air 

monitoring data collected is accurate and precise. Staff members audit air monitors on a 

scheduled basis, including those operated by the Louisville Metro Air Pollution Control 

District, to ensure that each instrument is calibrated and operating properly. Data validation is 

performed monthly by verifying the data reported by each instrument is recorded accurately in 

the computerized database. 

8. Area Representativeness

Each station in the monitoring network must be described in terms of the physical dimensions 

of the air parcel nearest the monitoring station throughout which actual pollutant concentrations 

are reasonably similar. Area dimensions or scales of representativeness used in the network 

description are: 

(a) Microscale - defines the concentration in air volumes associated with area dimensions ranging 

from several meters up to about 100 meters. 

(b) Middle scale - defines the concentration typical of areas up to several city blocks in size with 

dimensions ranging from about 100 meters to 0.5 kilometers. 

(c) Neighborhood scale - defines the concentrations within an extended area of a city that has 

relatively uniform land use with dimensions in the 0.5 to 4.0 kilometers. 

(d) Urban scale - defines an overall citywide condition with dimensions on the order of 4 to 50 

kilometers. 

(e) Regional Scale - defines air quality levels over areas having dimensions of 50 to hundreds of 

kilometers. 

Closely associated with the area around the monitoring station where pollutant concentrations are 

reasonably similar are the basic monitoring exposures of the station. There are four basic exposures 

included in this description: 

(a) To determine the highest concentrations expected to occur in the area covered by the network. 

6
(b) To determine representative concentrations in areas of high population density. 

(c) To determine the impact on ambient pollution levels of significant sources or source categories. 

(d) To determine general background concentration levels. 

The design intent in siting stations is to correctly match the area dimensions represented by the sample 

of monitored air with the area dimensions most appropriate for the monitoring objective of the station. 

The following relationship of the four basic objectives and the area of representativeness are 

appropriate when siting monitoring stations: 

Monitoring Exposures Siting Area Scale

Highest concentration Micro, Middle, 

Neighborhood 

Population Neighborhood, 

Urban 

Source impact Micro, Middle, 

Neighborhood 

General/background Neighborhood, 

Regional 

Data Processing and Reporting 

All ambient air quality data are stored in a centralized server located at the 14th floor of the Capital 

Plaza Tower, the Energy and Environment Cabinet (EEC) headquarters in Frankfort, Kentucky. The 

server is backed up on tape nightly, weekly, and monthly. The backup tape of the server is stored off 

site of the EEC headquarters and is cycled through use on a monthly schedule. After each month of 

data has passed all quality assurance checks, the data is transmitted via telemetry to the U.S. EPA’s 

national data storage system known as AQS. Statistical data summaries are generated from this 

database and compiled to produce the Ambient Air Quality Annual Report. This report may be 

accessed at the KYDAQ website:http://www.air.ky.gov. The report is located under Public 

Information. 

7
8
LMAPCD 

KYDAQ 

Ambient Air Monitoring Network 

9
AIR MONITORING STATIONS SUMMARY

Metropolitan Statistical Area 

Number 

of Sites PM2.5 PM10 PMcoarse SO2 NO2 NOy CO O3

Pb/

Metals Hg 

Wet 

Dep VOC 

Carbo

nyl 

Speci

ation MET 

Bowling Green, KY 2 4 CT 0 0 1 1 0 1 2 0 1 0 0 0 0 1 

Cincinnati-Middletown, OH-KY-IN 3 4 T 0 0 1 1 0 0 3 0 1 1 1 1 1 2 Clarksville, TN-KY 1 1 0 0 0 0 0 0 1 0 0 0 0 0 0 0 Elizabethtown, KY 1 3 T 0 0 0 0 0 0 1 0 0 0 0 0 0 0 Evansville, IN-KY 1 2 T 1 0 1 0 0 0 1 0 0 0 0 0 0 0 Huntington-Ashland, WV-KY-OH 3 2 T 2 C** 0 2 1 0 0 2 3 C 0 0 1 1 1 1 

Lexington-Fayette, KY 3 3 T 1 ** 0 2 1 0 0 2 1 1 1 1 1 1 1 

Louisville-Jefferson County, KY-IN 10 12 CT 4 C** 1 3 1 1 2 5 0 0 0 0 0 1 3 Owensboro, KY 2 2 CT 0 0 1 1 0 0 2 0 0 0 0 0 0 1 

Micorpolitan Statistical Area 

Paducah, KY-IL 4 2 T 1 0 2 1 0 0 2 0 1 1 1 0 0 1 

Somerset, KY 1 1 T 0 0 0 0 0 0 1 0 0 0 0 0 0 0 Middlesborough, KY 1 1 0 0 0 0 0 0 1 0 0 0 0 0 0 1 Richmond-Berea, KY 1 1 0 0 0 0 0 0 0 1 0 0 0 0 0 0 Frankfort, KY 1 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 

Not in a MSA 

Carter County 1 1 2 C 0 0 0 0 0 1 2 C 1 2 2 2 1 1 

Marshall County 4 0 1 0 0 0 0 0 0 1 0 0 5 0 0 1 

Ohio County 1 2 T 1 ** 0 0 0 0 0 0 1 1 1 0 0 0 1 Perry County 1 1 T 0 0 0 0 0 0 1 0 0 0 0 0 0 1 

Pike County 1 3 T 0 0 0 0 0 0 1 0 0 0 0 0 0 0 

Simpson County 1 0 0 0 0 0 0 0 1 0 0 0 0 0 0 1 

TOTALS 43 46 13 1 13 7 1 3 27 10 6 6 11 5 5 16 

C=Collocated monitors; D=Duplicate monitors; T= Continuous PM2.5 monitors or continuous PM10 monitors; **=Multiple analysis: PM10 Teflon filters used for PM10 monitoring, Metals monitoring and PMcoarse)

Russell County 0 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0 

10
SUMMARY OF NETWORK CHANGES 2009 

MSA Summary: 

Cincinnati-Middletown, OH-KY-IN - NKU (21-037-3002) add PM2.5 beta attenuation monitor 

Elizabethtown, KY MSA – Elizabethtown (21-093-0006) add PM2.5 collocated sampler moved from the Evansville, IN-KY MSA. 

Evansville, IN-KY MSA – Baskett (21-101-0014) remove the collocated PM2.5 sampler and install a PM10 sampler. 

Huntington-Ashland, WV-KY-OH MSA – Lockwood (21-019-0016) establish a site and add a source impact lead sampler. Not in a MSA Summary: 

Grayson, KY – Grayson Lake (21-043-0500) increase sampling frequency for the duplicate PM10 from every twelfth day to every sixth 

day. Pikeville, KY – Pikeville (21-195-0002) increase sampling frequency for the duplicate PM2.5 from every twelfth day to every sixth day. 

Richmond, KY – Richmond (21-151-0003) and add source impact lead sampler and collocated source impact lead sampler. Russell Springs, KY - Salem Elementary (TBD) add source impact lead sampler. Somerset, KY - Somerset (21-199-0003) add PM2.5 beta attenuation monitor 

11
Metropolitan Statistical Areas

12
Bowling Green, KY

(Rev.5/23/08) 

AIRS ID ADDRESS PM2.5 PM10 SO2 NO2 CO O3 Metals Hg

Wet 

Dep. VOC

CarbonylSpeciation MET

21-061-0501 Alfred Cook Road X(t) X X X X X X X

 (NPS) Mammoth Cave (Edmonson)

21-227-0008 Oakland School X(ctI) X(sI)

Oakland (Warren)

TOTAL 4 0 1 1 1 2 0 1 1 0 0 0 1 

(c) Collocated Monitor 

(I) Air Quality Index Monitor

(s) Special Purpose Monitor

(t) Continuous PM Monitor

13
CSA/MSA: Bowling Green, KY MSA 

401 KAR 50:020 Air Quality Region: South Central Kentucky Intrastate (105) 

Site Name: Oakland Primary 

AQS Site ID: 21-227-0008 

Location: Oakland Elementary School, Oakland, KY 42159 

County: Warren 

GPS Coordinates: 37.036667, -86.250556 

Date Established: January 1, 2000 

Inspection Date: December 4, 2008 

Inspection By: Andrea P. Keatley 

Site Approval Status: Site and monitors meet all design criteria for the monitoring network. 

The monitoring site is a stationary equipment shelter located 

on the grounds of the Oakland Elementary School in Oakland, 

Kentucky. The sample inlets are 200 feet from the nearest 

road. The most recent site inspection was conducted on 

December 4, 2008. Upon inspection, the sample inlets and 

monitors were found to be in good condition. The site meets 

the requirements of 40 CFR 58, Appendices C, D, E and G. 

Monitoring Objective: 

The monitoring objectives are to determine compliance with National Ambient Air Quality Standards 

and to provide levels of ozone and particulate matter for daily index reporting. 

Monitors: 

Monitor Type Designation Analysis Method Frequency of Sampling

AEM Ozone SPM UV photometry Continuously 

AQI March 1 – October 31 

PM2.5 TEOM SPM 

AQI 

Tapered element oscillating 

microbalance, gravimetric 

Continuously 

Inlet 

Height 

(meters) 

4 

5 

FEM PM2.5 5 SLAMS Gravimetric 24-hours every third day 

- Collocated FRM 

PM2.5 

5 SLAMS Gravimetric 24-hours every third day 

Quality Assurance Status: 

All Quality Assurance procedures have been implemented in accordance with 40 CFR 58, Appendix A. 

14
Area Representativeness: 

This site represents population exposure on an urban scale for particulates. This site also represents 

maximum concentration on and urban scale for ozone. 

Urban Scale 

15
Cincinnati-Middletown, OH-KY-IN

(Rev.6/30/09 

AIRS ID ADDRESS PM2.5 PM10 SO2 NO2 CO O3 Metals Hg

Wet 

Dep. VOC

CarbonylSpeciation MET

21-015-0003 KY 338 & Lower River Road X X

East Bend (Boone)

21-037-3002 524A John’s Hill Road X(It) X(I) X X(Ie) X HG

Highland Heights(Campbell)

21-117-0007 1401 Dixie Highway X(tIe) X(I) X X X X

Covington (Kenton)

TOTAL 4 0 1 1 0 3 0 1 1 1 1 1 2 

(e) Emergency Episode Monitor

(I) Air Quality Index Monitor

(t) Continuous PM Monitor

(s) Special Purpose 

16
CSA/MSA: Cincinnati-Middletown-Wilmington, OH-KY-IN CSA/Cincinnati-Middletown, OH-KYIN MSA 

401 KAR 50:020 Air Quality Region: Metropolitan Cincinnati (Ohio) Interstate (079) 

Site Name: East Bend 

AQS Site ID: 21-015-0003 

Location: KY 338 and Lower River Road, East Bend, KY 41005 

County: Boone 

GPS Coordinates: 38.918056, -84.852778 

Date Established: July 1, 1977 

Inspection Date: November 4, 2008 

Inspection By: Andrea P. Keatley 

Site Approval Status: Site and monitors meet all design criteria for the monitoring network. 

The monitoring site is a stationary equipment shelter located at the 

intersection of KY 338 and Lower River Road in East Bend, 

Kentucky. The sample inlets are 50 feet from the nearest road. The 

most recent site inspection was conducted on November 4, 2008. 

Upon inspection, the sample lines and monitors were found to be in 

good condition. The site meets the requirements of 40 CFR 58, 

Appendices C, D and E. 

Monitoring Objective: 

The monitoring objective is to determine compliance with National Ambient Air Quality Standards. 

Monitors: 

Monitor Type Inlet 

Height 

(meters) 

Designation Analysis Method Frequency of Sampling

AEM Ozone 3.3 SLAMS UV photometry Continuously 

AQI March 1 – October 31 

Meteorological 5.5 Other AQM grade instruments for wind speed, 

wind direction, humidity, barometric 

pressure and temperature 

Continuously 

Quality Assurance Status: 

All Quality Assurance procedures have been implemented in accordance with 40 CFR 58, Appendix A. 

17
Area Representativeness: 

This site represents background levels on an urban scale for ozone. 

Urban Scale 

18
CSA/MSA: Cincinnati-Middletown-Wilmington, OH-KY-IN CSA/Cincinnati-Middletown, OH-KYIN MSA 

401 KAR 50:020 Air Quality Region: Metropolitan Cincinnati (Ohio) Interstate (079) 

Site Name: Covington 

AQS Site ID: 21-117-0007 

Location: University College, 1401 Dixie Hwy, Covington, KY 41011 

County: Kenton 

GPS Coordinates: 39.072500, -84.525000 

Date Established: August 22, 1975 

Inspection Date: November 4, 2008 

Inspection By: Andrea P. Keatley 

Site Approval Status: Site and monitors meet all design criteria for the monitoring network. 

The monitoring site is a stationary equipment shelter located 

on the grounds of the University College in Covington, 

Kentucky. The sample inlets are 40 feet from the nearest 

road. The most recent site inspection was conducted on 

November 4, 2008. Upon inspection, the sample lines and 

monitors were found to be in good condition. The site meets 

the requirements of 40 CFR 58, Appendices C, D, E and G. 

Monitoring Objective: 

The monitoring objectives are to determine compliance with National Ambient Air Quality Standards; 

to provide ozone, particulate and sulfur dioxide levels for daily index reporting; and to detect elevated 

pollutant levels for activation of emergency control procedures for particulates. 

Monitors:

Monitor Type Designation Analysis Method Frequency of Sampling

AEM Ozone SLAMS UV photometry Continuously 

AQI March 1 – October 31 

FRM PM2.5 SLAMS Gravimetric 24-hours every third day 

PM2.5 Speciation SLAMS Thermal optical, ion chromatography, and 

X-ray fluorescence 

24-hours every sixth day 

PM2.5 TEOM 

 

 

SPM 

AQI 

EPISODE 

Tapered element oscillating microbalance, 

gravimetric 

Continuously 

Volatile Organics 

Compound 

SPM EPA method TO-15 24-hours every sixth day 

Carbonyls SPM EPA method TO-11A 24-hours every sixth day 

Meteorological Other AQM grade instruments for wind speed, 

wind direction, humidity, barometric 

pressure and temperature 

Continuously 

Inlet 

Height 

(meters) 

3.6 

4.6 

4.5 

4.5 

4.3 

4.3 

7.6 

19
Quality Assurance Status: 

All Quality Assurance procedures have been implemented in accordance with 40 CFR 58, Appendix A. 

Area Representativeness: 

This site represents population exposure on a neighborhood scale for ozone and particulates. 

Neighborhood Scale 

20
CSA/MSA: Cincinnati-Middletown-Wilmington, OH-KY-IN CSA/Cincinnati-Middletown, OH-KYIN MSA 

401 KAR 50:020 Air Quality Region: Metropolitan Cincinnati (Ohio) Interstate (079) 

Site Name: Northern Kentucky University “NKU” 

AQS Site ID: 21-037-3002 

Location: 524A John’s Hill Road, Highland Heights, KY 41076 

County: Campbell 

GPS Coordinates: 39.02181, -84.47445 

Date Established: August 1, 2007 

Inspection Date: November 4, 2008 

Inspection By: Andrea P. Keatley 

Site Approval Status: Site and monitors meet all design criteria for the monitoring network. 

The monitoring site is a stationary equipment shelter located 

on farmland owned by the Northern Kentucky University in 

Highland Heights, Kentucky. The sample inlets are 72 feet 

from the nearest road, which is a dirt service drive for a radio 

tower. The most recent site inspection was conducted on 

November 4, 2008. Upon inspection, the sample lines and 

monitors were found to be in good condition. The site meets 

the requirements of 40 CFR 58, Appendices C, D, E and G. 

Monitoring Objective: 

The monitoring objectives are to determine compliance with National Ambient Air Quality Standards; 

to provide ozone, particulate and sulfur dioxide levels for daily index reporting; and to detect elevated 

pollutant levels for activation of emergency control procedures for ozone. 

Monitors:

Monitor Type Designation Analysis Method Frequency of Sampling

AEM Nitrogen 

Dioxide 

SLAMS Chemiluminescence Continuously 

AEM Ozone SLAMS UV photometry Continuously 

AQI 

EPISODE 

March 1 – October 31 

FRM PM2.5 SLAMS Gravimetric 24-hours every third day 

PM2.5 BAM 

 

SPM 

AQI 

Beta Attenuation Mass Monitor Continuously 

AEM Sulfur Dioxide SLAMS 

AQI 

UV fluorescence Continuously 

Mercury - ambient SPM Cold vapour atomic fluorescence 

spectrometry 

Continuously 

Mercury – Wet 

Deposition 

 

SPM Wet deposition collected, analysis 

of sample by the Environmental 

Services laboratory 

Weekly 

Inlet 

Height 

(meters) 

3.8 

3.8 

4.6 

4 

3.9 

3.7 

1.5 

Meteorological 1.5 Other Rain gauge Continuously 

21
Quality Assurance Status: 

All Quality Assurance procedures have been implemented in accordance with 40 CFR 58, Appendix A. 

Area Representativeness: 

This site represents population exposure for nitrogen dioxide, ozone, sulfur dioxide and mercury on an 

urban scale. This site also represents population exposure on a neighborhood scale for particulate 

matter. 

Urban Scale 

Neighborhood Scale 

22
Clarksville, TN-KY

(Rev.5/23/08) 

AIRS ID ADDRESS PM2.5 PM10 SO2 NO2 CO O3 Metals Hg

Wet 

Dep. VOC

CarbonylSpeciation MET

21-047-0006 10800 Pilot Rock Road X X

Hopkinsville (Christian)

TOTAL 1 0 0 0 0 1 0 0 0 0 0 0 0 

23
CSA/MSA: Clarksville, TN- KY MSA 

401 KAR 50:020 Air Quality Region: Paducah - Cairo Interstate (072) 

Site Name: Hopkinsville 

AQS Site ID: 21-047-0006 

Location: 10800 Pilot Rock Road, Hopkinsville, KY 42240 

County: Christian 

GPS Coordinates: 36.911667, -87.323611 

Date Established: January 1, 1999 

Inspection Date: December 18, 2008 

Inspection By: Andrea P. Keatley 

Site Approval Status: Site and monitors meet all design criteria for the monitoring network. 

The monitoring site is on a platform in a field and a 

stationary equipment shelter adjacent to a residence located 

at 10800 Pilot Rock Road in Hopkinsville, Kentucky. The 

sample inlet is 300 feet from the nearest road. The most 

recent site inspection was conducted on December 17, 2008. 

Upon inspection, the sample inlets and monitors were found 

to be in good condition. The site meets the requirements of 

40 CFR 58, Appendices C, D and E. 

Monitoring Objective: 

The monitoring objectives are to determine compliance with National Ambient Air Quality standards 

and to determine levels of interstate transport of fine particulate matter. 

Monitors: 

Monitor Type Inlet 

Height 

(meters) 

Designation Analysis Method Frequency of Sampling

AEM Ozone 3.8 SLAMS UV photometry Continuously 

AQI March 1 – October 31 

FEM PM2.5 3 SLAMS Gravimetric 24-hours every third day 

Quality Assurance Status: 

All Quality Assurance procedures have been implemented in accordance with 40 CFR 58, Appendix A. 

24
Area Representativeness: 

This site represents population exposure on a regional scale. 

Regional Scale 

25
Elizabethtown, KY

(Rev.5/20/09) 

AIRS ID ADDRESS PM2.5 PM10 SO2 NO2 CO O3 Metals Hg

Wet 

Dep. VOC

CarbonylSpeciation MET

21-093-0006 801 N Miles St, Am Legion Park X(ct) X(s)

Elizabethtown (Hardin)

TOTAL 3 0 0 0 0 1 0 0 0 0 0 0 0 

(s) Special Purpose Monitor

(t) Continuous PM Monitor

(c) Continuous Monitor 

26
CSA/MSA: Louisville-Jefferson County-Elizabethtown-Scottsburg, KY-IN CSA / Elizabethtown, KY 

MSA 

401 KAR 50:020 Air Quality Region: North Central Kentucky Intrastate (104) 

Site Name: Elizabethtown 

AQS Site ID: 21-093-0006 

Location: American Legion Park, 801 North Miles Street, Elizabethtown, KY 42701 

County: Hardin 

GPS Coordinates: 37.706389, -85.851667 

Date Established: February 24, 2000 

Inspection Date: December 17, 2008 

Inspection By: Andrea P. Keatley 

Site Approval Status: Site and monitors meet all design criteria for the monitoring network. 

The monitoring site is a stationary equipment shelter located 

near the tennis courts on the grounds of the American Legion 

Park in Elizabethtown, Kentucky. The sample inlets are 800 

feet from the nearest road. The most recent site inspection was 

conducted on December 17, 2008. Upon inspection, the 

sample lines and monitors were found to be in good condition. 

The site meets the requirements of 40 CFR 58, Appendices C, 

D, E and G. 

Monitoring Objective: 

The monitoring objectives are to determine compliance with National Ambient Air Quality Standards 

and to provide ozone and particulate levels for daily index reporting. 

Monitors: 

Monitor Type Inlet 

Height 

(meters) 

Designation Analysis Method Frequency of Sampling

AEM Ozone 3.3 SPM UV photometry Continuously 

AQI March 1 – October 31 

FEM PM2.5 4.5 SLAMS Gravimetric 24-hours every third day 

- Collocated FEM 

PM2.5 

4.5 SLAMS Gravimetric 24-hours every sixth day 

PM2.5 TEOM 4.2 SPM Tapered element oscillating 

microbalance, gravimetric 

Continuously 

 AQI 

Quality Assurance Status: 

All Quality Assurance procedures have been implemented in accordance with 40 CFR 58, Appendix A. 

27
Area Representativeness: 

This site represents population exposure on a neighborhood scale for particulates and population 

exposure on an urban scale for ozone. 

Ozone Urban Scale 

Particulates Neighborhood Scale 

28
Evansville, IN-KY

(Rev.5/20/09) 

AIRS ID ADDRESS PM2.5 PM10 SO2 NO2 CO O3 Metals Hg

Wet 

Dep. VOC

CarbonylSpeciation MET

21-101-0014 Baskett Fire Department X(t) X X X(s)

Baskett (Henderson)

TOTAL 2 1 1 0 0 1 0 0 0 0 0 0 0 

(s) Special Purpose Monitor

(t) Continuous PM Monitor

29
CSA/MSA: Evansville, IN-KY MSA 

401 KAR 50:020 Air Quality Region: Evansville-Owensboro-Henderson Interstate (077) 

Site Name: Baskett 

AQS Site ID: 21-101-0014 

Location: Baskett Fire Department, Baskett, KY 42402 

County: Henderson 

GPS Coordinates: 37.871389, -87.463333 

Date Established: February 27, 1992 

Inspection Date: December 18, 2008 

Inspection By: Andrea P. Keatley 

Site Approval Status: Site and monitors meet all design criteria for the monitoring network. 

The monitoring site is a stationary equipment shelter located 

on the grounds of the Baskett Fire Department in Baskett, 

Kentucky. The sample inlets are 25 feet from the nearest road. 

The most recent site inspection was conducted on December 

18, 2008 Upon inspection, the sample lines and monitors were 

found to be in good condition. The site meets the requirements 

of 40 CFR 58, Appendices C, D, E and G. 

Monitoring Objective: 

The monitoring objectives are to determine compliance with National Ambient Air Quality Standards 

and to provide ozone, particulate and sulfur dioxide levels for daily index reporting. 

Monitors: 

Monitor Type Inlet 

Height 

(meters) 

Designation Analysis Method Frequency of Sampling

AEM Ozone 3.3 SPM UV photometry Continuously 

AQI March 1 – October 31 

FEM PM2.5 4.5 SLAMS Gravimetric 24-hours every third day 

PM2.5 TEOM 4.5 SPM Tapered element oscillating 

microbalance, gravimetric 

Continuously 

 AQI 

FRM PM10 4.5 SLAMS Gravimetric 24-hours every sixth day 

AEM Sulfur Dioxide 4 SLAMS UV fluorescence Continuously 

 AQI 

Quality Assurance Status: 

All Quality Assurance procedures have been implemented in accordance with 40 CFR 58, Appendix A. 

30
Area Representativeness: 

This site represents maximum concentration on an urban scale for ozone. This site also represents 

population exposure on a neighborhood scale for particulates and sulfur dioxide. 

Neighborhood Scale 

Ozone Urban Scale 

31
Huntington-Ashland, WV-KY-OH

(Rev.5/20/09) 

AIRS ID ADDRESS PM2.5 PM10 SO2 NO2 CO O3

Pb/

Metals Hg

Wet 

Dep. VOC

CarbonylSpeciation MET

21-019-0002 21st & Greenup X(c) X(c)

Ashland (Boyd)

21-019-0017 2924 Holt St, FIVCO Health Dept X(It) X(eI) X(e) X(eI) X(s) X(s) X(s) X

Ashland (Boyd)

21-089-0007 Water Tower, Scott & Center Sts. X(s) X

Worthington (Greenup)

TOTAL 2 2 2 1 0 2 3 0 0 1 1 1 1 

(c) Collocated Monitor

(e) Emergency Episode Monitor

(I) Air Quality Index Monitor

(s) Special Purpose Monitor

(t) Continuous PM Monitor

Catlettsburg (Boyd) 

21-019-0016 18138 Cherry Wood X 

32
CSA/MSA: Huntington-Ashland, WV-KY-OH MSA 

401 KAR 50:020 Air Quality Region: Huntington (WV)-Ashland (KY)-Portsmouth-Ironton (OH) 

Interstate (103) 

Site Name: Ashland - Greenup 

AQS Site ID: 21-019-0002 

Location: 122 22nd Street, Ashland, KY 41101 

County: Boyd 

GPS Coordinates: 38.478611, -82.631944 

Date Established: April 2, 1978 

Inspection Date: October 24, 2008 

Inspection By: Andrea P. Keatley 

Site Approval Status: Site and monitors meet all design criteria for the monitoring network. 

The monitoring site is located on the west end of the roof of 

the Ashland Valvoline Oil complex building in Ashland, 

Kentucky. The building is one story tall. The sample inlets 

are 100 feet from the nearest road. The most recent site 

inspection was conducted on October 24, 2008. Upon 

inspection, the sample inlets and monitors were found to be in 

good condition. The site meets the requirements of 40 CFR 

58, Appendices C, D and E. 

Monitoring Objective: 

The monitoring objectives are to determine compliance with National Ambient Air Quality Standards 

and to measure concentrations of a sub-group of air toxics. 

Monitors: 

Quality Assurance Status: 

All Quality Assurance procedures have been implemented in accordance with 40 CFR 58, Appendix A. 

Monitor Type Designation Analysis Method Frequency of Sampling

FRM PM10 SLAMS Gravimetric 24-hours every sixth day 

 - Collocated 

FRM PM10

SPM Gravimetric 24-hours every sixth day 

 - Metals PM10 SPM Determined from the PM10 sample 

using EPA method IO 3.4 

Same as PM10

Inlet 

Height 

(meters) 

6.6 

6.6 

33
Area Representativeness: 

The site represents maximum concentrations on a middle scale for particulates. This site also represents 

population exposure on a neighborhood scale for air toxics. 

Particulate Middle Scale 

Air Toxics Neighborhood Scale 

34
CSA/MSA: Huntington-Ashland, WV-KY-OH MSA 

401 KAR 50:020 Air Quality Region: Huntington (WV)-Ashland (KY)-Portsmouth-Ironton (OH) 

Interstate (103) 

Site Name: Lockwood 

AQS Site ID: 21-019-0016 

Location: Catlettsburg, KY 

County: Boyd 

GPS Coordinates: To be determined

Date Established: January 1, 2010 

Inspection Date: Not Applicable 

Inspection By: 

Site Approval Status: 

Calgon Carbon, located in Catlettsburg, Kentucky, was identified as a lead source emitting over 6 tons 

per year of actual reported emissions in 2007. In accordance with 40 CFR Part 58 Appendix D, a lead 

source monitoring site will be located in the Lockwood Estates off U.S. 23 in Catlettsburg, Kentucky. 

The location of this source-oriented lead monitor was determined through the use of AERMOD 

modeling analysis. The model indicated that majority of the source impact would be in West Virginia. 

However, the model indicated that Lockwood Estates was within the deposition boundary. 

Monitoring Objective: 

The monitoring objective is to determine compliance with National Ambient Air Quality Standards. 

Monitors:

Quality Assurance Status: 

All Quality Assurance procedures will be implemented in accordance with 40 CFR 58, Appendix A. 

Monitor Type Inlet 

Height 

(meters) 

Designation Analysis Method Frequency of Sampling

FRM Lead SLAMS Gravimetric 24-hours every sixth day 

35
Area Representativeness: 

The site represents maximum concentrations, from a source, on a middle scale for lead. 

36
CSA/MSA: Huntington-Ashland, WV-KY-OH MSA 

401 KAR 50:020 Air Quality Region: Huntington (WV)-Ashland (KY)-Portsmouth-Ironton (OH) 

Interstate (103) 

Site Name: Ashland Primary (FIVCO) 

AQS Site ID: 21-019-0017 

Location: FIVCO Health Department, 2924 Holt Street, Ashland, KY 41101 

County: Boyd 

GPS Coordinates: 38.459167, -82.640556 

Date Established: January 1, 1999 

Inspection Date: October 24, 2008 

Inspection By: Andrea P. Keatley 

Site Approval Status: Site and monitors meet all design criteria for the monitoring network. 

The monitoring site is a stationary equipment shelter located 

on the grounds of the health department building in Ashland, 

Kentucky. The sample inlets are 240 feet from the nearest 

road. The most recent site inspection was conducted on 

October 24, 2008. Upon inspection, the sample lines and 

monitors were found to be in good condition. The site meets 

the requirements of 40 CFR 58, Appendices C, D, E and G. 

Monitoring Objective: 

The monitoring objectives are to determine compliance with National Ambient Air Quality Standards; 

to detect elevated pollutant levels for activation of emergency control procedures for nitrogen dioxide, 

ozone and sulfur dioxide; and to provide pollutant levels for daily air quality index reporting. 

Monitors:

Monitor Type Inlet 

Height 

(meters) 

Designation Analysis Method Frequency of Sampling

AEM Nitrogen 

Dioxide 

4.3 SLAMS 

EPISODE 

Chemiluminescence Continuously 

AEM Ozone 4.3 SLAMS 

AQI 

UV photometry Continuously 

March 1 – October 31 

 EPISODE 

FRM PM2.5 4.7 SLAMS Gravimetric 24-hours every third day 

PM2.5 Speciation 4.6 SLAMS Thermal optical, ion chromatography, 

and X-ray fluorescence 

24-hours every sixth day 

PM2.5 TEOM 4.7 SPM 

AQI 

Tapered element oscillating 

microbalance, gravimetric 

Continuously 

AEM Sulfur Dioxide 4.3 SLAMS 

AQI 

EPISODE 

UV fluorescence Continuously 

Volatile Organics 

Compound 

4 SPM EPA method TO-15 24-hours every sixth day 

37
Area Representativeness: 

The site represents maximum concentrations on a middle scale for particulates. This site also represents 

population exposure on a neighborhood scale for air toxics. 

Quality Assurance Status: 

All Quality Assurance procedures have been implemented in accordance with 40 CFR 58, Appendix A. 

Carbonyls 3.8 SPM EPA method TO-11A 24-hours every sixth day 

Meteorological 7.7 Other AQM grade instruments for wind 

speed, wind direction, humidity, 

barometric pressure and temperature 

Continuously 

Criteria and Air Toxics Neighborhood Scale

Nitrogen Dioxide Urban Scale 

38
CSA/MSA: Huntington-Ashland, WV-KY-OH MSA 

401 KAR 50:020 Air Quality Region: Huntington (WV)-Ashland (KY)-Portsmouth-Ironton (OH) 

Interstate (103) 

Site Name: Worthington 

AQS Site ID: 21-089-0007 

Location: Scott Street and Center Avenue, Worthington, KY 41183 

County: Greenup 

GPS Coordinates: 38.548333, -82.731667 

Date Established: October 12, 1980 

Inspection Date: October 24, 2008 

Inspection By: Andrea P. Keatley 

Site Approval Status: Site and monitors meet all design criteria for the monitoring network. 

The monitoring site is a stationary equipment shelter located 

on the grounds of a water tower near the intersection of Scott 

Street and Center Avenue in Worthington, Kentucky. The 

sample inlets are 57 feet from the nearest road. The most 

recent site inspection was conducted on October 24, 2008. 

Upon inspection, the sample lines and monitors were found to 

be in good condition. The site meets the requirements of 40 

CFR 58, Appendices C, D, E and G. 

Monitoring Objective: 

The monitoring objectives are to determine compliance with National Ambient Air Quality Standards; 

to detect elevated pollutant levels for activation of emergency control procedures for nitrogen dioxide, 

ozone and sulfur dioxide; and to provide pollutant levels for daily air quality index reporting. 

Monitors: 

Quality Assurance Status: 

All Quality Assurance procedures have been implemented in accordance with 40 CFR 58, Appendix A. 

Monitor Type Designation Analysis Method Frequency of Sampling

AEM Ozone SLAMS UV photometry Continuously 

 AQI March 1 – October 31 

AEM Sulfur Dioxide SPM UV fluorescence Continuously 

Inlet 

Height 

(meters) 

4.2 

4.2 

39
Area Representativeness: 

This site represents population exposure on a neighborhood scale for ozone and sulfur dioxide. 

Criteria Neighborhood Scale 

40
(Rev.6/30/09) 

Lexington-Fayette, KY

AIRS ID ADDRESS PM2.5 PM10 SO2 NO2 CO O3 Metals Hg

Wet 

Dep. VOC

CarbonylSpeciation MET

21-067-0012 650 Newtown Pike X(t) X(eI) X(e) 

X

(I e) X(s) X(s) X(s)

Lexington (Fayette)

21-067-0014 533 South Limestone X X X(s)

Lexington (Fayette)

21-113-0001 KY DOT Garage, US 27 Bypass X(s) X X HG X

Nicholasville (Jessamine)

TOTAL 3 1 2 1 0 2 1 1 1 1 1 1 1 

(e) Emergency Episode Monitor

(I) Air Quality Index Monitor

(s) Special Purpose Monitor

(t) Continuous PM Monitor

41
CSA/MSA: Lexington-Fayette-Frankfort-Richmond, KY CSA / Lexington-Fayette, KY MSA 

401 KAR 50:020 Air Quality Region: Bluegrass Intrastate (102) 

Site Name: Lexington Primary 

AQS Site ID: 21-067-0012 

Location: Fayette County Health Department, 650 Newtown Pike, Lexington, KY 40508 

County: Fayette 

GPS Coordinates: 38.065000, -84.500000 

Date Established: November 8, 1979 

Inspection Date: December 5, 2008 

Inspection By: Andrea P. Keatley 

Site Approval Status: Site and monitors meet all design criteria for the monitoring network. 

The monitoring site is a stationary equipment shelter located 

on the grounds of the Fayette County health department 

building in Lexington, Kentucky. The sample inlets are 385 

feet from the nearest road. The most recent site inspection was 

conducted on December 5, 2008. Upon inspection, the sample 

lines and monitors were found to be in good condition. The 

site meets the requirements of 40 CFR 58, Appendices C, D, E 

and G. 

Monitoring Objective: 

The monitoring objectives are to determine compliance with National Ambient Air Quality Standards; 

to detect elevated pollutant levels for activation of emergency control procedures for nitrogen dioxide, 

ozone and sulfur dioxide; and to provide pollutant levels for daily air quality index reporting. 

Monitors:

Monitor Type Inlet 

Height 

(meters) 

Designation Analysis Method Frequency of Sampling

ARM Nitrogen 

Dioxide 

4 SLAMS 

EPISODE 

Chemiluminescence Continuously 

AEM Ozone 3.8 SLAMS 

AQI 

UV photometry Continuously 

 EPISODE March 1 – October 31 

FEM PM2.5 4.6 SLAMS Gravimetric 24-hours every third day 

PM2.5 Speciation 4.5 SLAMS Thermal optical, ion chromatography, 

and X-ray fluorescence 

24-hours every sixth day 

PM2.5 TEOM 4.6 SPM 

AQI 

Tapered element oscillating 

microbalance, gravimetric 

Continuously 

AEM Sulfur Dioxide 3.6 SLAMS 

AQI 

EPISODE 

UV fluorescence Continuously 

Volatile Organics 

Compound 

3.5 SPM EPA method TO-15 24-hours every sixth day 

Carbonyls 3.5 SPM EPA method TO-11A 24-hours every sixth day 

42
Quality Assurance Status: 

All Quality Assurance procedures have been implemented in accordance with 40 CFR 58, Appendix A. 

Area Representativeness: 

This site represents population exposure on a neighborhood scale for particulates, sulfur dioxide and 

ozone. This site also represents population exposure on an urban scale for nitrogen dioxide and air 

toxics. 

Radiation 4 RadNet RadNet fixed stationary monitor, 

manual and automated methods 

Continuously & 2 weekly filters 

Criteria Neighborhood Scale 

Nitrogen Dioxide and Air Toxics Urban Scale 

43
CSA/MSA: Lexington-Fayette-Frankfort-Richmond, KY CSA / Lexington-Fayette, KY MSA 

401 KAR 50:020 Air Quality Region: Bluegrass Intrastate (102) 

Site Name: U.K. Lexington 

AQS Site ID: 21-067-0014 

Location: 533 South Limestone, Lexington, KY 40508 

County: Fayette 

GPS Coordinates: 38.038889, -84.507500 

Date Established: October 2, 1982 

Inspection Date: December 5, 2008 

Inspection By: Andrea P. Keatley 

Site Approval Status: Site and monitors meet all design criteria for the monitoring network. 

The monitoring site is located on the roof of the Whalen 

Transportation Research Building on the University of 

Kentucky campus in Lexington, Kentucky. The sample inlets 

are 60 feet from the nearest road. The most recent site 

inspection was conducted on December 5, 2008. Upon 

inspection, the sample inlets and monitors were found to be in 

good condition. The site meets the requirements of 40 CFR 

58, Appendices C, D and E. 

Monitoring Objective: 

The monitoring objectives are to determine compliance with National Ambient Air Quality Standards. 

Monitors: 

Monitor Type Inlet 

Height 

(meters) 

Designation Analysis Method Frequency of Sampling

FRM PM2.5 11.2 SLAMS Gravimetric 24-hourd every third day 

FRM PM10 11 SLAMS Gravimetric 24-hourd every sixth day 

- Metals PM10 SPM Determined from the PM10 sample using 

EPA method IO 3.4 

Same as PM10

Quality Assurance Status: 

All Quality Assurance procedures have been implemented in accordance with 40 CFR 58, Appendix A. 

44
Area Representativeness: 

The site represents population exposure on a neighborhood scale. 

Criteria Neighborhood Scale 

45
CSA/MSA: Lexington-Fayette-Frankfort-Richmond, KY CSA / Lexington-Fayette, KY MSA 

401 KAR 50:020 Air Quality Region: Bluegrass Intrastate (102) 

Site Name: Nicholasville 

AQS Site ID: 21-113-0001 

Location: DOT Garage, US 27 Bypass, Nicholasville, KY 40356 

County: Jessamine 

GPS Coordinates: 37.893333, -84.589167 

Date Established: August 1, 1991 

Inspection Date: December 5, 2008 

Inspection By: Andrea P. Keatley 

Site Approval Status: Site and monitors meet all design criteria for the monitoring network. 

The monitoring site is a stationary equipment shelter located 

on the grounds of the Kentucky DOT Garage in Nicholasville, 

Kentucky. The sample inlets are 372 feet from the nearest 

road. The most recent site inspection was conducted on 

December 5, 2008. Upon inspection, the sample inlets and 

monitors were found to be in good condition. The site meets 

the requirements of 40 CFR 58, Appendices C, D, E and G. 

Monitoring Objective: 

The monitoring objectives are to determine compliance with National Ambient Air Quality Standards; 

to provide ozone data upwind of the Lexington area; and to provide pollutant levels for daily air quality 

index reporting. 

Monitors:

Quality Assurance Status: 

All Quality Assurance procedures have been implemented in accordance with 40 CFR 58, Appendix A. 

Monitor Type Inlet 

Height 

(meters) 

Designation Analysis Method Frequency of Sampling

AEM Ozone 3.9 SLAMS UV photometry Continuously 

 AQI March 1 – October 31 

AEM Sulfur Dioxide 3.9 SPM 

AQI 

UV fluorescence Continuously 

Mercury - ambient 3.8 SPM Cold vapour atomic fluorescence 

spectrometry 

Continuously 

Mercury – Wet 

Deposition 

 

1.5 SPM Wet deposition collected, analysis 

of sample by the Environmental 

Services laboratory 

Weekly 

Meteorological 1.25 Other Rain gauge Continuously 

46
Area Representativeness: 

This site represents population exposure on an urban scale. 

Criteria and Air Toxics Urban Scale 

47
Louisville-Jefferson County, KY-IN

(Rev. 5/21/09) 

Cannons Lane 

AIRS ID ADDRESS PM2.5 PM10 SO2 NO2 CO O3 Metals Hg

Wet 

Dep. VOC

CarbonylSpeciation MET

21-029-0006 2nd & Carpenter Streets X X(I) X 

Shepherdsville (Bullitt) 

21-185-0004 DOT Garage, 3995 Morgan Rd X(I) 

Buckner (Oldham) 

 

 

21-111-0027 7601 Bardstown Road Xt(sI) X(I) 

Louisville (Jefferson) 

21-111-0043 3621 Southern Avenue X(ctI) X(c) X 

Louisville (Jefferson) 

21-111-0044 1032 Beecher Avenue X(I) X(tI) 

Louisville (Jefferson) 

21-111-0051 7201 Watson Lane X(tsI) X(I) X(I) 

Louisville (Jefferson) 

21-111-1019 1735 Bardstown Road X(I) 

Louisville (Jefferson) 

21-111-1041 4201 Algonquin Parkway X(Ie) 

Louisville (Jefferson) 

 TOTAL 11 4 3 1 2 5 0 0 0 1 0 1 3 

(c) Collocated Monitor 

(e) Emergency Episode Monitor

(I) Air Quality Index Monitor

(s) Special Purpose Monitor

(t) Continuous PM Monitor

 Louisville (Jefferson) 

21-111-0067 2730 Cannons Lane X(tI) X X(I) X(I) X(I) X(I) X X X 

48
CSA/MSA: Louisville-Jefferson County-Elizabethtown-Scottsburg, KY-IN CSA / LouisvilleJefferson, KY-IN MSA 

401 KAR 50:020 Air Quality Region: North Central Kentucky Intrastate (104) 

Site Name: Shepherdsville 

AQS Site ID: 21-029-0006 

Location: Second and Carpenter Streets, Shepherdsville, KY 40165 

County: Bullitt 

GPS Coordinates: 37.98556, -85.713056 

Date Established: January 30, 1992 

Inspection Date: November 24, 2008 

Inspection By: Andrea P. Keatley 

Site Approval Status: Site and monitors meet all design criteria for the monitoring network. 

The monitoring site is a stationary equipment shelter located in 

a fenced in area near the intersection of Second and Carpenter 

Streets in Shepherdsville, Kentucky. The sample inlets are 70 

feet from the nearest road. The most recent site inspection was 

conducted on November 24, 2008. Upon inspection, the 

sample lines and monitors were found to be in good condition. 

The site meets the requirements of 40 CFR 58, Appendices C, 

D, E and G. 

Monitoring Objective: 

The monitoring objectives are to determine compliance with National Ambient Air Quality Standards 

and to provide ozone levels for daily index reporting. 

Monitors: 

Monitor Type Inlet 

Height 

(meters) 

Designation Analysis Method Frequency of Sampling

AEM Ozone 3.3 SPM UV photometry Continuously 

AQI March 1 – October 31 

FEM PM2.5 4.5 SLAMS Gravimetric 24-hourd every third day 

Meteorological 7.6 Other AQM grade instruments for wind speed, 

wind direction, humidity, barometric 

pressure and temperature 

Continuously 

Quality Assurance Status: 

All Quality Assurance procedures have been implemented in accordance with 40 CFR 58, Appendix A. 

49
Area Representativeness: 

This site represents population exposure on a neighborhood scale for particulates and population 

exposure on an urban scale for ozone. 

Particulates Neighborhood Scale 

Ozone Urban Scale 

50
CSA/MSA: Louisville-Jefferson County-Elizabethtown-Scottsburg, KY-IN CSA / LouisvilleJefferson, KY-IN MSA 

401 KAR 50:020 Air Quality Region: North Central Kentucky Intrastate (104) 

Site Name: Buckner 

AQS Site ID: 21-185-0004 

Location: DOT Garage, 3995 Morgan Road, Buckner, KY 40010 

County: Oldham 

GPS Coordinates: 38.398611, -85.443333 

Date Established: May 1, 1981 

Inspection Date: November 24, 2008 

Inspection By: Andrea P. Keatley 

Site Approval Status: Site and monitor meet all design criteria for the monitoring network. 

The monitoring site is a stationary equipment shelter located 

on the grounds of the Kentucky DOT Highway Garage in 

Buckner, Kentucky. The sample inlet is 250 feet from the 

nearest road. The most recent site inspection was conducted 

on November 24, 2008. Upon inspection, the sample line 

and monitor were found to be in good condition. The site 

meets the requirements of 40 CFR 58, Appendices C, D, E 

and G. 

Monitoring Objective: 

The monitoring objectives are to determine compliance with National Ambient Air Quality Standards 

and to provide ozone levels for daily index reporting. 

Monitors: 

Monitor Type Inlet 

Height 

(meters) 

Designation Analysis Method Frequency of Sampling

AEM Ozone 3.3 SPM UV photometry Continuously 

AQI March 1 – October 31 

Quality Assurance Status: 

All Quality Assurance procedures have been implemented in accordance with 40 CFR 58, Appendix A. 

51
Area Representativeness: 

This site represents maximum concentrations on an urban scale. 

Ozone Urban Scale 

52
CSA/MSA: Louisville-Jefferson County-Elizabethtown-Scottsburg, KY-IN CSA / LouisvilleJefferson, KY-IN MSA 

401 KAR 50:020 Air Quality Region: Louisville Interstate (078) 

Site Name: Bates Elementary 

AQS Site ID: 21-111-0027 

Location: Bates Elementary, 7601 Bardstown Road, Louisville, KY 40291 

County: Jefferson 

GPS Coordinates: 38.13784, -85.57648 

Date Established: January 4, 1973 

Inspection Date: November 24, 2008 

Inspection By: Andrea P. Keatley 

Site Approval Status: Site and monitors meet all design criteria for the monitoring network. 

The monitoring site is a stationary equipment shelter located 

on the grounds of the Bates Elementary School in Louisville, 

Kentucky. The sample inlets are 13 feet above ground level 

and 1000 feet from the nearest road. The most recent site 

inspection was conducted on November 24, 2008. The air 

monitoring site was found to be in accordance with 40 CFR 

Part 58, Appendices C, D, E and G. 

Monitoring Objective: 

The monitoring objectives are to determine compliance with National Ambient Air Quality Standards 

and to provide pollution levels for daily index reporting. 

Monitors:

Quality Assurance Status: 

All Quality Assurance procedures have been implemented in accordance with 40 CFR 58, Appendix A. 

Monitor Type Designation Analysis Method Frequency of Sampling

AEM Ozone SLAMS UV photometry Continuously 

AQI March 1 – October 31 

PM2.5 TEOM Other 

AQI 

Tapered element oscillating microbalance, 

gravimetric 

Continuously 

53
Area Representativeness: 

The site represents population exposure on an urban scale for ozone. This site also represents 

population exposure on a neighborhood scale for fine particulates. 

Ozone Urban Scale 

Particulates Neighborhood Scale 

54
CSA/MSA: Louisville-Jefferson County-Elizabethtown-Scottsburg, KY-IN CSA / LouisvilleJefferson, KY-IN MSA 

401 KAR 50:020 Air Quality Region: Louisville Interstate (078) 

Site Name: Southwick Community Center 

AQS Site ID: 21-111-0043 

Location: Southwick Community Center, 3621 Southern Avenue, Louisville, KY 40211 

County: Jefferson 

GPS Coordinates: 38.23319, -85.81566 

Date Established: July 1, 1983 

Inspection Date: November 24, 2008 

Inspection By: Andrea P. Keatley 

Site Approval Status: Site and monitors meet all design criteria for the monitoring network. 

The monitoring site is located on the roof of the Southwick 

Community Center in Louisville, Kentucky. The sample inlets 

are 16 feet above ground level and 200 feet from the nearest 

road. The most recent site inspection was conducted on 

November 24, 2008. The air monitoring site was found to be 

in accordance with 40 CFR Part 58, Appendices C, D, E and 

G. 

Monitoring Objective: 

The monitoring objectives are to determine compliance with National Ambient Air Quality Standards 

and to provide pollution levels for daily index reporting. 

Monitors:

Quality Assurance Status: 

All Quality Assurance procedures have been implemented in accordance with 40 CFR 58, Appendix A. 

Monitor Type Designation Analysis Method Frequency of Sampling

PM10 TEOM AQI Tapered element oscillating microbalance, gravimetric 

Continuously 

 - Collocated PM10 

TEOM 

AQI Tapered element oscillating microbalance, gravimetric Continuously 

FRM PM2.5 SLAMS Gravimetric 24-hours everyday 

 - Collocated FRM 

PM2.5

Other Gravimetric 24-hours every sixth day 

PM2.5 TEOM Other 

AQI 

Tapered element oscillating microbalance, gravimetric Continuously 

Meteorological Other AQM grade instruments for wind speed, 

wind direction, humidity, barometric 

pressure, rainfall and temperature 

Continuously 

55
Area Representativeness: 

This site represents population exposure on a neighborhood scale for particulates. 

Neighborhood Scale 

56
CSA/MSA: Louisville-Jefferson County-Elizabethtown-Scottsburg, KY-IN CSA / LouisvilleJefferson, KY-IN MSA 

401 KAR 50:020 Air Quality Region: Louisville Interstate (078) 

Site Name: Wyandotte Park 

AQS Site ID: 21-111-0044 

Location: Wyandotte Park, 1032 Beecher Avenue, Louisville, KY 40215 

County: Jefferson 

GPS Coordinates: 38.19113, -85.77935 

Date Established: September 1, 1983 

Inspection Date: November 24, 2008 

Inspection By: Andrea P. Keatley 

Site Approval Status: Site and monitors meet all design criteria for the monitoring network. 

The monitoring site is located on the roof of the recreation 

building at Wyandotte Park in Louisville, Kentucky. The 

sample inlets are 16 feet above ground level and 150 feet from 

the nearest road. The most recent site inspection was 

conducted on November 24, 2008. The air monitoring site was 

found to be in accordance with 40 CFR Part 58, Appendices C, 

D, E and G. 

Monitoring Objective: 

The monitoring objectives are to determine compliance with National Ambient Air Quality Standards 

and to provide pollution levels for daily index reporting. 

Monitors:

Quality Assurance Status: 

All Quality Assurance procedures have been implemented in accordance with 40 CFR 58, Appendix A. 

Monitor Type Designation Analysis Method Frequency of Sampling

PM10 TEOM AQI Tapered element oscillating microbalance, 

gravimetric 

Continuously 

FRM PM2.5 SLAMS Gravimetric 24-hours everyday 

57
Area Representativeness: 

The site represents population exposure on a neighborhood scale. 

Neighborhood Scale 

58
CSA/MSA: Louisville-Jefferson County-Elizabethtown-Scottsburg, KY-IN CSA / LouisvilleJefferson, KY-IN MSA 

401 KAR 50:020 Air Quality Region: Louisville Interstate (078) 

Site Name: Watson Lane 

AQS Site ID: 21-111-0051 

Location: Watson Lane School, 7201 Watson Lane, Louisville, KY 40272 

County: Jefferson 

GPS Coordinates: 38.06091, -85.89804 

Date Established: July 16, 1992 

Inspection Date: November 24, 2008 

Inspection By: Andrea P. Keatley 

Site Approval Status: Site and monitors meet all design criteria for the monitoring network. 

The monitoring site is a stationary equipment shelter located 

on the grounds of the Watson Lane Elementary School in 

Louisville, Kentucky. The sample inlets are 13 feet above 

ground level and 125 feet from the nearest road. The most 

recent site inspection was conducted on November 24, 2008. 

The air monitoring site was found to be in accordance with 40 

CFR Part 58, Appendices C, D, E and G. 

Monitoring Objective: 

The monitoring objectives are to determine compliance with National Ambient Air Quality Standards 

and to provide pollution levels for daily index reporting. 

Monitors:

Quality Assurance Status: 

All Quality Assurance procedures have been implemented in accordance with 40 CFR 58, Appendix A. 

Monitor Type Designation Analysis Method Frequency of Sampling

AEM Ozone SLAMS UV photometry Continuously 

AQI March 1 – October 31 

FRM PM2.5 Other Gravimetric 24-hours every sixth day 

PM2.5 TEOM Other 

AQI 

Tapered element oscillating microbalance, gravimetric Continuously 

AEM Sulfur Dioxide SLAMS 

AQI 

UV fluorescence Continuously 

59
Area Representativeness: 

This site represents population exposure on a neighborhood scale. 

Neighborhood Scale 

60
CSA/MSA: Louisville-Jefferson County-Elizabethtown-Scottsburg, KY-IN CSA / LouisvilleJefferson, KY-IN MSA 

401 KAR 50:020 Air Quality Region: Louisville Interstate (078) 

Site Name: Cannons Lane 

AQS Site ID: 21-111-0067 

Location: 2730 Cannons Lane, Louisville, KY 40204 

County: Jefferson 

GPS Coordinates: 38.22883, -85.6544 

Date Established: January 1, 2009 

Inspection Date: April 17, 2008 (KYDAQ), December 9, 2008 (US EPA) 

Inspection By: Andrea P. Keatley (KYDAQ), Richard Guillot and Jerry Burger (US EPA) 

Site Approval Status: EPA SLAMS approval on December 22, 2008, NCORE approval is pending 

The station is located on property leased by LMAPCD. 

The property was used as a Vehicle Emissions Testing 

(VET) center but is now used primarily for storage. The 

location is in the NE quadrant of Jefferson County and is 

approximately 9 km from the urban core of Metro 

Louisville. 

Monitoring Objective: 

The NCore Network addresses the following monitoring objectives: 

• timely reporting of data to the public through AIRNow, air quality forecasting, and other 

public reporting mechanisms 

• support development of emission strategies through air quality model evaluation and other 

observational methods 

• accountability of emission strategy progress through tracking long-term trends of criteria 

and non-criteria pollutants and their precursors 

• support long-term health assessments that contribute to ongoing reviews of the National 

Ambient Air Quality Standards (NAAQS) 

• compliance through establishing nonattainment/attainment areas by comparison with the 

NAAQS 

• support multiple disciplines of scientific research, including public health, atmospheric and 

ecological 

61
Monitors: 

* Pending EPA designation 

Monitor Type Designations Analysis Method Frequency of 

Sampling

Startup

Date

Carbon 

Monoxide (CO)

NCore

AQI

Automated Reference Method* utilizing 

trace level non-dispersive infrared 

analysis.

Continuously 01/01/2010

Nitrogen Oxide 

(NOx)

NCore

AQI

Automated Reference Method utilizing 

chemiluminescence analysis.

Continuously 01/01/2010

Ozone (O3) NCore

AQI

Automated Equivalent Method utilizing 

UV photometry analysis.

Continuously 01/01/2010

Sulfur Dioxide 

(SO2)

NCore

AQI

Automated Equivalent Method utilizing 

trace level UV fluorescence analysis

Continuously 01/01/2010

Total Reactive 

Nitrogen (NO/

NOy)

NCore Automated method utilizing trace level 

chemiluminescence analysis.

Continuously 01/01/2011

PM2.5

Filter

NCore Manual Reference Method utilizing 

gravimetric analysis.

1/3 days 01/01/2009

PM2.5

Continuous

NCore

AQI

Automated Equivalent Method* 

utilizing Tapered Element Oscillating 

Microbalance/gravimetric analysis

Continuously 01/01/2009

PM2.5

Speciation

NCore Multi-species manual collection method 

utilizing thermal optical, ion 

chromatography, gravimetric, and X-ray 

fluorescence analyses.

1/6 days

1/3 days

01/01/2009

01/01/2011

PM10c

Filter

NCore Manual Reference Method* PM10c

utilizing differential gravimetric 

analysis.

1/3 days 01/01/2009

PM10-2.5 

Speciation

NCore Method pending 1/3 days Requirement 

under review

Meteorological NCore Air Quality Measurements approved 

instrumentation for wind speed, wind 

direction, humidity, temperature, 

rainfall, and solar radiation

Continuously 07/01/2009

Lead SLAMS Manual Reference Method TSP 

Sampler, Analytical method to be 

determined.

1/6 01/01/2011

Radiation RadNet RadNet fixed station air monitor, 

manual and automated methods

Continuously 

+ 2 weekly 

filters

01/01/2009

Volatile 

Organic 

Compounds

SPM EPA Compendium Method TO-15 

utilizing Summa® passivated canisters

1/12 02/10/2009

62
Area Representativeness:

Quality Assurance Status: 

All Quality Assurance procedures shall be implemented in accordance with 40 CFR 58, Appendix A. 

The District’s current Quality Assurance Project Plan covers PM2.5, Ozone, NOx, SO2, CO, PM2.5

Speciation, and meteorological measurements. The Quality Assurance Project Plan will be revised to 

include trace level measurements and lead. Standard operating procedures manuals will be adopted or 

developed for new instrumentation. 

Pollutant Spatial Scale Comments

Ozone Neighborhood and Urban Scale Use 10 km 

NOx /NOy Neighborhood and Urban Scale Use 10 km 

Carbon Monoxide Neighborhood Scale There is no Urban scale for CO 

SO2 Neighborhood Scale There is no Urban scale for SO2

PM10/PM2.5/Lead Urban 

Radiation Urban 

VOCs Neighborhood 

Ozone, PM2.5, PM10, and NOx urban scale (50 km) 

63
CO neighborhood scale (4 km) 

64
CSA/MSA: Louisville-Jefferson County-Elizabethtown-Scottsburg, KY-IN CSA / LouisvilleJefferson, KY-IN MSA 

401 KAR 50:020 Air Quality Region: Louisville Interstate (078) 

Site Name: Fire Station 20 

AQS Site ID: 21-111-1019 

Location: Fire Station 20, 1735 Bardstown Road, Louisville, KY 40205 

County: Jefferson 

GPS Coordinates: 38.229, -85.7018 

Date Established: January 1, 1973 

Inspection Date: November 24, 2008 

Inspection By: Andrea P. Keatley 

Site Approval Status: Site and monitor meet all design criteria for the monitoring network. 

The monitoring site is located at Fire Station Number 20 on 

Bardstown Road in Louisville, Kentucky. The sample inlet is 10 

feet above ground level and 13 feet from the nearest road. The most 

recent site inspection was conducted on November 24, 2008. The 

air monitoring site was found to be in accordance with 40 CFR Part 

58, Appendices C, D, E and G. 

Monitoring Objective: 

The monitoring objectives are to determine compliance with National Ambient Air Quality Standards 

and to provide pollution levels for daily index reporting. 

Monitors:

Quality Assurance Status: 

All Quality Assurance procedures have been implemented in accordance with 40 CFR 58, Appendix A. 

Monitor Type Designation Analysis Method Frequency of Sampling

ARM Carbon Monoxide SLAMS 

AQI 

Non-dispersive infrared Continuously 

65