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Page 1 of 773 For the reasons set forth in the preamble, parts 51, 52, 72, 78, and 97 of chapter I of title 40 of the Code of Federal Regulations are amended as follows: PART 51— [AMENDED] 1. The authority citation for Part 51 continues to read as follows: Authority: 23 U.S.C. 101; 42 U.S.C. 7401 - 7671q. § 51.121 [Amended] 2. Section 51.121 is amended by revising paragraph (r)(2) by removing the words “§51.123(bb)” and adding, in their place, the words “§51.123(bb) with regard to an ozone season that occurs before Janu ary 1, 2012”. 3. Section 51.123 is amended by adding a new paragraph (ff) to read as follows: § 51.123 Findings and requirements for submission of State implementation plan revisions relating to emissions of oxides of nitrogen pursuant to the Clean Air Interstate Rule. * * * * **** E.O. 12866 Review

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Page 2 of 773 (ff) Notwithstanding any provisions of paragraphs (a) through (ee) of this section, subparts AA through II and AAAA through IIII of part 96 of this chapter, subparts AA through II and AAAA through IIII of part 97 of this chap ter, and any State’s SIP to the contrary: (1) With regard to any control period that begins after December 31, 2011, the Administrator: (i) Rescinds the determination in paragraph (a) of this section that the States identified in paragraph (c) of this sect ion must submit a SIP revision with respect to the fine particles (PM2.5 ) NAAQS and the 8 - hour ozone NAAQS meeting the requirements of paragraphs (b) through (ee) of this section; and (ii) Will not carry out any of the functions set forth for the Administ rator in subparts AA through II and AAAA through IIII of part 96 of this chapter, subparts AA through II and AAAA through IIII of part 97 of this chapter, or in any emissions trading program provisions in a State’s SIP approved under this section; (2) The Administrator will not deduct for excess emissions any CAIR NOX allowances or CAIR NOX Ozone Season allowances allocated for 2012 or any year thereafter; (3) By [INSERT DATE 90 DAYS AFTER PUBLICATION IN THE FEDERAL REGISTER], the Administrator will remove from the CAIR NOX*** E.O. 12866 Review

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Page 3 of 773 Allowance Tracking System accounts all CAIR NOX allowances allocated for a control period in 2012 and any subsequent year, and, thereafter, no holding or surrender of CAIR NOX allowances will be required with regard to emissions or exce ss emissions for such control periods; and (4) By [INSERT DATE 90 DAYS AFTER PUBLICATION IN THE FEDERAL REGISTER], the Administrator will remove from the CAIR NOX Ozone Season Allowance Tracking System accounts all CAIR NOX Ozone Season allowances allocat ed for a control period in 2012 and any subsequent year, and, thereafter, no holding or surrender of CAIR NOX Ozone Season allowances will be required with regard to emissions or excess emissions for such control periods. 4. Section 51.124 is amended by adding a new paragraph (s) to read as follows: § 51.124 Findings and requirements for submission of State implementation plan revisions relating to emissions of sulfur dioxide pursuant to the Clean Air Interstate Rule. * * * * * (s) Notwithstanding an y provisions of paragraphs (a) through (r) of this section, subparts AAA through III of part 96 of this chapter, subparts AAA through III of part 97 of this chapter, and any State’s SIP to the contrary:*** E.O. 12866 Review

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Page 4 of 773 (1) With regard to any control period that begins af ter December 31, 2011, the Administrator: (i) Rescinds the determination in paragraph (a) of this section that the States identified in paragraph (c) of this section must submit a SIP revision with respect to the fine particles (PM2.5 ) NAAQS meeting the re quirements of paragraphs (b) through (r) of this section; and (ii) Will not carry out any of the functions set forth for the Administrator in subparts AAA through III of part 96 of this chapter, subparts AAA through III of part 97 of this chapter, or in any emissions trading program in a State’s SIP approved under this section; and (2) The Administrator will not deduct for excess emissions any CAIR SO 2 allowances allocated for 2012 or any year thereafter. § 51.125 [Reserved] 5. Section 51.125 is removed and reserved. PART 52— [AMENDED] 6. The authority citation for Part 52 continues to read as follows: Authority: 42 U.S.C. 7401, et seq.*** E.O. 12866 Review

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Page 5 of 773 Subpart A

—General Provisions 7. Section 52.35 is amended by adding a new paragraph (f) to read as follows:
§ 5 2.35 What are the requirements of the Federal Implementation Plans (FIPs) for the Clean Air Interstate Rule (CAIR) relating to emissions of nitrogen oxides? * * * * * (f) Notwithstanding any provisions of paragraphs (a) through (d) of this section, subparts AA through II and AAAA through IIII of part 97 of this chapter, and any State’s SIP to the contrary: (1) With regard to any control period that begins after December 31, 2011, (i) The provisions in paragraphs (a) through (d) of this section relating to NOX annual or ozone season emissions shall not be applicable; and (ii) The Administrator will not carry out any of the functions set forth for the Administrator in subparts AA through II and AAAA through IIII of part 97 of this chapter;*** E.O. 12866 Review

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Page 6 of 773 (2) The Administrator will not deduct for excess emissions any CAIR NOX allowances or CAIR NOX Ozone Season allowances allocated for 2012 or any year thereafter; (3) By [INSERT DATE 90 DAYS AFTER PUBLICATION IN THE FEDERAL REGISTER], the Administrator will remove from the CAIR NOX Allowance Tracking System accounts all CAIR NOX allowances allocated for a control period in 2012 and any subsequent year, and, thereafter, no holding or surrender of CAIR NOX allowances will be required with regard to emissions or excess emissions for such control periods; and (4) By [INSERT DATE 90 DAYS AFTER PUBLICATION IN THE FEDERAL REGISTER], the Administrator will remove from the CAIR NOX Ozone Season Allowance Tracking System accounts all CAIR NOX Ozone S eason allowances allocated for a control period in 2012 and any subsequent year, and, thereafter, no holding or surrender of CAIR NOX allowances will be required with regard to emissions or excess emissions for such control periods. 8. Section 52.36 is ame nded by adding a new paragraph (e) to read as follows:*** E.O. 12866 Review

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Page 7 of 773 § 52.36 What are the requirements of the Federal Implementation Plans (FIPs) for the Clean Air Interstate Rule (CAIR) relating to emissions of sulfur dioxide? * * * * * (e) Notwithstanding any provisions of paragraphs (a) through (c) of this section, subparts AAA through III of part 97 of this chapter and any State’s SIP to the contrary: (1) With regard to any control period that begins after December 31, 2011, (i) The provisions of paragraphs (a) through (e) of this section relating to SO 2 emissions shall not be applicable; and (ii) The Administrator will not carry out any of the functions set forth for the Administrator in subparts AAA through III of part 97 of this chapter; and (2) The Admin istrator will not deduct for excess emissions any CAIR SO 2 allowances allocated for 2012 or any year thereafter. 9. Subpart A is amended by adding §§52.38 and 52.39 to read as follows:
§ 52.3 8 What are the requirements of the Federal Implementation Plans (FIPs) under the Transport Rule (TR) relating to emissions*** E.O. 12866 Review

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Page 8 of 773 of nitrogen oxides?
(a)(1) The TR NOX Annual Trading Program provisions set forth in subpart AAAAA of part 97 of this chapter constitute the TR Federal Implementation Plan provisions that relate to annual emissions of nitrogen oxides (NOX ).
(2) The provisions of subpart AAAAA of part 97 of this chapter apply to the sources in the following States and Indian country located within the borders of such States: Alabama, Georgia, Illinois, Indiana, Iowa, Kansas, Kentucky, Maryland, Michigan, Minnesota, Missouri, Nebraska, New Jersey, New York, North Carolina, Ohio, Pennsylvania, South Carolina, Tennessee, T exas, Virginia, West Virginia, and Wisconsin.
( 3 ) Notwithstanding the provisions of paragraph (a)(1) of this section, a State listed in paragraph (a)(2) of this section may adopt and include in a SIP revision, and the Administrator will approve, as TR NOX Annual allowance allocation provisions replacing the provisions in §97.411(a) of this chapter with regard to the State and the control period in 2013, a list of TR NOX Annual units and the amount of TR NOX Annual allowances allocated to each unit on such list , provided that the list of units and allocations meets the following requirements:*** E.O. 12866 Review

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Page 9 of 773 (i ) All of the units on the list must be units that are in the State and commenced commercial operation before January 1, 2010; (ii) The total amount of TR NOX Annual allowance allocations on the list must not exceed the amount, under §97.4 10(a) of this chapter for the State and the control period in 2013, of TR NOX Annual trading budget minus the sum of the new unit set - aside and Indian country new unit set - asi de; (iii) The list must be submitted electronically in a format specified by the Administrator; and (iv) The SIP revision must not provide for any change in the units and allocations on the list after approval of the SIP revision by the Administrator an d must not provide for any change in any allocation determined and recorded by the Administrator under subpart AAAAA of part 97 of this chapte r; (v) Provided that: (A) By [INSERT DATE 70 DAYS AFTER PUBLICATION IN THE FEDERAL REGISTER], the State must no tify the Administrator electronically in a format specified by the Administrator of the*** E.O. 12866 Review

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Page 10 of 773 State’s intent to submit to the Administrator a complete SIP revision meeting the requirements of paragraph (a)(3)(i) through (iv) of this section by April 1, 2012 ; and (B) The State must submit to the Administrator a complete SIP revision described in paragraph (a)(3)(v)(A) of this section by April 1, 2012. (4) Notwithstanding the provisions of paragraph (a)(1) of this section, a State listed in paragraph (a)(2) of th is section may adopt and include in a SIP revision, and the Administrator will approve, regulations revising subpart AAAAA of part 97 of this chapter as follows and not making any other substantive revisions of that subpart:
(i) The State may adopt, as TR NOX Annual allowance allocation or auction provisions replacing the provisions in §§97.411(a) and (b)(1) and 97.412(a) of this chapter with regard to the State and the control period in 2014 or any subsequent year, any methodology under which the State or the permitting authority allocates or auctions TR NOX Annual allowances, and may adopt, in addition to the definitions in §97.402 of this chapter , one or more definitions that shall apply only to terms as used in the*** E.O. 12866 Review

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Page 11 of 773 adopted TR NOX Annual allowance alloca tion or auction provisions, if such methodology-- (A) Requires the State or the permitting authority to allocate and, if applicable, auction a total amount of TR NOX Annual allowances for any such control period not exceeding the amount, under §§97.4 10(a) and 97.421 of this chapter for the State and such control period, of the TR NOX Annual trading budget minus the sum of the Indian country new unit set - aside and the amount of any TR NOX Annual allowances already allocated and recorded by the Administrator. (B) Requires, to the extent the State adopts provisions for allocations or auctions of TR NOX Annual allowances for any such control period to any TR NOX Annual units covered by §97 .411(a) of this chapter , that the State or the permitting authority submit such allocations or the results of such auctions for such control period (except allocations or results of auctions to such units of TR NOX Annual allowances remaining in a set - aside after completion of the allocations or auctions for which the set - aside was created) to the Administrator no later than the following dates:
Year of the Deadline for*** E.O. 12866 Review

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Page 12 of 773 control period for which TR NOX Annual allowances are allocated or auctioned submission of

allocations or auction results to Administrator
2014 June 1, 2013 2015 June 1, 2013 2016 June 1, 2014 2017 June 1, 2014 2018 June 1, 2015 2019 June 1, 2015 2020 and any year thereafter June 1 of the

fourth year before the year of the control period
(C) Requires, to the extent the State adopts provisions for allocations or auctions of TR NOX Annual allowances for any such control period to any TR NOX Annual units covered by §§97.411(b)(1) and 97.412(a) of this chapter , that the State or the permitting authority submit such allocations or the results of such auctions (except allocations or results of auctions to such units of TR NOX Annual allowances remaining in a set - aside after completion of the allocations or auctions for which the*** E.O. 12866 Review

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Page 13 of 773 set - asi de was created) to the Administrator by July 1 of the year of such control period. (D) Does not provide for any change, after the submission deadlines in paragraphs (a)(4)(i)(B) and (C) of this section, in the allocations submitted to the Administrator by such deadlines and does not provide for any change in any allocation determined and recorded by the Administrator under subpart AAAAA of part 97 of this chapte r; (ii) Provided that the State must submit a complete SIP revision meeting the requirements of paragraph (a)(4)(i) of this section by December 1 of the year before the year of the deadlines for submission of allocations or auction results under paragraphs (a)(4)(i)(B) and (C) of this section for the first control period for which the State wants to make allocations or hold an auction under paragraph (a)(4)(i) of this section.
(5 ) Notwithstanding the provisions of paragraph (a)(1) of this section, a State listed in paragraph (a)(2) of this section may adopt and include in a SIP revision, and the Administrator will approve, as correcting in whole or in part, as appropriate, the def iciency in the SIP that is the basis for the TR Federal Implementation Plan set forth in paragraphs (a)(1) through (4)*** E.O. 12866 Review

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Page 14 of 773 of this section, regulations that are substantively identical to the provisions of the TR NOX Annual Trading Program set forth in §§97.40 2 through 97.435 of this chapter , except that the SIP revision: (i) May adopt, as TR NOX Annual allowance allocation or auction provisions replacing the provisions in §§97.411(a) and (b)(1) and 97.412(a) of this chapter with regard to the State and the control period in 2014 or any subsequent year, any methodology under which the State or the permitting authority allocates or auctions TR NOX Annual allowances and that -- (A) Requires the State or the permitting authority to allocate and, if applicable, auction a total amount of TR NOX Annual allowances for any such control period not exceeding the amount, under §§97.4 10(a) and 97.421 of this chapter for the State and such control period, of the TR NOX Annual trading budge t minus the sum of the Indian country new unit set - aside and the amount of any TR NOX Annual allowances already allocated and recorded by the Administrator. (B) Requires, to the extent the State adopts provisions for allocations or auctions of TR NOX Annual allowances for any such control period to any TR NOX Annual units covered by §97.411(a)*** E.O. 12866 Review

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Page 15 of 773 of this chapter , that the State or the permitting authority submit such allocations or the results of such auctions for such control period (except allocations or results of auctions to such units of TR NOX Annual allowances remaining in a set - aside after completion of the allocations or auctions for which the set - aside was created) to the Administrator no later than the following dates:
Year of the control period for which TR NOX Annual allowances are allocated or auctioned Deadline for

submission of allocations or auction results to Administrator
2014 June 1, 2013 2015 June 1, 2013 2016 June 1, 2014 2017 June 1, 2014 2018 June 1, 2015 2019 June 1, 2015 2020 and any year thereafter June 1 of the

fourth year before the year of the control period*** E.O. 12866 Review

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Page 16 of 773 (C) Requires, to the extent the State adopts provisions for allocations or auctions of TR NOX Annual allowances for any such control period to any TR NOX Annual units covered by §§97.411(b)(1) and 97.412(a) of this chapter , that the State or the permitting authority submit such allocations or the results of such auctions (except allocations or results of auctions to such units of TR NOX Annual allowances remaining in a set - aside after completion of the allocations or auctions for which the set - aside was created) to the Administrator by July 1 of the year of such control period. (D) Does not provide for any change, after the submission deadlines in paragraphs (a)(5)(i)(B) and (C) of this section, in the allocations submitted to the Administrator by such deadlines and does not provide for any change in any allocation determined and recorded by the Administrator under subpart AAAAA of part 97 of this chapte r;
( ii) May adopt, in addition to the definitions in §97.402 of this chapter , one or more definitions that shall apply only to terms as used in the TR NOX Annual allowance allocation or auction provisions adopted under paragraph (a)(5)(i) of this section;*** E.O. 12866 Review

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Page 17 of 773 (i ii) May substitute the name of the State for the term “State” as used in subpart AAAAA of part 97 of this chapter, to the extent the Administrator determines that such substitutions do not make substantive changes in the provisions in §§97.402 through 97.4 35 of this chapter; and (iv) Must not include any of the references to, or requirements imposed on, any unit in Indian country within the borders of the State in the provisions in §§97.402 through 97.435 of this chapter and must not include the provisions in §§97.4 11(b)(2) and 97.412(b), all of which provisions will continue to apply under the portion of the TR Federal Implementation Plan that is not replaced by the SIP revision; (v) Provided that, if and when any covered unit is located in Indian countr y within the borders of the State, the Administrator may modify his or her approval of the SIP revision to exclude the provisions in §§ 97.402 (definitions of “common designated representative”, “common designated representative’s assurance level”, and “common designated representative’s share”), 97.4 06(c)(2), 97.425, and the portions of other provisions referencing these sections and may modify the portion of the TR Federal Implementation Plan that is not replaced by the SIP revision to include these provis ions;*** E.O. 12866 Review

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Page 18 of 773 (vi) Provided that the State must submit a complete SIP revision meeting the requirements of paragraphs (a)(5)(i) through (iv) of this section by December 1 of the year before the year of the deadlines for submission of allocations or auction resul ts under paragraphs (a)(5)(i)(B) and (C) of this section applicable to the first control period for which the State wants to make allocations or hold an auction under paragraphs (a)(5)(i) and (ii) of this section.
(6) Following promulgation of an app roval by the Administrator of a State's SIP revision as correcting in whole or in part, as appropriate, the SIP’s deficiency that is the basis for the TR Federal Implementation Plan described in paragraphs (a)(1) through (5) of this section , the provisions of paragraph (a)(2) of this section will no longer apply to the sources in the State, unless the Administrator's approval of the SIP revision is partial or conditional , and will continue to apply to sources in any Indian country within the borders of the State.
( 7 ) Notwithstanding the provision s of paragraph (a)( 6 ) of this section, if, at the time of such approval of the State's SIP revision , the Administrator has already started recording any allocations of TR NOX Annual allowances under subpart AAAAA of*** E.O. 12866 Review

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Page 19 of 773 part 97 of this chapter to units in a State for a control period in any year, the provisions of subpart AAAAA of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR NOX Annual al lowances to units in the State for each such control period shall continue to apply, unless provide d otherwise by such approval of the State’s SIP revision . (b)(1) The TR NOX Ozone Season Trading Program provisions set forth in part 97 of this chap ter constitute the TR Federal Implementation Plan provisions that relate to emissions of NOX during the ozone season, defined as May 1 through September 30 of a calendar year.
(2) The provisions of subpart BBBBB of part 97 of this chapter apply to sources in each of the following States and Indian country located within the borders of such States: Alabama, Arkansas, Florida, Georgia, Illinois, Indiana, Kentucky, Louisiana, Maryland, Mississippi, New Jersey, New York, North Carolina, Ohio, Pennsylvania, South Carolina, Tennessee, Texas, Virginia, and West Virginia.
( 3 ) Notwithstanding the provisions of paragraph (b)(1) of this section, a State listed in paragraph (b)(2) of this section may adopt and include in a SIP revision, and the Admi nistrator will*** E.O. 12866 Review

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Page 20 of 773 approve, as TR NOX Ozone Season allowance allocation provisions replacing the provisions in §97. 5 11(a) of this chapter with regard to the State and the control period in 2013, a list of TR NOX Ozone Season units and the amount of TR NOX Ozon e Season allowances allocated to each unit on such list , provided that the list of units and allocations meets the following requirements:
(i ) All of the units on the list must be units that are in the State and commenced commercial operation before Janu ary 1, 2010; (ii) The total amount of TR NOX Ozone Season allowance allocations on the list must not exceed the amount, under §97. 510(a) of this chapter for the State and the control period in 2013, of TR NOX Ozone Season trading budget minus the sum of the new unit set - aside and Indian country new unit set - aside; (iii) The list must be submitted electronically in a format specified by the Administrator; and (iv) The SIP revision must not provide for any change in the units and allocations on the list a fter approval of the SIP revision by the Administrator and must not provide for any*** E.O. 12866 Review

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Page 21 of 773 change in any allocation determined and recorded by the Administrator under subpart BBBBB of part 97 of this chapte r; (v) Provided that: (A) By [INSERT DATE 70 DAYS AFTE R PUBLICATION IN THE FEDRAL REGISTER], the State must notify the Administrator electronically in a format specified by the Administrator of the State’s intent to submit to the Administrator a complete SIP revision meeting the requirements of paragraph (b)( 3)(i) through (iv) of this section by April 1, 2012 ; and (B) The State must submit to the Administrator a complete SIP revision described in paragraph (b)(3)(v)(A) of this section by April 1, 2012. (4) Notwithstanding the provisions of paragraph (b)(1) of this section, a State listed in paragraph (b)(2) of this section may adopt and include in a SIP revision, and the Administrator will approve, regulations revising subpart BBBBB of part 97 of this chapter as follows and not making any other substantive revisions of that subpart:*** E.O. 12866 Review

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Page 22 of 773 (i ) The State may adopt, as applicability provisions replacing the provisions in §§97.504(a)(1) and (2) of this chapter , provisions substantively identical to those provision s, except that the words “more than 25 MWe” are replaced, whenever such words appear, by words specifying a uniform lower limit on the amount of megawatts that is not greater than the amount specified by the words “more than 25 MWe” and is not less than the amount specified by the words “15 MWe or more”; or (ii) The State may adopt, as TR NOX Ozone Season allowance allocation or auction provisions replacing the provisions in §§97.511(a) and (b)(1) and 97.512(a) of this chapter with regard to the control p eriod in 2014 or any subsequent year, any methodology under which the State or the permitting authority allocates or auctions TR NOX Ozone Season allowances, and may adopt, in addition to the definitions in §97.502 of this chapter , one or more definitions that shall apply only to terms as used in the adopted TR NOX Ozone Season allowance allocation or auction provisions, if such methodology -- (A) Requires the State or the permitting authority to allocate and, if applicable, auction a total amount of TR NOX Ozone Season allowances for any such control period not exceeding the amount, under §§97. 510(a) and 97.521 of this chapter for the State and*** E.O. 12866 Review

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Page 23 of 773 such control period, of the TR NOX Ozone Season trading budget minus the sum of the Indian country new unit set - aside and the amount of any TR NOX Ozone Season allowances already allocated and recorded by the Administrator. (B) Requires, to the extent the State adopts provisions for allocations or auctions of TR NOX Ozone Season allowances for any such contro l period to any TR NOX Ozone Season units covered by §97.511(a) of this chapter , that the State or the permitting authority submit such allocations or the results of such auctions for such control period (except allocations or results of auctions to such units of TR NOX Ozone Season allowances remaining in a set - aside after completion of the allocations or auctions for which the set - aside was created) to the Administrator no later than the following dates:
Year of the control period for which TR NOX Ozone Season allowances are allocated or auctioned Deadline for

submission of allocations or auction results to Administrator
2014 June 1, 2013 2015 June 1, 2013 2016 June 1, 2014*** E.O. 12866 Review

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Page 24 of 773 2017 June 1, 2014 2018 June 1, 2015 2019 June 1, 2015 2020 and any year thereafter June 1 of the

fourth year before the year of the control period (C) Requires, to the extent the State adopts provisions for allocations or auctions of TR NOX Ozone Season allowances for any such control period to any TR NOX Ozone Season units covered by §§97.511(b)(1) and 97.512(a) of this chapter , that the State or the permitting authority submit such allocations or the results of such auctions (except allocations or results of auctions to such units of TR NOX Ozone Season allowances remaining in a set aside after completion of the allocations or auctions for which the set - aside was created) to the Administrator by July 1 of the year of such control period. (D) Does not provide for any change, after the submission deadlines in paragraphs (b)( 4)(ii)(B) and (C) of this section, in the allocations submitted to the Administrator by such deadlines and does not provide for any change in any allocation determined and recorded by the Administrator under subpart BBBBB of part 97 of this chapte r;*** E.O. 12866 Review

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Page 25 of 773 (iii) Provided that the State must submit a complete SIP revision meeting the requirements of paragraph (b)(4)(i) or (ii) of this section by December 1 of the year before the year of the deadlines for submission of allocations or auction results under paragraphs (b)(4)(ii)(B) and (C) of this section applicable to the first control period for which the State wants to replace the applicability provisions, make allocations, or hold an auction under paragraph (b)(4)(i) or (ii) of this section.
(5) Notwithstanding the provisions of paragraph (b)(1) of this section, a State listed in paragraph (b)(2) of this section may adopt and include in a SIP revision, and the Administrator will approve, as correcting in whole or in part, as appropriate, the deficiency in the SIP that is the basis for the TR Federal Implementation Plan set forth in paragraphs (b)(1) through (4) of this section, regulations that are substantively identical to the provisions of the TR NOX Ozone Season Trading Program set forth in §§97.502 through 97.535 of this chapter , except that the SIP revision:
(i ) May adopt, as applicability provisions replacing the provisions in §§97.504(a)(1) and (2) of this chapter , provisions substantively identical to those provisions, except that the*** E.O. 12866 Review

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Page 26 of 773 words “mor e than 25 MWe” are replaced, whenever such words appear, by words specifying a uniform lower limit on the amount of megawatts that is not greater than the amount specified by the words “more than 25 MWe” and is not less than the amount specified by the words “15 MWe or more”; or (ii) May adopt, as TR NOX Ozone Season allowance allocation provisions replacing the provisions in §§97.511(a) and (b)(1) and 97.512(a) of this chapter with regard to the control period in 2014 and any subsequent year, any methodol ogy under which the State or the permitting authority allocates auctions TR NOX Ozone Season allowances and that -- (A) Requires the State or the permitting authority to allocate and, if applicable, auction a total amount of TR NOX Ozone Season allowances for any such control period not exceeding the amount, under §§97. 510(a) and 97.521 of this chapter for the State and such control period, of the TR NOX Ozone Season trading budget minus the sum of the Indian country new unit set - aside and the amount of any TR NOX Ozone Season allowances already allocated and recorded by the Administrator. (B) Requires, to the extent the State adopts provisions for allocations or auction of TR NOX Ozone Season allowances for any*** E.O. 12866 Review

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Page 27 of 773 such control period to any TR NOX Ozone Season units covered by §97.511(a) of this chapter , that the State or the permitting authority submit such allocations or the results of such auctions for such control period (except allocations or results of auctions to such units of TR NOX Ozone S eason allowances remaining in a set - aside after completion of the allocations or auctions for which the set - aside was created) to the Administrator no later than the following dates:
Year of the control period for which TR NOX Ozone Season allowances are allocated or auctioned Deadline for

submission of allocations or auction results to Administrator
2014 June 1, 2013 2015 June 1, 2013 2016 June 1, 2014 2017 June 1, 2014 2018 June 1, 2015 2019 June 1, 2015 2020 and any year thereafter June 1 of the

fourth year before the year of the control period*** E.O. 12866 Review

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Page 28 of 773 (C) Requires, to the extent the State adopts provisions for allocations or auctions of TR NOX Ozone Season allowances for any control period to any TR NOX Ozone Season units covered by §§97.511(b)(1) and 97.512(a) of this chapter , that the State or the permitting authority submit such allocations or the results of such auctions (except allocations or results of auctions to such units of TR NOX Ozone Season allowances remaining in a set aside after completi on of the allocations or auctions for which the set - aside was created) to the Administrator by July 1 of the year of such control period. (D) Does not provide for any change, after the submission deadlines in paragraphs (b)(5)(ii)(B) and (C) of this sect ion, in the allocations submitted to the Administrator by such deadlines and does not provide for any change in any allocation determined and recorded by the Administrator under subpart BBBBB of part 97 of this chapte r; (iii) May adopt in addition to the definitions in §97.502 of this chapter , one or more definitions that shall apply only to terms as used in the TR NOX Ozone Season allowance allocation or auction provisions adopted under paragraph (b)(5)(ii) of this section;*** E.O. 12866 Review

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Page 29 of 773 (iv) May substitute the name of the State for the term “State” as used in subpart BBBBB of part 97 of this chapter, to the extent the Administrator determines that such substitutions do not make substantive changes in the provisions in §§97.502 through 97.535 of this chapter; and
(v) Must not include any of the references to, or requirements imposed on, any unit in Indian country within the borders of the State in the provisions in §§97.502 through 97.535 of this chapter and must not include the provisions in §§97. 511(b)(2) and 97.512 (b), all of which provisions will continue to apply under the portion of the TR Federal Implementation Plan that is not replaced by the SIP revision; (vi) Provided that, if and when any covered unit is located in Indian country within the borders of the State, the Administrator may modify his or her approval of the SIP revision to exclude the provisions in §§ 97.502 (definitions of “common designated representative”, “common designated representative’s assurance level”, and “common designated representative’s share”), 97. 506(c)(2), 97.525, and the portions of other provisions referencing these sections and may modify the portion of the TR Federal Implementation Plan that is not replaced by the SIP revision to include these provisions;*** E.O. 12866 Review

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Page 30 of 773 (vii) Provided that the State must submit a complete SIP revision meeting the requirements of paragraph (b)(5)(i) through (v) of this section by December 1 of the year before the year of the deadlines for submission of allocations or auction results under paragraphs (5)(ii)(B ) and (C) of this section applicable to the first control period for which the State wants to replace the applicability provisions, make allocations, or hold an auction under paragraphs (b)(5)(ii) and (iii) of this section.
(6) Following promulgation of an approval by the Administrator of a State's SIP revision as correcting in whole or in part, as appropriate, the SIP’s deficiency that is the basis for the TR Federal Implementation Plan set forth in paragraphs (b)(1) through (5) of this section, the provisions of paragraph (b)(2) of this section will no longer apply to sources in the State, unless the Administrator's approval of the SIP revision is partial or conditional , and will continue to apply to sources in any Indian country within the bor ders of the State.
( 7 ) Notwithstanding the provision s of paragraph (b)( 6 ) of this section, if, at the time of such approval of the State's SIP revision , the Administrator has already started recording any allocations of TR NOX Ozone Season allowances under subpart BBBBB*** E.O. 12866 Review

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Page 31 of 773 of part 97 of this chapter to units in a State for a control period in any year, the provisions of subpart BBBBB of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR NOX Ozone Season allowances to units in the State for each such control period shall continue to apply, unless provided otherwise by such approval of the State’s SIP revision.
§ 52.3 9 What are the requirements of the Federal Implementation Plans (FIPs) for the Transport Rule (TR) relating to emissions of sulfur dioxide?
(a) The TR SO 2 Group 1 Trading Program provisions and the TR SO 2 Group 2 Trading Program provisions set forth respe ctively in subparts CCCCC and DDDDD of part 97 of this chapter constitute the TR Federal Implementation Plan provisions that relate to emissions of sulfur dioxide (SO 2 ).
(b) The provisions of subpart CCCCC of part 97 of this chapter apply to sources in e ach of the following States and Indian country located within the borders of such States: Illinois, Indiana, Iowa, Kentucky, Maryland, Michigan, Missouri, New Jersey, New York, North Carolina, Ohio, Pennsylvania, Tennessee, Virginia, West Virginia, and Wisconsin.*** E.O. 12866 Review

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Page 32 of 773 (c) The provisions of subpar t DDDDD of part 97 of this chapter apply to sources in each of the following States and Indian country located within the borders of such States: Alabama, Georgia, Kansas, Minnesota, Nebraska, South Carolina, and Texas. (d) Notwithstanding the provision s of paragraph (a) of this section, a State listed in paragraph (b) of this section may adopt and include in a SIP revision, and the Administrator will approve, as TR SO 2 Group 1 allowance allocation provisions replacing the provisions in §97. 6 11(a) of thi s chapter with regard to the State and the control period in 2013, a list of TR SO 2 Group 1 units and the amount of TR SO 2 Group 1 allowances allocated to each unit on such list , provided that the list of units and allocations meets the following requireme nts:
( 1) All of the units on the list must be units that are in the State and commenced commercial operation before January 1, 2010; ( 2) The total amount of TR SO 2 Group 1 allowance allocations on the list must not exceed the amount, under §97. 610(a) of this chapter for the State and the control period in 2013, of TR SO 2 Group 1 trading budget minus the sum of the new unit set - aside and Indian country new unit set - aside;*** E.O. 12866 Review

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Page 33 of 773 (3) The list must be submitted electronically in a format specified by the Adminis trator; and (4) The SIP revision must not provide for any change in the units and allocations on the list after approval of the SIP revision by the Administrator and must not provide for any change in any allocation determined and recorded by the Administ rator under subpart CCCCC of part 97 of this chapte r; (5) Provided that: (i) By [INSERT DATE 70 DAYS AFTER PUBLICATION IN THE FEDRAL REGISTER], the State must notify the Administrator electronically in a format specified by the Administrator of the State’s intent to submit to the Administrator a complete SIP revision meeting the requirements of paragraph (d)(1) through (4) of this section by April 1, 2012 ; and (ii) The State must submit to the Administrator a complete SIP revision described in parag raph (d)(5)(i) of this section by April 1, 2012.*** E.O. 12866 Review

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Page 34 of 773 (e) Notwithstanding the provisions of paragraph (a) of this section, a State listed in paragraph (b) of this section may adopt and include in a SIP revision, and the Administrator will approve, regulations revising subpart CCCCC of part 97 of this chapter as follows and not making any other substantive revisions of that subpart:
(1) The State may adopt, as TR SO 2 Group 1 allowance allocation or auction provisions replacing the provisions in §§97.611(a) and (b)(1) and 97.612(a) of this chapter with regard to the control period in 2014 or any subsequent year, any methodology under which the State or the permitting authority allocates or auctions TR SO 2 Group 1 allowances and may adopt, in addition to the defi nitions in §97.602 of this chapter , one or more definitions that shall apply only to terms as used in the adopted TR SO 2 Group 1 allowance allocation or auction provisions, if such methodology-- (i) Requires the State or the permitting authority to allocate and, if applicable, auction a total amount of TR SO 2 Group 1 allowances for any such control period not exceeding the amount, under §§97. 610(a) and 97.621 of this chapter for the State and such control period, of the TR SO 2 Group 1 trading budget minus the sum of the Indian country new unit set - aside and the amount*** E.O. 12866 Review

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Page 35 of 773 of any TR SO 2 Group 1 allowances already allocated and recorded by the Administrator. (ii) Requires, to the extent the State adopts provisions for allocations or auction of TR SO 2 Group 1 allowances for any such control period to any TR SO 2 Group 1 units covered by §97.611(a) of this chapter , that the State or the permitting authority submit such allocations or the results of su ch auctions for such control period (except allocations or results of auctions to such units of TR SO 2 Group 1 allowances remaining in a set - aside after completion of the allocations or auctions for which the set - aside was created) to the Administrator no later than the following dates:
Year of the control period for which TR SO 2 Group 1 allowances are allocated or auctioned Deadline for

submission of allocations or auction results to Administrator
2014 June 1, 2013 2015 June 1, 2013 2016 June 1, 2014 2017 June 1, 2014 2018 June 1, 2015*** E.O. 12866 Review

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Page 36 of 773 2019 June 1, 2015 2020 and any year thereafter June 1 of the

fourth year before the year of the control period (iii) Requires, to the extent the State adopts provisions for allocations or auctions of TR SO 2 Group 1 allowances for any such control period to any TR SO 2 Group 1 units covered by §§97.611(b)(1) and 97.612(a) of this chapter , that the State or the permitting authority submit such allocations or the results of such auctions (except allocations or r esults of auctions to such units of TR SO 2 Group 1 allowances remaining in a set - aside after completion of the allocations or auctions for which the set - aside was created) to the Administrator by July 1 of the year of such control period.
(iv) Does not provide for any change, after the submission deadlines in paragraphs (e)(1)(ii) and (iii) of this section, in the allocations submitted to the Administrator by such deadlines and does not provide for any change in any allocation determined and recorded by the Administrator under subpart CCCCC of part 97 of this chapte r;*** E.O. 12866 Review

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Page 37 of 773 (2) Provided that the State must submit a complete SIP revision meeting the requirements of paragraph (e)(1) of this section by December 1 of the year before the year of the deadlines for submission of allocations or auction results under paragraphs (e)(1)(ii) and (iii) of this section applicable to the first control period for which the State wants to make allocations or hold an auction under paragraph (e)(1) of this section.
(f) Notwith standing the provisions of paragraph (a) of this section, a State listed in paragraph (b) of this section may adopt and include in a SIP revision, and the Administrator will approve, as correcting in whole or in part, as appropriate, the deficiency in the SIP that is the basis for the TR Federal Implementation Plan set forth in paragraphs (a), (b), (d), and (e) of this section, regulations that are substantively identical to the provisions of the TR SO 2 Group 1 Trading Program set forth in §§97.602 through 97.635 of this chapter , except that the SIP revision: (1) May adopt, as TR SO 2 Group 1 allowance allocation or auction provisions replacing the provisions in §§97.611(a) and (b)(1) and 97.612(a) of this chapter with regard to the control period in 2014 and any subsequent year, any methodology under which the*** E.O. 12866 Review

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Page 38 of 773 State or the permitting authority allocates or auctions TR SO 2 Group 1 allowances and that -- (i) Requires the State or the permitting authority to allocate and, if applicable, auction a total amount of TR SO 2 Group 1 allowances for such control period not exceeding the amount, under §§97. 610(a) and 97.621 of this chapter for the State and such control period, of the TR SO 2 Group 1 trading budget minus the sum of the Indian country new unit set - aside and the amount of any TR SO 2 Group 1 allowances already allocated and recorded by the Administrator. (ii) Requires, to the extent the State adopts provisions for allocations or auction of TR SO 2 Group 1 allowan ces for any such control period to any TR SO 2 Group 1 units covered by §97.611(a) of this chapter , that the State or the permitting authority submit such allocations or the results of such auctions for such control period (except allocations or results of auctions to such units of TR SO 2 Group 1 allowances remaining in a set - aside after completion of the allocations or auctions for which the set - aside was created) to the Administrator no later than the following dates:
Year of the Deadline for*** E.O. 12866 Review

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Page 39 of 773 control period for which TR SO 2 Group 1 allowances are allocated or auctioned submission of

allocations or auction results to Administrator
2014 June 1, 2013 2015 June 1, 2013 2016 June 1, 2014 2017 June 1, 2014 2018 June 1, 2015 2019 June 1, 2015 2020 and any year thereafter June 1 of the

fourth year before the year of the control period (iii) Requires, to the extent the State adopts provisions for allocations or auctions of TR SO 2 Group 1 allowances for any such control period to any TR SO 2 Group 1 units covered by §§97.611(b)(1) and 97.612(a) of this chapter , that the State or the permitting authority submit such allocations or the results of such auctions (except allocations or results of auctions to such units of TR SO 2 Group 1 allowances remaining in a se t - aside after completion of the allocations or auctions for which the set - aside was created) to the Administrator by July 1 of the year of such control period.*** E.O. 12866 Review

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Page 40 of 773 (iv) Does not provide for any change, after the submission deadlines in paragraphs (f)(2)(ii) and (iii) of this section, in the allocations submitted to the Administrator by such deadlines and does not provide for any change in any allocation determined and recorded by the Administrator under subpart CCCCC of part 97 of this chapte r; (2) May adopt, in addition to the definitions in §97.602 of this chapter , one or more definitions that shall apply only to terms as used in the TR SO 2 Group 1 allowance allocation or auction provisions adopted under paragraph (f)(1) of this section ; (3) May s ubstitute the name of the State for the term “State” as used in subpart CCCCC of part 97 of this chapter, to the extent the Administrator determines that such substitutions do not make substantive changes in the provisions in §§97.602 through 97.635 o f this chapter; and
(4) Must not include any of the references to, or requirements imposed on, any unit in Indian country within the borders of the State in the provisions in §§97.602 through 97.635 of this chapter and must not include the provisions in § §97. 611(b)(2) and 97.612(b), all of which provisions will continue to apply*** E.O. 12866 Review

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Page 41 of 773 under the portion of the TR Federal Implementation Plan that is not replaced by the SIP revision; (5) Provided that, if and when any covered unit is located in Indian country within the borders of the State, the Administrator may modify his or her approval of the SIP revision to exclude the provisions in §§ 97.602 (definitions of “common designated representative”, “common designated representative’s assurance level”, and “common designated representative’s share”), 97. 606(c)(2), 97.625, and the portions of other provisions referencing these sections and may modify the portion of the TR Federal Implementation Plan that is not replaced by the SIP revision to include these provisions; (6) Provided that the State must submit a complete SIP revision meeting the requirements of paragraphs (f)(1) through (4) of this section by December 1 of the year before the year of the deadlines for submission of allocations or auction results under p aragraphs (f)(1)(ii) and (iii) of this section applicable to the first control period for which the State wants to make allocations or hold an auction under paragraph (f)(1)(ii) and (iii) of this section.*** E.O. 12866 Review

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Page 42 of 773 (g) Notwithstanding the provisions of paragraph (a) of this section, a State listed in paragraph (c) of this section may adopt and include in a SIP revision, and the Administrator will approve, as TR SO 2 Group 2 allowance allocation provisions replacing the provisions in §97. 7 11(a) of this chapter with regard to the control period in 2013, a list of TR SO 2 Group 2 units and the amount of TR SO 2 Group 2 allowances allocated to each unit on such list , provided that the list of units and allocations meets the following requirements:
( 1) All of the units on the list must be units that are in the State and commenced commercial operation before January 1, 2010; ( 2) The total amount of TR SO 2 Group 2 allowance allocations on the list must not exceed the amount, under §97. 710(a) of this chapt er for the State and the control period in 2013, of TR SO 2 Group 2 trading budget minus the sum of the new unit set - aside and Indian country new unit set - aside; (3) The list must be submitted electronically in a format specified by the Administrator; and (4) The SIP revision must not provide for any change in the units and allocations on the list after approval of the SIP*** E.O. 12866 Review

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Page 43 of 773 revision by the Administrator and must not provide for any change in any allocation determined and recorded by the Administrator under subpart DDDDD of part 97 of this chapte r; (5) Provided that: (i) By [INSERT DATE 70 DAYS AFTER PUBLICATION IN THE FEDRAL REGISTER], the State must notify the Administrator electronically in a format specified by the Administrator of the State’s intent to submit to the Administrator a complete SIP revision meeting the requirements of paragraph (g)(1) through (4) of this section by April 1, 2012 ; and (ii) The State must submit to the Administrator a complete SIP revision described in paragraph (g)(5)(i) of this section by April 1, 2012. (h) Notwithstanding the provisions of paragraph (a) of this section, a State listed in paragraph (c) of this section may adopt and include in a SIP revision, and the Administrator will approve, regulations revising subpart DDDDD of part 97 of this chapter as follows and not making any other substantive revisions of that subpart:*** E.O. 12866 Review

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Page 44 of 773 (1) The State may adopt, as TR SO 2 Group 2 allowance allocation or auction provisions replacing the provisions in §§97.711(a) and (b)(1) and 97.712(a) of this chapter with regard to the control period in 2014 and any subsequent year, any methodology under which the State or the permitting authority allocates or auctions TR SO 2 Group 2 allowances and may adopt, in addi tion to the definitions in §97.702 of this chapter , one or more definitions that shall apply only to terms as used in the adopted TR SO 2 Group 2 allowance allocation or auction provisions, if such methodology

— (i) Requires the State or the permitting auth ority to allocate and, if applicable, auction a total amount of TR SO 2 Group 2 allowances for any such control period not exceeding the amount, under §§97. 710(a) and 97.721 of this chapter for the State and such control period, of the TR SO 2 Group 2 tradin g budget minus the sum of the Indian country new unit set - aside and the amount of any TR SO 2 Group 2 allowances already allocated and recorded by the Administrator. (ii) Requires, to the extent the State adopts provisions for allocations or auction of TR SO 2 Group 2 allowances for any such control period to any TR SO 2 Group 2 units covered by §97.711(a) of this chapter , that the State or the permitting authority*** E.O. 12866 Review

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Page 45 of 773 submit such allocations or the results of such auctions for such control period (except alloc ations or results of auctions to such units of TR SO 2 Group 2 allowances remaining in a set - aside after completion of the allocations or auctions for which the set - aside was created) to the Administrator no later than the following dates:
Year of the control period for which TR SO 2 Group 2 allowances are allocated or auctioned Deadline for

submission of allocations or auction results to Administrator
2014 June 1, 2013 2015 June 1, 2013 2016 June 1, 2014 2017 June 1, 2014 2018 June 1, 2015 2019 June 1, 2015 2020 and any year thereafter June 1 of the

fourth year before the year of the control period (iii) Requires, to the extent the State adopts provisions for allocations or auctions of TR SO 2 Group 2 allowances for any such*** E.O. 12866 Review

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Page 46 of 773 control period to any TR SO 2 Group 2 units covered by §§97.711(b)(1) and 97.712(a) of this chapter , that the State or the permitting authority submit such allocations or the results of such auctions (except allocations or results of auctions to such units of TR SO 2 Group 2 allowances remaining in a set - aside after completion of the allocations or auctions for which the set - aside was created) to the Administrator by July 1 of the year of such control period. (iv) Does not provide for any change, after the submission deadlines in paragraphs (h)(1)(ii) and (iii) of this section, in the allocations submitted to the Administrator by such deadlines and does not provide for any change in any allocation determined and recorded by the Administrator under subpart DDDDD of par t 97 of this chapte r; (2) Provided that the State must submit a complete SIP revision meeting the requirements of paragraph (h)(1) of this section by December 1 of the year before the year of the deadlines for submission of allocations or auction results under paragraphs (h)(1)(ii) and (iii) of this section applicable to the first control period for which the State wants to make allocations or hold an auction under paragraph (h)(1)(ii) and (iii) of this section.*** E.O. 12866 Review

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Page 47 of 773 (i) Notwithstanding the provisions of par agraph (a) of this section, a State listed in paragraph (c) of this section may adopt and include in a SIP revision, and the Administrator will approve, as correcting in whole or in part, as appropriate, the deficiency in the SIP that is the basis for the TR Federal Implementation Plan set forth in paragraphs (a), (c), (g), and (h) of this section, regulations that are substantively identical to the provisions of the TR SO 2 Group 2 Trading Program set forth in §§97.702 through 97.735 of this chapter , except that the SIP revision: (1) May adopt, as TR SO 2 Group 2 allowance allocation or auction provisions replacing the provisions in §§97.711(a) and (b)(1) and 97.712(a) of this chapter with regard to the control period in 2014 and any subsequent year, any methodology under which the State or the permitting authority allocates or auctions TR SO 2 Group 2 allowances and that -- (i) Requires the State or the permitting authority to allocate and, if applicable, auction a total amount of TR SO 2 Group 2 allowances for any such control period not exceeding the amount, under §§97. 710(a) and 97.721 of this chapter for the State and such control period, of the TR SO 2 Group 2 trading budget minus*** E.O. 12866 Review

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Page 48 of 773 the sum of the Indian country new unit set - aside and the amount of any TR SO 2 Group 2 allowances already allocated and recorded by the Administrator. (ii) Requires, to the extent the State adopts provisions for allocations or auction of TR SO 2 Group 2 allowances for any such control period to any TR S O 2 Group 2 units covered by §97.711(a) of this chapter , that the State or the permitting authority submit such allocations or the results of such auctions for such control period (except allocations or results of auctions to such units of TR SO 2 Group 1 al lowances remaining in a set - aside after completion of the allocations or auctions for which the set - aside was created) to the Administrator no later than the following dates:
Year of the control period for which TR SO 2 Group 2 allowances are allocated or auctioned Deadline for

submission of allocations or auction results to Administrator
2014 June 1, 2013 2015 June 1, 2013 2016 June 1, 2014 2017 June 1, 2014*** E.O. 12866 Review

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Page 49 of 773 2018 June 1, 2015 2019 June 1, 2015 2020 and any year thereafter June 1 of the

fourth year before the year of the control period (iii) Requires, to the extent the State adopts provisions for allocations or auctions of TR SO 2 Group 2 allowances for any such control period to any TR SO 2 Group 2 units covered by §§97.711(b)(1) and 97.712(a) of th is chapter , that the State or the permitting authority submit such allocations or the results of such auctions (except allocations or results of auctions to such units of TR SO 2 Group 2 allowances remaining in a set - aside after completion of the allocation s or auctions for which the set - aside was created) to the Administrator by July 1 of the year of such control period. (iv) Does not provide for any change, after the submission deadlines in paragraphs (i)(1)(ii) and (iii) of this section, in the allocati ons submitted to the Administrator by such deadlines and does not provide for any change in any allocation determined and recorded by the Administrator under subpart DDDDD of part 97 of this chapte r;*** E.O. 12866 Review

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Page 50 of 773 (2) May adopt, in addition to the definitions in §97.702 of this chapter , one or more definitions that shall apply only to terms as used in the TR SO 2 Group 2 allowance allocation or auction provisions adopted under paragraph (i)(1) of this section ; (3) May substitute the name of the State for the term “State” as used in subpart DDDDD of part 97 of this chapter, to the extent the Administrator determines that such substitutions do not make substantive changes in the provisions in §§97.702 through 97.735 of this chapter; and
(4) Must not include any of the references to, or requirements imposed on, any unit in Indian country within the borders of the State in the provisions in §§97.702 through 97.735 of this chapter and must not include the provisions in §§97. 711(b)(2) and 97.712(b), all of which provisions will continue to apply under the portion of the TR Federal Implementation Plan that is not replaced by the SIP revision; (5) Provided that, if and when any covered unit is located in Indian country within the borders of the State, the Administrator may modify his or her approval of the SIP revision to exclude the provisions in §§ 97.702 (definitions of “common designated representative”, “common designated representative’s*** E.O. 12866 Review

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Page 51 of 773 assurance level”, and “common designated representative’s share”), 97. 706(c)(2), 97.725, and the portions of other provisions referencing these sections and may modify the portion of the TR Federal Implementation Plan that is not replaced by the SIP revision to include these provisions; (6) Provided that the State must submit a complete SIP revision meeting the requirements of paragraphs (i)(1) through (4) of this section by December 1 of the year before the year of the deadlines for submission of allocations or auction results under paragraphs (i)(1)(ii) and (iii) of this section applicable to the first control period for which the State wants to make allocations or hold an auction under paragraphs (i)(1)(ii) and (iii) of this section. (j) Following promulgation of an approval by the Administrator of a State's SIP revision as correcting in whole or in part, as appropriate, the SIP’s deficiency that is the basis for the TR Federal Implementation Plan, the provisions of paragraph (b) and (c) of this section, as applicable, will no longer apply to sources in the State, unless the Administrator's approval of the SIP revision is partial or conditional , and will continue to apply to sources in any Indian country within the borders of the State .*** E.O. 12866 Review

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Page 52 of 773 ( k ) Notwithstanding the provision s of paragraph ( j ) of this section, if, at the time of such approval of the State's SIP revision , the Administrator has already started recording any allocations of TR SO 2 Group 1 allowances under subpart CCCCC of part 97 of this chapter, or allocations of TR SO 2 Group 2 allowances under subpart DDDDD of part 97 of this chapter, to units in a State for a control period in any year, the provisions of subpart CCCCC of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR SO 2 Group 1 allowances , or of subpart DDDDD of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR SO 2 Group 2 allowances , as applicable , to units in the State for each such control period shall continue to apply, unless provide d otherwise by such approval of the State’s SIP revision . Subpart B

— Alabama
10. Section 52.54 is added to read as follows:
§ 52. 54 Interstate pollutant transport provisions; What are the FIP requirements for decreases in emissions of nitrogen oxides?*** E.O. 12866 Review

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Page 53 of 773 (a )(1) The owner and operator of each source and each unit located in the State of Alabama and for which requirements are set forth under the TR NOX Annual Trading Program in subpart AAAAA of part 97 of this chapter must comply with such requirements. The obligation to comply with such requirements will be eliminated by the promulgation of an approval by the Administrator of a revision to Alabama’s State Implementation Plan (SIP) as c orrecting the SIP’s deficiency that is the basis for the TR Federal Implementation Plan under § 52.38(a), except to the extent the Administrator’s approval is partial or conditional.
(2) Notwithstanding the provision s of paragraph ( a ) (1) of this section, if, at the time of the approval of Alabama’s SIP revision described in paragraph (a)(1) of this section , the Administrator has already started recording any allocations of TR NOX Annual allowances under subpart AAAAA of part 97 of this chapter to units in the State for a control period in any year , the provisions of subpart AAAAA of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR NOX Annual allowances to units in the State for each such control period shall continue to apply, unless*** E.O. 12866 Review

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Page 54 of 773 provide d otherwise by such approval of the State’s SIP revision . ( b)(1) The owner and operator of each source and each unit located in the State of Alabama and for which requirements are set forth under the TR NOX Ozone Season Trading Program in subpart BBBBB of part 97 of this chapter must comply with such requirements. The obligation to comply with such requirements will be eliminated by the promulgation of an approval by the Administrator of a revision to Alabama’s State Implementation Plan (SIP) as correcting the SIP’s deficiency that is the basis for the TR Federal Implementation Plan under § 52.38(b), except to the extent the Administrator’s approval is partial or conditional.
(2) Notwithstanding the provision s of paragraph ( b)(1 ) of this section, if, at the time of the approval of the Alabama’s SIP revision described in paragraph (b)(1) of this section , the Administrator has already started recording any allocations of TR NOX Ozone Season allowances under subpart BBBBB of part 97 of this chapter to units in the State for a control period in any year , the provisions of subpart BBBBB of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR NOX Ozone Season allowances to units in the Sta te for each such control period shall continue to apply,*** E.O. 12866 Review

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Page 55 of 773 unless provided otherwise by such approval of the State’s SIP revision.
1 1 . Section 52.55 is added to read as follows:
§ 52. 55 Interstate pollutant transport provisions; What are the FIP requirements for decreases in emissions of sulfur dioxide ?
( a) The owner and operator of each source and each unit located in the State of Alabama and for which requirements are set forth under the TR SO 2 Group 2 Trading Program in subpart DDDDD of part 97 of this chapter must comply with such requirements. The obligation to comply with such requirements will be eliminated by the promulgation of an approval by the Administrator of a revision to Alabama’s State Implementation Plan (SIP) as correcting the SIP’s deficiency that is the basis for the TR Federal Implementation Plan under § 52.39, except to the extent the Administrator’s approval is partial or conditional.
(b) Notwithstanding the provisi on s of paragraph ( a ) of this section, if, at the time of the approval of Alabama’s SIP revision described in paragraph (a) of this section , the Administrator has already started recording any allocations of*** E.O. 12866 Review

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Page 56 of 773 TR SO 2 Group 2 allowances under subpart DDDDD of part 97 of this chapter to units in the State for a control period in any year , the provisions of subpart DDDDD of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR SO 2 Group 2 allowances to units in the State for each such control period shall continue to apply, unless provide d otherwise by such approval of the State’s SIP revision . Subpart E—

Arkansas 1 2 . Section 52.184 is added to read as follows:
§ 52. 184 Interstate pollutant transport provisions; What are the FIP requirements for decreases in emissions of nitrogen oxides?
(a ) The owner and operator of each source and each unit located in the State of Arkansas and for which requirements are set forth under the TR NOX Ozone Season Trading Program in subpart BBBBB of part 97 of this chapter must comply with such requirements. The obligation to comply with such requirements will be eliminated by the promulgation of an approval by the Administrator of a revision to Arkansas’ State Implementation Plan (SIP) as correcting the SIP’s deficiency that is the basis*** E.O. 12866 Review

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Page 57 of 773 for the TR Federal Implementation Plan under § 52.38(b), except to the extent the Administrator’s approval is partial or conditional.
(b) Notwithstanding the provision s of paragraph ( a ) of this section, if, at the time of the approval of Arkansas’ SIP revision described in paragraph (a) of this section , the Administrator has already started recording any allocations of TR NOX Ozone Season allowances under subpart BBBBB of part 97 of this chapter to units in the State for a control period in any year , the provisions of subpart BBBBB of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR NOX Ozone Season allowances to units in the State for each such control period shall continue to apply, unless provided otherwise by such approval of the State’s SIP revision. Subpart I—

Delaware 13. Section 52.440 is amended by adding a new paragraph (c) to read as follows:*** E.O. 12866 Review

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Page 58 of 773 § 52.440 Interstate pollutant transport provisions; What are the FIP requirements for decreases in emissions of nitrogen oxides? * * * * * (c) Notwithstanding any provisions of paragraphs (a) and (b) of this section and subparts AA through II and AAAA through IIII of part 97 of this chapter to the contrary: (1) With regard to any control period that begins after December 31, 2011, (i) The provisions in paragraphs (a) and (b) of this section relating to NOX annual or ozone season emissions shall not be applicable; and (ii) The Administrator will not carry out any of the functions set forth for the Administrat or in subparts AA through II and AAAA through IIII of part 97 of this chapter; and (2) The Administrator will not deduct for excess emissions any CAIR NOX allowances or CAIR NOX Ozone Season allowances allocated for 2012 or any year thereafter; (3) By [INS ERT DATE 90 DAYS AFTER PUBLICATION IN THE FEDERAL REGISTER], the Administrator will remove from the CAIR NOX Allowance Tracking System accounts all CAIR NOX allowances*** E.O. 12866 Review

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Page 59 of 773 allocated for a control period in 2012 and any subsequent year, and, thereafter, no holding or surrender of CAIR NOX allowances will be required with regard to emissions or excess emissions for such control periods; and (4) By [INSERT DATE 90 DAYS AFTER PUBLICATION IN THE FEDERAL REGISTER], the Administrator will remove from the CAIR NOX Ozo ne Season Allowance Tracking System accounts all CAIR NOX Ozone Season allowances allocated for a control period in 2012 and any subsequent year, and, thereafter, no holding or surrender of CAIR NOX Ozone Season allowances will be required with regard to emissions or excess emissions for such control periods. 14. Section 52.441 is amended by designating the introductory text as paragraph (a) and adding a new paragraph (b) to read as follows:
§ 52.44 1 Interstate pollutant transport provisions; What are the FIP requirements for decreases in emissions of sulfur dioxide? * * * * * (b) Notwithstanding any provisions of paragraph (a) of this section and subparts AAA through III of part 97 of this chapter and any State’s SIP to the contrary:*** E.O. 12866 Review

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Page 60 of 773 (1) With regard to any control period that begins after December 31, 2011, (i) The provisions of paragraph (a) of this section relating to SO 2 emissions shall not be applicable; and (ii) The Administrator will n ot carry out any of the functions set forth for the Administrator in subparts AAA through III of part 97 of this chapter; and (2) The Administrator will not deduct for excess emissions any CAIR SO 2 allowances allocated for 2012 or any year thereafter. Subpart J

— District of Columbia 15. Section 52.484 is amended by adding a new paragraph (c) to read as follows:
§ 52.4 84 Interstate pollutant transport provisions; What are the FIP requirements for decreases in emissions of nitrogen oxides? * * * * * (c ) Notwithstanding any provisions of paragraphs (a) and (b) of this section and subparts AA through II and AAAA through IIII of part 97 of this chapter to the contrary:*** E.O. 12866 Review

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Page 61 of 773 (1) With regard to any control period that begins after December 31, 2011, (i) The provisions in paragraphs (a) and (b) of this section relating to NOX annual or ozone season emissions shall not be applicable; and (ii) The Administrator will not carry out any of the functions set forth for the Administrator in subparts AA through II and AAAA through IIII of part 97 of this chapter; and (2) The Administrator will not deduct for excess emissions any CAIR NOX allowances or CAIR NOX Ozone Season allowances allocated for 2012 or any year thereafter; (3) By [INSERT DATE 90 DAYS AFTER PUBLICATI ON IN THE FEDERAL REGISTER], the Administrator will remove from the CAIR NOX Allowance Tracking System accounts all CAIR NOX allowances allocated for a control period in 2012 and any subsequent year, and, thereafter, no holding or surrender of CAIR NOX all owances will be required with regard to emissions or excess emissions for such control periods; and (4) By [INSERT DATE 90 DAYS AFTER PUBLICATION IN THE FEDERAL REGISTER], the Administrator will remove from the CAIR NOX Ozone Season Allowance Tracking Sys tem accounts all CAIR NOX Ozone Season allowances allocated for a control period in 2012 and any*** E.O. 12866 Review

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Page 62 of 773 subsequent year, and, thereafter, no holding or surrender of CAIR NOX Ozone Season allowances will be required with regard to emissions or excess emissions for such control periods. 16. Section 52.485 is amended by designating the introductory text as paragraph (a) and adding a new paragraph (b) to read as follows:
§ 52.4 85 Interstate pollutant transport provisions; What are the FIP requirements for decrease s in emissions of sulfur dioxide? * * * * * (b) Notwithstanding any provisions of paragraph (a) of this section and subparts AAA through III of part 97 of this chapter and any State’s SIP to the contrary: (1) With regard to any control period that b egins after December 31, 2011, (i) The provisions of paragraph (a) of this section relating to SO 2 emissions shall not be applicable; and*** E.O. 12866 Review

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Page 63 of 773 (ii) The Administrator will not carry out any of the functions set forth for the Administrator in subparts AAA through III of part 97 of this chapter; and (2) The Administrator will not deduct for excess emissions any CAIR SO 2 allowances allocated for 2012 or any year thereafter. Subpart K

—Florida 1 7 . Section 52.540 is added to read as follows:
§ 52. 540 Interstate pollutant transport provisions; What are the FIP requirements for decreases in emissions of nitrogen oxides?
(a ) The owner and operator of each source and each unit located in the State of Florida and Indian country within the borders of the State and for which requirements are set forth under the TR NOX Ozone Season Trading Program in subpart BBBBB of part 97 of this chapter must comply with such requirements. The obligation to comply with such requirements with regard to sources and units located in the State will be eliminated by the promulgation of an approval by the Administrator of a revision to Florida’s State Implementation Plan (SIP) as correcting in part the SIP’s deficiency that is the basis for the TR Federal*** E.O. 12866 Review

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Page 64 of 773 Implementation Plan under § 52.38(b) , except to the extent the Administrator’s approval is partial or conditional. The obligation to comply with such requirements with regard to sources and units located in Indian country within the borders of the State will not be eliminated by the promulgation of an approval by the Administrator of a revision to Florida’s SIP.
(b) Notwithstanding the provision s of paragraph ( a ) of this section, if, at the time of the approval of Florida’s SIP revision described in paragraph (a) of this section , the Administrator has already started recording any allocations of TR NOX Ozone Season allowances under subpart BBBBB of part 97 of this chapter to units in the State for a control period in any yea r , the provisions of subpart BBBBB of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR NOX Ozone Season allowances to units in the State for each such control period shall continue to apply, unless provided otherwise by such approval of the State’s SIP revision. Subpart L-- Georgia 1 8 . Section 52.584 is added to read as follows:*** E.O. 12866 Review

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Page 65 of 773 § 52. 584 Interstate pollutant transport provisions; What are the FIP requirements for decreases in emissions of nitrogen oxides?
(a )(1) The owner and operator of each source and each unit located in the State of Georgia and for which requirements are set forth under the TR NOX Annual Trading Program in subpart AAAAA of part 97 of this chapter must comply with such requirements. The obligation to comply with such requirements will be eliminated by the promulgation of an approval by the Administrator of a revision to Georgia’s State Implementation Plan (SIP) as correcting the SIP’s defic iency that is the basis for the TR Federal Implementation Plan under § 52.38(a), except to the extent the Administrator’s approval is partial or conditional.
(2) Notwithstanding the provision s of paragraph ( a ) (1) of this section, if, at the time of the app roval of Georgia’s SIP revision described in paragraph (a)(1) of this section , the Administrator has already started recording any allocations of TR NOX Annual allowances under subpart AAAAA of part 97 of this chapter to units in the State for a control period in any year , the provisions of subpart AAAAA of part 97 of this chapter authorizing the Administrator to complete the allocation and*** E.O. 12866 Review

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Page 66 of 773 recordation of TR NOX Annual allowances to units in the S tate for each such control period shall continue to apply, unless provide d otherwise by such approval of the State’s SIP revision . ( b)(1) The owner and operator of each source and each unit located in the State of Georgia and for which requirements are set forth under the TR NOX Ozone Season Trading Program in subpart BBBBB of part 97 of this chapter must comply with such requirements. The obligation to comply with such requirements will be eliminated by the promulgation of an approval by the Administrator of a revision to Georgia’s State Implementation Plan (SIP) as correcting the SIP’s deficiency that is the basis for the TR Federal Implementation Plan under § 52.38(b), except to the extent the Administrator’s approval is partial or conditional.
(2) Notwithstanding the provision s of paragraph ( b)(1) of this section, if, at the time of the approval of Georgia’s SIP revision described in paragraph (b)(1) of this section , the Administrator has already started reco rding any allocations of TR NOX Ozone Season allowances under subpart BBBBB of part 97 of this chapter to units in the State for a control period in any year , the provisions of subpart BBBBB of part 97 of this chapter authorizing the Administrator to complete the allocation and*** E.O. 12866 Review

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Page 67 of 773 recordation of TR NOX Ozone Season allowances to units in the State for each such control period shall continue to apply, unless provided otherwise by such approval of the State’s SIP revision. 19. Section 52.585 is added to read as follows:
§ 52. 585 Interstate pollutant transport provisions; What are the FIP requirements for decreases in emissions of sulfur dioxide ?
(a ) The owner and operator of each source and each unit located in the State of Georgia and for which requirements are set forth under the TR SO 2 Group 2 Trading Program in subpart DDDDD of part 97 of this chapter must comply with such requirements. The obligation to comply with such requirements will be eliminated by the promulgation of an approval by the Administrator of a revision to Georgia’s State Implementation Plan (SIP) as correcting the SIP’s deficiency that is the basis for the TR Federal Implementation Plan under § 52.39, except to the extent the Administrator’s approval is partial or conditional.
(b) Notwithstanding the provision s of paragraph ( a ) of this section, if, at the time of the approval of Georgia’s SIP revision described in paragraph (a) of this se ction , the*** E.O. 12866 Review

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Page 68 of 773 Administrator has already started recording any allocations of TR SO 2 Group 2 allowances under subpart DDDDD of part 97 of this chapter to units in the State for a control period in any year , the provisions of subpart DDDDD of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR SO 2 Group 2 allowances to units in the State for each such control period shall continue to appl y, unless provide d otherwise by such approval of the State’s SIP revision . Subpart O-- Illinois 20 . Section 52.745 is added to read as follows:
§ 52. 745 Interstate pollutant transport provisions; What are the FIP requirements for decreases in emissions of nitrogen oxides?
(a )(1) The owner and operator of each source and each unit located in the State of Illinois and for which requirements are set forth under the TR NOX Annual Trading Program in subpart AAAAA of part 97 of this chapter must comply with such requirements. The obligation to comply with such requirements will be eliminated by the promulgation of an approval by the Administrator of a revision to Illinois’ State Implementation*** E.O. 12866 Review

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Page 69 of 773 Plan (SIP) as correcting the SIP’s deficiency that is the basis for the TR Federal Implementation Plan under § 52.38(a), except to the extent the Administrator’s approval is partial or conditional.
(2) Notwithstanding the provision s of paragraph ( a ) (1) of this section, if, at the time of the approval of Illinois’ SIP revision described in paragraph (a)(1) of this section , the Administrator has already started recording any allocations of TR NOX Annual allowances under subpart AAAAA of part 97 of this chapter to units in the State for a control period in any year , the provisions of subpart AAAAA of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR NOX Annual allowances to units in the State for each such control period shall continue to apply, unless provide d otherwise by such approval of the State’s SIP revision . ( b)(1) The owner and operator of each source and each unit located in the State of Illinois and for which requirements are set forth under the TR NOX Ozone Season Trading Program in subpart BBBBB of part 97 of this chapter must comply with such requirements. The obligation to comply with such requirements will be eliminated by the promulgation of an approval by the Administrator of a revision to Illinois’ State Implementation*** E.O. 12866 Review

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Page 70 of 773 Plan (SIP) as correcting the SIP’s deficiency that is the basis for the TR Federal Implementation Plan under § 52.38(b), except to the extent the Administrator’s approval is partial or conditional.
(2) Notwithstanding the provision s of paragraph ( b)(1) of this section, if, at the time of the approval of Illinois’ SIP revision described in paragraph (b)(1) of this section , the Administrator has already started recording any allocations of TR NOX Ozone Season allowances under subpart BBBBB of part 97 of this chapter to units in the State for a control period in any year , the provisions of subpart BBBBB of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR NOX Ozone Season allowances to units in the State for each such control period shall continue to apply, unless provided otherwise by such approval of the State’s SIP revision. 21. Section 52.746 is added to read as follows:
§ 52. 746 Interstate pollutant transport provisions; What are the FIP requirements for decreases in emissions of sulfur dioxide ?*** E.O. 12866 Review

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Page 71 of 773 (a ) The owner and operator of each source and each unit located in the State of Illinois and for which requirements are set forth under the TR SO 2 Group 1 Trading Program in subpart CCCCC of part 97 of this chapter must comply with such requirements. The obligation to comply with such requirements will be eliminated by the promulgation of an approval by the Administrator of a revision to Illinois’ State Implementation Plan (SIP) as correcting the SIP’s deficiency that is the basis for the TR Federal Implementation Plan under § 52.39, except to the extent the Administrator’s approval is partial or conditional.
(b) Notwithstanding the provision s of paragraph ( a ) of this section, if, at the time of the approval of Illinois’ SIP revision described in paragraph (a) of this s ection , the Administrator has already started recording any allocations of TR SO 2 Group 1 allowances under subpart CCCCC of part 97 of this chapter to units in the State for a control period in any year , the provisions of subpart CCCCC of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR SO 2 Group 1 allowances to units in the State for each such control period shall continue to appl y, unless provide d otherwise by such approval of the State’s SIP revision .*** E.O. 12866 Review

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Page 72 of 773 Subpart P

—Indiana 22. Section 52.789 is added to read as follows:
§ 52. 789 Interstate pollutant transport provisions; What are the FIP requirements for decreases in emissions of nitrogen oxides?
( a)(1) The owner and operator of each source and each unit located in the State of Indiana and for which requirements are set forth under the TR NOX Annual Trading Program in subpart AAAAA of part 97 of this chapter must comply with such requirements. The obligation to comply with such requirements will be eliminated by the promulgation of an approval by the Administrator of a revision to Indiana’s S tate Implementation Plan (SIP) as correcting the SIP’s deficiency that is the basis for the TR Federal Implementation Plan under § 52.38(a), except to the extent the Administrator’s approval is partial or conditional.
(2) Notwithstanding the provision s of paragraph ( a ) (1) of this section, if, at the time of the approval of Indiana’s SIP revision described in paragraph (a)(1) of this section , the Administrator has already started recording any allocations of*** E.O. 12866 Review

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Page 73 of 773 TR NOX Annual allowances under subpart AAAAA of part 97 of this chapter to units in the State for a control period in any year , the provisions of subpart AAAAA of part 97 of this chapter authorizing the Administrator to complete the allocation an d recordation of TR NOX Annual allowances to units in the State for each such control period shall continue to apply, unless provide d otherwise by such approval of the State’s SIP revision . ( b)(1) The owner and operator of each source and each unit located in the State of Indiana and for which requirements are set forth under the TR NOX Ozone Season Trading Program in subpart BBBBB of part 97 of this chapter must comply with such requirements. The obligation to comply with such requirements will be eliminated by the promulgation of an approval by the Administrator of a revision to Indiana’s State Implementation Plan (SIP) as correcting the SIP’s deficiency that is the basis for the TR Federal Implementation Plan under § 52.38(b), except to the extent the Administrator’s approval is partial or conditional.
(2) Notwithstanding the provision s of paragraph ( b)(1) of this section, if, at the time of the approval of Indiana’s SIP revision described i n paragraph (b)(1) of this section , the Administrator has already started recording any allocations of*** E.O. 12866 Review

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Page 74 of 773 TR NOX Ozone Season allowances under subpart BBBBB of part 97 of this chapter to units in the State for a control period in any year , the provisions of subpart BBBBB of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR NOX Ozone Season allowances to units in the State for each such control period shall continue to apply, unless provided otherwise by such approval of the State’s SIP revision.
23. Section 52.790 is added to read as follows:
§ 52. 790 Interstate pollutant transport provisions; What are the FIP requirements for decreases in emissions of sulfur dioxide?
( a) The owner and operator of each source and each unit located in the State of Indiana and for which requirements are set forth under the TR SO 2 Group 1 Trading Program in subpart CCCCC of part 97 of this chapter must comply with such requirements. The obligation to comply with such requirements will be eliminated by the promulgation of an approval by the Administrator of a revision to Indiana’s State Implementation Plan (SIP) as correcting the SIP’s deficien cy that is the basis for the TR*** E.O. 12866 Review

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Page 75 of 773 Federal Implementation Plan under § 52.39 except to the extent the Administrator’s approval is partial or conditional.
(b) Notwithstanding the provision s of paragraph ( a ) of this section, if, at the time of the approval of I ndiana’s SIP revision described in paragraph (a) of this section , the Administrator has already started recording any allocations of TR SO 2 Group 1 allowances under subpart CCCCC of part 97 of this chapter to units in the State for a control period in any year , the provisions of subpart CCCCC of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR SO 2 Group 1 allowances to units in the State for each such control period shall continue to apply, unless provide d otherwise by such approval of the State’s SIP revision . Subpart Q

—Iowa 24 . Section 52.840 is added to read as follows:
§ 52. 840 Interstate pollutant transport provisions; What are the FIP requirements for decreases in emissions of nitrogen oxides?*** E.O. 12866 Review

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Page 76 of 773 (a )(1) The owner and operator of each source and each unit located in the State of Iowa and Indian country within the borders of the State and for which requirements are set forth under the TR NOX Annual Trading Program in subpart AAAAA of part 97 of this chapter must comply with such requirements. The obligation to comply with such requirements with regard to sources and units in the State will be eliminated by the p romulgation of an approval by the Administrator of a revision to Iowa’s State Implementation Plan (SIP) as correcting in part the SIP’s deficiency that is the basis for the TR Federal Implementation Plan under § 52.38(a), except to the extent the Administra tor’s approval is partial or conditional. The obligation to comply with such requirements with regard to sources and units located in Indian country within the borders of the State will not be eliminated by the promulgation of an approval by the Administr ator of a revision to Iowa’s SIP.
(2) Notwithstanding the provision s of paragraph ( a ) (1) of this section, if, at the time of the approval of Iowa’s SIP revision described in paragraph (a)(1) of this section , the Administrator has already started recording any allocations of TR NOX Annual allowances under subpart AAAAA of part 97 of this chapter to units in the State for a control period in any year , the provisions of subpart AAAAA of part 97 o f this chapter*** E.O. 12866 Review

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Page 77 of 773 authorizing the Administrator to complete the allocation and recordation of TR NOX Annual allowances to units in the State for each such control period shall continue to apply, unless provide d otherwise by such approval of the State’s SIP revision . ( b) [Reserved]
25. Section 52.841 is added to read as follows:
§ 52. 841 Interstate pollutant transport provisions; What are the FIP requirements for decreases in emissions of sulfur dioxide ?
(a ) The owner and operator of each source and each unit located in the State of Iowa and Indian country within the borders of the State and for which requirements are set forth under the TR SO 2 Group 1 Trading Program in subpart CCCCC of part 97 of this chapter must comply with such requirements. The obligation to comply with such requirements with regard to sources and units in the State will be eliminated by the promulgation of an approval by the Administrator of a revision to Iowa’s State Implementation Plan (SIP) as correcting i n part the SIP’s deficiency that is the basis for the TR Federal Implementation Plan under § 52.39, except to the extent the Administrator’s*** E.O. 12866 Review

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Page 78 of 773 approval is partial or conditional. The obligation to comply with such requirements with regard to sources and unit s located in Indian country within the borders of the State will not be eliminated by the promulgation of an approval by the Administrator of a revision to Iowa’s SIP.
(b) Notwithstanding the provision s of paragraph ( a ) of this section, if, at the time of the approval of Iowa’s SIP revision described in paragraph (a) of this section , the Administrator has already started recording any allocations of TR SO 2 Group 1 allowances under subpart CCCCC of part 97 of this chapter to units in the State for a control period in any year , the provisions of subpart CCCCC of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR SO 2 Group 1 allowances to units in the State for each such control period shall continue to apply, unless provide d otherwise by such approval of the State’s SIP revision . Subpart R

— Kansas 26 . Section 52.882 is added to read as follows:*** E.O. 12866 Review

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Page 79 of 773 § 52. 882 Interstate pollutant transport provisions; What are the FIP requirements for decreases in emissions of nitrogen oxides?
(a )(1) The owner and operator of each source and each unit located in the State of Kansas and Indian country within the borders of the State and for which r equirements are set forth under the TR NOX Annual Trading Program in subpart AAAAA of part 97 of this chapter must comply with such requirements. The obligation to comply with such requirements with regard to sources and units in the State will be elimina ted by the promulgation of an approval by the Administrator of a revision to Kansas’ State Implementation Plan (SIP) as correcting in part the SIP’s deficiency that is the basis for the TR Federal Implementation Plan under § 52.38(a), except to the extent the Administrator’s approval is partial or conditional. The obligation to comply with such requirements with regard to sources and units located in Indian country within the borders of the State will not be eliminated by the promulgation of an approval by the Administrator of a revision to Kansas’ SIP.
(2) Notwithstanding the provision s of paragraph ( a ) (1) of this section, if, at the time of the approval of Kansas’ SIP revision described in paragraph (a)(1) of this section , the Administrator*** E.O. 12866 Review

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Page 80 of 773 has already started recording any allocations of TR NOX Annual allowances under subpart AAAAA of part 97 of this chapter to units in the State for a control period in any year , the provisions of subpart AAAAA of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR NOX Annual allowances to units in the State for each such control period shall continue to apply, unless provide d otherwise by such approval of the State’s SIP revision . (b)[Reserved]
27. Section 52.883 is added to read as follows:
§ 52. 883 Interstate pollutant transport provisions; What are the FIP requirements for decreases in emissions of sulfur dioxide ?
(a ) The owner and operator of each source and each unit located in the State of Kansas and Indian country within the borders of the State and for which requirements are set forth under the TR SO 2 Group 2 Trading Program in subpart DDDDD of part 97 of this chapter must c omply with such requirements. The obligation to comply with such requirements will be eliminated with regard to sources and units in the State by the promulgation of an*** E.O. 12866 Review

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Page 81 of 773 approval by the Administrator of a revision to Kansas’ State Implementation Plan (SIP) as correcting in part the SIP’s deficiency that is the basis for the TR Federal Implementation Plan under § 52.39, except to the extent the Administrator’s approval is partial or conditional. The obligation to comply with such requirements with regard to sources and units located in Indian country within the borders of the State will not be eliminated by the promulgation of an approval by the Administrator of a revision to Kansas’ SIP.
(b) Notwithstanding the provision s of paragraph ( a ) of this section, i f, at the time of the approval of Kansas’ SIP revision described in paragraph (a) of this section , the Administrator has already started recording any allocations of TR SO 2 Group 2 allowances under subpart DDDDD of part 97 of this chapter to units in the State for a control period in any year , the provisions of subpart DDDDD of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR SO 2 Group 2 allowances to units in the State for each such control period shall continue to apply, unless provide d otherwise by such approval of the State’s SIP revision . Subpart S --Kentucky 28 . Section 52.940 is added to read as follows:*** E.O. 12866 Review

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Page 82 of 773 § 52. 940 Interstate pollutant transport provisions; What are the FIP requirements for decreases in emissions of nitrogen oxides?
(a )(1) The owner and operator of each source and each unit located in the State of Kentucky and for which requirements are set forth under the TR NOX Annual Trading Program in subpart AAAAA of part 97 of this chapter must comply with such requirements. The obligation to comply with such requirements will be eliminated by the promulgation of an approval by the Administrator of a revisi on to Kentucky’s State Implementation Plan (SIP) as correcting the SIP’s deficiency that is the basis for the TR Federal Implementation Plan under § 52.38(a), except to the extent the Administrator’s approval is partial or conditional.
(2) Notwithstanding the provision s of paragraph ( a ) (1) of this section, if, at the time of the approval of Kentucky’s SIP revision described in paragraph (a)(1) of this section , the Administrator has already started recording any allocations of TR NOX Annual allowances under subpart AAAAA of part 97 of this chapter to units in the State for a control period in any year ,*** E.O. 12866 Review

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Page 83 of 773 the provisions of subpart AAAAA of part 97 of this chapter authorizing the Administrator to comp lete the allocation and recordation of TR NOX Annual allowances to units in the State for each such control period shall continue to apply, unless provide d otherwise by such approval of the State’s SIP revision . ( b)(1) The owner and operator of each source and each unit located in the State of Kentucky and for which requirements are set forth under the TR NOX Ozone Season Trading Program in subpart BBBBB of part 97 of this chapter must comply with such requirements. The obligation to comply with such requirements will be eliminated by the promulgation of an approval by the Administrator of a revision to Kentucky’s State Implementation Plan (SIP) as correcting the SIP’s deficiency that is the basis for the TR Federal Implementation Plan under § 52.38(b), except to the extent the Administrator’s approval is partial or conditional.
(2) Notwithstanding the provision s of paragraph ( b)(1) of this section, if, at the time of the approval of Kentucky’s SIP revision described in paragraph (b)(1 ) of this section , the Administrator has already started recording any allocations of TR NOX Ozone Season allowances under subpart BBBBB of part 97 of this chapter to units in the State for a control period in any*** E.O. 12866 Review

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Page 84 of 773 year , the provisions of subpart BBBBB of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR NOX Ozone Season allowances to units in the State for each such con trol period shall continue to apply, unless provided otherwise by such approval of the State’s SIP revision.
29. Section 52.941 is added to read as follows:
§ 52. 941 Interstate pollutant transport provisions; What are the FIP requirements for decreases in emissions of sulfur dioxide ?
(a ) The owner and operator of each source and each unit located in the State of Kentucky and for which requirements are set forth under the TR SO 2 Group 1 Trading Program in subpart CCCCC of part 97 of this chapter must comply with such requirements. The obligation to comply with such requirements will be eliminated by the promulgation of an approval by the Administrator of a revision to Kentucky’s State Implementation Plan (SIP) as correcting the SIP’s deficiency that is the basis for the TR Federal Implementation Plan under § 52.39, except to the extent the Administrator’s approval is partial or conditional.*** E.O. 12866 Review

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Page 85 of 773 (b) Notwithstanding the pr ovision s of paragraph ( a ) of this section, if, at the time of the approval of Kentucky’s SIP revision described in paragraph (a) of this section , the Administrator has already started recording any allocations of TR SO 2 Group 1 allowances under subpart CCCCC of part 97 of this chapter to units in the State for a control period in any year , the provisions of subpart CCCCC of part 97 of this chapter authorizing the Administrator to complete the alloca tion and recordation of TR SO 2 Group 1 allowances to units in the State for each such control period shall continue to apply, unless provide d otherwise by such approval of the State’s SIP revision . Subpart T—Louisiana 30. Section 52.984 is amended by adding new paragraphs (c) and (d) to read as follows:
§ 52. 984 Interstate pollutant transport provisions; What are the FIP requirements for decreases in emissions of nitrogen oxides? * * * * **** E.O. 12866 Review

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Page 86 of 773 (c) Notwithstanding any provisions of paragraphs (a) and (b) of this section and subparts AA through II and AAAA through IIII of part 97 of this chapter to the contrary: (1) With regard to any control period that begins after December 31, 2011, (i) The pr ovisions in paragraphs (a) and (b) of this section relating to NOX annual or ozone season emissions shall not be applicable; and (ii) The Administrator will not carry out any of the functions set forth for the Administrator in subparts AA through II and AAAA through IIII of part 97 of this chapter; (2) The Administrator will not deduct for excess emissions any CAIR NOX allowances or CAIR NOX Ozone Season allowances allocated for 2012 or any year thereafter; (3) By [INSERT DATE 90 DAYS AFTER PUBLICATION IN THE FEDERAL REGISTER], the Administrator will remove from the CAIR NOX Allowance Tracking System accounts all CAIR NOX allowances allocated for a control period in 2012 and any subsequent year, and, thereafter, no holding or surrender of CAIR NOX allowance s will be required with regard to emissions or excess emissions for such control periods; and*** E.O. 12866 Review

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Page 87 of 773 (4) By [INSERT DATE 90 DAYS AFTER PUBLICATION IN THE FEDERAL REGISTER], the Administrator will remove from the CAIR NOX Ozone Season Allowance Tracking System ac counts all CAIR NOX Ozone Season allowances allocated for a control period in 2012 and any subsequent year, and, thereafter, no holding or surrender of CAIR NOX Ozone Season allowances will be required with regard to emissions or excess emissions for such control periods. ( d)(1) The owner and operator of each source and each unit located in the State of Louisiana and Indian country within the borders of the State and for which requirements are set forth under the TR NOX Ozone Season Trading Program in subpart BBBBB of part 97 of this chapter must comply with such requirements. The obligation to comply with such requirements with regard to sources and units in the State will be eliminated by the promulgation of an approval by the Administrator of a revision to Louisiana’s State Implementation Plan (SIP) as correcting in part the SIP’s deficiency that is the basis for the TR Federal Implementation Plan under § 52.38(b), except to the extent the Administrator’s approval is p artial or conditional. The obligation to comply with such requirements with regard to sources and units located in Indian country within the borders of the State will not be eliminated by the promulgation of an approval by the Administrator of a revision to Louisiana’s SIP.*** E.O. 12866 Review

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Page 88 of 773 (2) Notwithstanding the provision s of paragraph ( d)(1) of this section, if, at the time of the approval of Louisiana’s SIP revision described in paragraph (d)(1) of this section , the Administrator has already started recordi ng any allocations of TR NOX Ozone Season allowances under subpart BBBBB of part 97 of this chapter to units in the State for a control period in any year , the provisions of subpart BBBBB of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR NOX Ozone Season allowances to units in the State for each such control period shall continue to apply, unless provided otherwise by such approval of the State’s SIP revision. Subpart V

— Maryland
31 . Section 52.1084 is added to read as follows:
§ 52. 1084 Interstate pollutant transport provisions; What are the FIP requirements for decreases in emissions of nitrogen oxides?
(a )(1) The owner and operator of each source and each unit located in the State of Maryland and for which requirements are*** E.O. 12866 Review

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Page 89 of 773 set forth under the TR NOX Annual Trading Program in subpart AAAAA of part 97 of this chapter must comply with such requirements. The obligation to comply with such requirements will be eliminated by the promulgation of an approval by the Administrator of a revision to Maryland’s State Implementation Plan (SIP) as correcting the SIP’s deficiency that is the basis for the TR Federal Implementation Plan under § 52.38(a), except to the extent the Administrator’s approval is partial or conditional.
(2) Notwithstanding the provision s of paragraph ( a ) (1) of this section, if, at the time of the approval of Maryland’s SIP revision des cribed in paragraph (a)(1) of this section , the Administrator has already started recording any allocations of TR NOX Annual allowances under subpart AAAAA of part 97 of this chapter to units in the State for a control period in any year , the provisions of subpart AAAAA of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR NOX Annual allowances to units in the State for each such contr ol period shall continue to apply, unless provide d otherwise by such approval of the State’s SIP revision . ( b)(1) The owner and operator of each source and each unit located in the State of Maryland and for which requirements are*** E.O. 12866 Review

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Page 90 of 773 set forth under the TR NOX Ozone Season Trading Program in subpart BBBBB of part 97 of this chapter must comply with such requirements. The obligation to comply with such requirements will be eliminated by the promulgation of an approval by the Administrator of a revision to Maryland’s State Implementation Plan (SIP) as correcting the SIP’s deficiency that is the basis for the TR Federal Implementation Plan under § 52.38(b), except to the extent the Administrator’s approval is partial or conditional.
(2) Notwithstanding the provision s of paragraph ( b)(1) of this section, if, at the time of the approval of Maryland’s SIP revision described in paragraph (b)(1) of this section , the Administrator has already started recording any allocations of TR NOX Ozone Season allowanc es under subpart BBBBB of part 97 of this chapter to units in the State for a control period in any year , the provisions of subpart BBBBB of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR NOX Ozone Season allowances to units in the State for each such control period shall continue to apply, unless provided otherwise by such approval of the State’s SIP revision.
32. Section 52.1085 is added to read as follows:*** E.O. 12866 Review

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Page 91 of 773 § 52. 1085 Interstate pollutant transport provisions; What are the FIP requirements for decreases in emissions of sulfur dioxide ?
(a ) The owner and operator of each source and each unit located in the State of Maryland and for which requirements are set forth under the TR SO 2 Group 1 Trading Program in subpart CCCCC of part 97 of this chapter must comply with such requirements. The obligation to comply with such requirements will be eliminated by the promulgation of an approval by the Administrator of a revision to Maryland’s State Implementation Plan (SIP) as correcting the SIP’s deficiency that is the basis for the TR Federal Implementation Plan under § 52.39, except to the extent the Administrator’s approval is partial or conditional.
(b) Notwithstanding the provision s of paragraph ( a ) of this section, if, at the time of the approval of Maryland’s SIP revision described in paragraph (a) of this section , the Administrator has already st arted recording any allocations of TR SO 2 Group 1 allowances under subpart CCCCC of part 97 of this chapter to units in the State for a control period in any year ,*** E.O. 12866 Review

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Page 92 of 773 the provisions of subpart CCCCC of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR SO 2 Group 1 allowances to units in the State for each such control period shall continue to apply, unless provide d otherwise by such approval of the State’s SIP revision . Subpart X

— Michigan 33. Section 52.1186 is amended by adding new paragraphs (c) and (d) to read as follows:
§ 52. 1186 Interstate pollutant transport provisions; What are the FIP requirements for decreases in emissions of nitrogen oxides? * * * * * (c) Notwithstanding any provisions of paragraphs (a) and (b) of this section and subparts AA through II and AAAA through IIII of part 97 of this chapter to the contrary: (1) With regard to any control period that begins after December 31, 2011, (i) The provisions in paragraphs (a) and (b) of this section relating to NOX annual or ozone season emissions shall not be applicable; and*** E.O. 12866 Review

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Page 93 of 773 (ii) The Administrator will not carry out any of the functions se t forth for the Administrator in subparts AA through II and AAAA through IIII of part 97 of this chapter; (2) The Administrator will not deduct for excess emissions any CAIR NOX allowances or CAIR NOX Ozone Season allowances allocated for 2012 or any year thereafter; (3) By [INSERT DATE 90 DAYS AFTER PUBLICATION IN THE FEDERAL REGISTER], the Administrator will remove from the CAIR NOX Allowance Tracking System accounts all CAIR NOX allowances allocated for a control period in 2012 and any subsequent year, and, thereafter, no holding or surrender of CAIR NOX allowances will be required with regard to emissions or excess emissions for such control periods; and (4) By [INSERT DATE 90 DAYS AFTER PUBLICATION IN THE FEDERAL REGISTER], the Administrator will remove from the CAIR NOX Ozone Season Allowance Tracking System accounts all CAIR NOX Ozone Season allowances allocated for a control period in 2012 and any subsequent year, and, thereafter, no holding or surrender of CAIR NOX Ozone Season allowances will be r equired with regard to emissions or excess emissions for such control periods. ( d)(1) The owner and operator of each source and each unit located in the State of Michigan and Indian country within the*** E.O. 12866 Review

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Page 94 of 773 borders of the State and for which requirements are se t forth under the TR NOX Annual Trading Program in subpart AAAAA of part 97 of this chapter must comply with such requirements. The obligation to comply with such requirements with regard to sources and units in the State will be eliminated by the promulgation of an approval by the Administrator of a revision to Michigan’s State Implementation Plan (SIP) as correcting in part the SIP’s deficiency that is the basis for the TR Federal Implementation Plan under § 52.38(a), except to the extent the Administrator’s approval is partial or conditional. The obligation to comply with such requirements with regard to sources and units located in Indian country within the borders of the State will not be eliminated by the promulgation of an approval by the Administrator of a revision to Mich igan’s SIP.
(2) Notwithstanding the provision s of paragraph ( d ) (1) of this section, if, at the time of the approval of Michigan’s SIP revision described in paragraph (d)(1) of this section , the Administrator has already started recording any al locations of TR NOX Annual allowances under subpart AAAAA of part 97 of this chapter to units in the State for a control period in any year , the provisions of subpart AAAAA of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR NOX Annual allowances to units in the State for*** E.O. 12866 Review

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Page 95 of 773 each such control period shall continue to apply, unless provide d otherwise by such approval of the State’s SIP r evision . (e) [Reserved] 34. Section 52.1187 is amended by designating the existing text as paragraph (a) and adding new paragraphs (b) and (c) to read as follows:
§ 52.1187 Interstate pollutant transport provisions; What are the FIP requirements for decreases in emissions of sulfur dioxide? * * * * * (b) Notwithstanding any provisions of paragraph (a) of this section and subparts AAA through III of part 97 of this chapter and any State’s SIP to the contrary: (1) With regard to any control p eriod that begins after December 31, 2011, (i) The provisions of paragraph (a) of this section relating to SO 2 emissions shall not be applicable; and*** E.O. 12866 Review

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Page 96 of 773 (ii) The Administrator will not carry out any of the functions set forth for the Administrator in subparts AAA through III of part 97 of this chapter; and (2) The Administrator will not deduct for excess emissions any CAIR SO 2 allowances allocated for 2012 or any year thereafter. ( c)(1) The owner and operator of each source and each unit located in the State of Michigan and Indian country within the borders of the State and for which requirements are set forth under the TR SO 2 Group 1 Trading Program in subpart CCCCC of part 97 of this chapter must comply with such requirements. The obligation to comply with such requirements with regard to sources and units in the State will be eliminated by the promulgation of an approval by the Administrator of a revision to Michigan’s State Implementation Plan (SIP) as correcting in part the SIP’s deficiency that is the ba sis for the TR Federal Implementation Plan under § 52.39, except to the extent the Administrator’s approval is partial or conditional. The obligation to comply with such requirements with regard to sources and units located in Indian country within the borders of the State will not be eliminated by the promulgation of an approval by the Administrator of a revision to Michigan’s SIP.*** E.O. 12866 Review

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Page 97 of 773 (2) Notwithstanding the provision s of paragraph ( c ) (1) of this section, if, at the time of the approval of Maryland’s SIP revision described in paragraph (c)(1) of this section , the Administrator has already started recording any allocations of TR SO 2 Group 1 allowances under subpart CCCCC of part 97 of this chapter to units in the State for a control period in any year , the provisions of subpart CCCCC of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR SO 2 Group 1 allowances to units in the State for each such control period shall continue to apply, unless provide d otherwise by such approval of the State’s SIP revision . Subpart Y

— Minnesota
35 . Section 52.1240 is amended by adding paragraph (c) to read as follows:
§ 52. 1240 Interstate pollutant transport provisions; What are the FIP requirements for decreases in emissions of nitrogen oxides? * * * * * (c)(1) The owner and operator of each source and each unit located in the State of Minnesota and Indian country within the borders of the State and for which requirements are set forth*** E.O. 12866 Review

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Page 98 of 773 under the TR NOX Annual Trading Program in subpart AAAAA of part 97 of this chapter must comply with such requirements. The obligation to comply with such requirements with regard to sources and units in the State will be eliminated by the promulgation of an approval by the Administrator of a revision to Minnesota’s State Implementation Plan (SIP) as correcting in part the SIP’s deficiency that is the basis for the TR Federal Implementation Plan under § 52 .38(a), except to the extent the Administrator’s approval is partial or conditional. The obligation to comply with such requirements with regard to sources and units located in Indian country within the borders of the State will not be eliminated by the p romulgation of an approval by the Administrator of a revision to Minnesota’s SIP.
(2) Notwithstanding the provision s of paragraph (c)(1) of this section, if, at the time of the approval of Minnesota’s SIP revision described in paragraph (c)(1) of this sec tion , the Administrator has already started recording any allocations of TR NOX Annual allowances under subpart AAAAA of part 97 of this chapter to units in the State for a control period in any year , the provisions of subpart AAAAA of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR NOX Annual allowances to units in the State for each such control period shall continue to apply, un less*** E.O. 12866 Review

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Page 99 of 773 provide d otherwise by such approval of the State’s SIP revision . 36. Section 52.1241 is amended by adding paragraph (c) to read as follows:
§ 52. 1241 Interstate pollutant transport provisions; What are the FIP requirements for decreases in emissions of sulfur dioxide ? * * * * * ( c)(1) The owner and operator of each source and each unit located in the State of Minnesota and Indian country within the borders of the State and for which requirements are set forth under the TR SO 2 Group 2 Trading Program in subpart DDDDD of part 97 of this chapter must comply with such requirements. The obligation to comply with such requirements with regard to sour ces and units in the State will be eliminated by the promulgation of an approval by the Administrator of a revision to Minnesota’s State Implementation Plan (SIP) as correcting in part the SIP’s deficiency that is the basis for the TR Federal Implementatio n Plan under § 52.39, except to the extent the Administrator’s approval is partial or conditional. The obligation to comply with such requirements with regard to sources and units located in Indian country within the borders*** E.O. 12866 Review

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Page 100 of 773 of the State will not be elimin ated by the promulgation of an approval by the Administrator of a revision to Minnesota’s SIP.
(2) Notwithstanding the provision s of paragraph ( c ) (1) of this section, if, at the time of the approval of Minnesota’s SIP revision described in paragraph (c)(1) of this section , the Administrator has already started recording any allocations of TR SO 2 Group 2 allowances under subpart DDDDD of part 97 of this chapter to units in the State for a control period in any year , the provisions of subpart DDDDD of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR SO 2 Group 2 allowances to units in the State for each such control period shall continue to apply, unless provide d otherwise by such approval of the State’s SIP revision . Subpart Z—

Mississippi
37 . Section 52.1284 is added to read as follows:
§ 52. 1284 Interstate pollutant transport provisions; What are the FIP requirements for decreases in emissions of nitrogen oxides?*** E.O. 12866 Review

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Page 101 of 773 ( a) The owner and operator of each source and each unit located in the State of Mississippi and Indian country within the borders of the State and for which requirements are set forth under the TR NOX Ozone Season Trading Program in subpart BBBBB of part 97 of this chapter must comply with such requirements. The obligation to comply with such requirements with regard to sources and units in the State will be eliminated by the promulgation of an approval by the Administrator of a revision to Mississippi’s State Implementation Plan (SIP) as correcting in part the SIP’s deficiency that is the basis for the TR Federal Implementation Plan under § 52.38(b), except to the extent the Administrator’s approval is partial or conditional. The obligation to comply with such requirements with regard to sources and units located in Indian country within the borders of the State will not be eliminated by the promulgation of an approval by the Administrator of a revision to Mississippi’s SIP.
(b) Notwithstanding the provision s of paragraph ( a) of this section, if, at the time of the approval of Mississippi’s SIP revision described in paragraph (a) of this section , the Administr ator has already started recording any allocations of TR NOX Ozone Season allowances under subpart BBBBB of part 97 of this chapter to units in the State for a control period in any*** E.O. 12866 Review

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Page 102 of 773 year , the provisions of subpart BBBBB of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR NOX Ozone Season allowances to units in the State for each such control period shall continue to app ly, unless provided otherwise by such approval of the State’s SIP revision. Subpart AA

— Missouri
38 . Section 52.1341 is added to read as follows:
§ 52. 1341 Interstate pollutant transport provisions; What are the FIP requirements for decreases in emissions of nitrogen oxides?
( a )(1) The owner and operator of each source and each unit located in the State of Missouri and for which requirements are set forth under the TR NOX Annual Trading Program in subpart AAAAA of part 97 of this chapter must comply with such requirements. The obligation to comply with such requirements will be eliminated by the promulgation of an approval by the Administrator of a revision to Missouri’s State Implementation Plan (SIP) as correcting the SIP’s deficiency that is the basis for the TR Federal Implementation Plan under § 52.38(a), except*** E.O. 12866 Review

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Page 103 of 773 to the extent the Administrator’s approval is partial or conditional.
(2) Notwithstanding the provision s of paragraph ( a ) (1) of this section, if, at the time of the approval of Missou ri’s SIP revision described in paragraph (a)(1) of this section , the Administrator has already started recording any allocations of TR NOX Annual allowances under subpart AAAAA of part 97 of this chapter to units in the State for a control period in any year , the provisions of subpart AAAAA of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR NOX Annual allowances to units in the State for each such control period shall continue to apply, unless provide d otherwise by such approval of the State’s SIP revision . (b) [Reserved]
39. Section 52.1342 is added to read as follows:
§ 52. 1342 Interstate pollutant transport provisions; What are the FIP requirements for decreases in emissions of sulfur dioxide ?*** E.O. 12866 Review

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Page 104 of 773 (a ) The owner and operator of each source and each unit located in the State of Missouri and for which requirements are set forth under the TR SO 2 Group 1 Trading Program in subpart CCCCC of part 97 of this chapter must comply with such requirements. The obligation to comply with such requirements will be eliminated by the promulgation of an approval by the Administrator of a revisi on to Missouri’s State Implementation Plan (SIP) as correcting the SIP’s deficiency that is the basis for the TR Federal Implementation Plan under § 52.39, except to the extent the Administrator’s approval is partial or conditional.
(b) Notwithstanding the provision s of paragraph ( a ) of this section, if, at the time of the approval of Missouri’s S IP revision described in paragraph (a) of this section , the Administrator has already started recording any allocations of TR SO 2 Group 1 allowances under subpart CCCCC of part 97 of this chapter to units in the State for a control period in any year , the provisions of subpart CCCCC of part 97 of this chapter authorizing the Administrator to complete the alloca tion and recordation of TR SO 2 Group 1 allowances to units in the State for each such control period shall continue to apply, unless provide d otherwise by such approval of the State’s SIP revision .*** E.O. 12866 Review

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Page 105 of 773 Subpart CC—

Nebraska
40 . Section 52.1428 is added to read as follows:
§ 52. 1428 Interstate pollutant transport provisions; What are the FIP requirements for decreases in emissions of nitrogen oxides?
( a) The owner and operator of each source and each unit located in the State of Nebr aska and Indian country within the borders of the State and for which requirements are set forth under the TR NOX Annual Trading Program in subpart AAAAA of part 97 of this chapter must comply with such requirements. The obligation to comply with such requirements with regard to sources and units in the State will be eliminated by the promulgation of an approval by the Administrator of a revision to Nebraska’s State Implementation Plan (SIP) as correcting in part the SIP’s deficiency that is the basis for the TR Federal Implementation Plan under § 52.38(a), except to the extent the Administrator’s approval is partial or conditional. The obligation to comply with such requirements with regard to sources and units located in Indian country within the borders of the State will not be eliminated by the promulgation of an approval by the Administrator of a revision to Nebraska’s SIP.*** E.O. 12866 Review

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Page 106 of 773 (b) Notwithstanding the provision s of paragraph ( a ) of this section, if, at the time of the approval of Nebraska’s SIP revision described in paragraph (a) of this section , the Administrator has already started recording any allocations of TR NOX Annual allowances under subpart AAAAA of part 97 of this chapter to units in the State for a control period in any year , the provisions of subpart AAAAA of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR NOX Annual allowances to units in the State for each such control period shall continue to apply, unless provide d otherwise by such approval of the State’s SIP revision .
41. Section 52.1429 is added to read as follows:

§ 52. 1429 Interstate pollutant transport provisions; What are the FIP requirements for decreases in emissions of sulfur dioxide ?
(a ) The owner and operator of each source and each unit located in the State of Nebraska and Indian country within the borders of the State and for which requirements are set forth under the TR SO 2 Group 2 Trading Program in subpart DDDDD of part 97 of*** E.O. 12866 Review

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Page 107 of 773 this chapter must comply with such requirements. The obligation to comply with such requirements with regard to sources and units in the State will be eliminated by the promulgation of an approval by the Administrator of a revision to Nebraska’s State Implementation Plan (SIP) as correcting in part the SIP’s deficiency that is the basis for the TR Federal Implementation Plan under § 52.39, except to the extent the Administrator’s approval is partial or conditional. The obligation to comply with such requirements with regard to sources and units located in Indian country within the borders of the State will not be eliminated by the promulgation of an approval by the Administrator of a revision to Nebras ka’s SIP.
(b) Notwithstanding the provision s of paragraph ( a ) of this section, if, at the time of the approval of Nebraska’s S IP revision described in paragraph (a) of this section , the Administrator has already started recording any allocations of TR SO 2 Group 2 allowances under subpart DDDDD of part 97 of this chapter to units in the State for a control period in any year , the provisions of subpart DDDDD of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR SO 2 Group 2 allowances to units in the State for each such control period shall continue to apply, unless provide d otherwise by such approval of the State’s SIP revision .*** E.O. 12866 Review

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Page 108 of 773 Subpart FF

— New Jersey 42. Section 52.1584 is amended by adding new paragraphs (c), (d), and (e) to read as follows:
§ 52.1584 Interstate pollutant transport provisions; What are the FIP requirements for decreases in emissions of nitrogen oxides? * * * * * (c) Notwithstanding any provisions of paragraphs (a) and (b) of this section and subparts AA through II and AAAA through IIII of part 97 of this chapter to the contrary: (1) With regard to any control period that begins after Decembe r 31, 2011, (i) The provisions in paragraphs (a) and (b) of this section relating to NOX annual or ozone season emissions shall not be applicable; and (ii) The Administrator will not carry out any of the functions set forth for the Administrator in subpart s AA through II and AAAA through IIII of part 97 of this chapter;*** E.O. 12866 Review

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Page 109 of 773 (2) The Administrator will not deduct for excess emissions any CAIR NOX allowances or CAIR NOX Ozone Season allowances allocated for 2012 or any year thereafter; (3) By [INSERT DATE 90 DAYS AFTER PUBLICATION IN THE FEDERAL REGISTER], the Administrator will remove from the CAIR NOX Allowance Tracking System accounts all CAIR NOX allowances allocated for a control period in 2012 and any subsequent year, and, thereafter, no holding or surrender of CAIR NOX allowances will be required with regard to emissions or excess emissions for such control periods; and (4) By [INSERT DATE 90 DAYS AFTER PUBLICATION IN THE FEDERAL REGISTER], the Administrator will remove from the CAIR NOX Ozone Season Allowance Tracking System accounts all CAIR NOX Ozone Season allowances allocated for a control period in 2012 and any subsequent year, and, thereafter, no holding or surrender of CAIR NOX Ozone Season allowances will be required with regard to emissions or exce ss emissions for such control periods.
( d)(1) The owner and operator of each source and each unit located in the State of New Jersey and for which requirements are set forth under the TR NOX Annual Trading Program in subpart AAAAA of part 97 of this chapter must comply with such requirements. The obligation to comply with such requirements*** E.O. 12866 Review

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Page 110 of 773 will be eliminated by the promulgation of an approval by the Administrator of a revision to New Jersey’ s State Implementation Plan (SIP) as correcting the SIP’s deficiency that is the basis for the TR Federal Implementation Plan under § 52.38(a), except to the extent the Administrator’s approval is partial or conditional.
(2) Notwithstanding the provision s of paragraph ( d ) (1) of this section, if, at the time of the approval of New Jersey’s SIP revision described in paragraph (d)(1) of this section , the Administrator has already started recording any allocations of TR NOX Annual allowances unde r subpart AAAAA of part 97 of this chapter to units in the State for a control period in any year , the provisions of subpart AAAAA of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR NOX Annual allowances to units in the State for each such control period shall continue to apply, unless provide d otherwise by such approval of the State’s SIP revision . ( e)(1) The owner and operator of each source and each unit located in the State of New Jersey and for which requirements are set forth under the TR NOX Ozone Season Trading Program in subpart BBBBB of part 97 of this chapter must comply with such requirements. The obligation to comply with such requirements*** E.O. 12866 Review

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Page 111 of 773 will be eliminated by the promulgation of an approval by the Administrator of a revision to New Jersey’s State Implementation Plan (SIP) as correcting the SIP’s deficiency that is the basis for the TR Federal Implementation Plan under § 52.38(b), except to the extent the Administrator’s approval is partial or conditional.
(2) Notwithstanding the provi sion s of paragraph ( e)(1) of this section, if, at the time of the approval of New Jersey’s SIP revision described in paragraph (e)(1) of this section , the Administrator has already started recording any allocations of TR NOX Ozone Season allowanc es under subpart BBBBB of part 97 of this chapter to units in the State for a control period in any year , the provisions of subpart BBBBB of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR NOX Ozone Season allowances to units in the State for each such control period shall continue to apply, unless provided otherwise by such approval of the State’s SIP revision. 43. Section 52.1585 is amended by designating the existing text as paragraph (a) and adding new paragraphs (b) and (c) to read as follows:*** E.O. 12866 Review

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Page 112 of 773 § 52.1585 Interstate pollutant transport provisions; What are the FIP requirements for decreases in emissions of sulfur dioxide? * * * * * (b) Notwithstanding any provisions of paragraph (a) of this section and subparts AAA through III of part 97 of this chapter and any State’s SIP to the contrary: (1) With regard to any control period that begins after December 31, 2011, (i) The provisions of paragraph (a) of this section relating to SO 2 emissions shall not be applicable; and (ii) The Administrator will not carry out any of the functions set forth for the Administrator in subpart s AAA through III of part 97 of this chapter; and (2) The Administrator will not deduct for excess emissions any CAIR SO 2 allowances allocated for 2012 or any year thereafter.
( c)(1) The owner and operator of each source and each unit located in the State of New Jersey and for which requirements are set forth under the TR SO 2 Group 1 Trading Program in subpart CCCCC of part 97 of this chapter must comply with such*** E.O. 12866 Review

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Page 113 of 773 requirements. The obligation to comply with such requirements will be eliminated by the promulgation of an approval by the Administrator of a revision to New Jersey’s State Implementation Plan (SIP) as correcting the SIP’s deficiency that is the basis for the TR Federal Implementation Plan under § 52.39, except to the extent the Administrator’s approval is partial or conditional.
(2) Notwithstanding the provision s of paragraph ( c ) (1) of this section, if, at the time of the approval of New Jersey’s SIP revision described in paragraph (c)(1) of this section , the Administrator has already started recording any allocations of TR SO 2 Group 1 allowances under subpart CCCCC of part 97 of this chapter to units in the State for a control period in any year , the provisions of subpart CCCCC of part 9 7 of this chapter authorizing the Administrator to complete the allocation and recordation of TR SO 2 Group 1 allowances to units in the State for each such control period shall continue to apply, unless provide d otherwise by such approval of the State’s SIP revision . Subpart HH

— New York

44 . Section 52.1684 is revised to read as follows:*** E.O. 12866 Review

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Page 114 of 773 § 52. 1684 Interstate pollutant transport provisions; What are the FIP requirements for decreases in emissions of nitrogen oxides?
(a )(1) The owner and operator of each source and each unit located in the State of New York and Indian country within the borders of the State and for which requirements are set forth under the TR NOX Annual Trading Program in subpart AAAAA of part 97 of thi s chapter must comply with such requirements. The obligation to comply with such requirements with regard to sources and units in the State will be eliminated by the promulgation of an approval by the Administrator of a revision to New York’s State Implementation Plan (SIP) as correcting in part the SIP’s deficiency that is the basis for the TR Federal Implementation Plan under § 52.38(a), except to the extent the Administrator’s approval is partial or conditional. The obligation to comply with such requir ements with regard to sources and units located in Indian country within the borders of the State will not be eliminated by the promulgation of an approval by the Administrator of a revision to New York’s SIP.
(2) Notwithstanding the provision s of paragraph ( a ) (1) of this section, if, at the time of the approval of New York’s SIP revision described in paragraph (a)(1) of this section , the*** E.O. 12866 Review

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Page 115 of 773 Administrator has already started recording any allocations of TR NOX Annual allowances under subpart AAAAA of part 97 of this chapter to units in the State for a control period in any year , the provisions of subpart AAAAA of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR NOX Annual allowances to units in the State for each such control period shall continue to apply, unless provide d otherwise by such approval of the State’s SIP revision . ( b)(1) The owner and operator of each source and each unit located in the State of New York and Indian country within the borders of the State and for which requirements are set forth under the TR NOX Ozone Season Trading Program in subpart BBBBB of part 97 of this chapter must comply with such requirements. The obligation to comply with such requirements with regard to sources and units in the State will be eliminated by the promulgation of an approval by the Administrator of a revision to New York’s State Implementation Plan (SIP) as correcting in part the SIP’s deficiency that is the basis for the TR Federal Implementation Plan under § 52.38(b), except to the extent the Administrator’s approval is partial or conditional. The obligation to comply with such requirements with regard to sources and units locate d in Indian country within the borders*** E.O. 12866 Review

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Page 116 of 773 of the State will not be eliminated by the promulgation of an approval by the Administrator of a revision to New York’s SIP.
(2) Notwithstanding the provision s of paragraph ( b)(1) of this section, if, at the time of the approval of New York’s SIP revision described in paragraph (b)(1) of this section , the Administrator has already started recording any allocations of TR NOX Ozone Season allowances under subpart BBBBB of part 97 of this chapter to units in the State for a control period in any year , the provisions of subpart BBBBB of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR NOX Ozone Season a llowances to units in the State for each such control period shall continue to apply, unless provided otherwise by such approval of the State’s SIP revision.
45. Section 52.1685 is added to read as follows:
§ 52. 1685 Interstate pollutant transport provisions; What are the FIP requirements for decreases in emissions of sulfur dioxide ?
(a ) The owner and operator of each source and each unit located in the State of New York and Indian country within the borders*** E.O. 12866 Review

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Page 117 of 773 of the State and for which requirements are set forth under the TR SO 2 Group 1 Trading Program in subpart CCCCC of part 97 of this chapter must comply with such requirements. The obligation to comply with such requirements with regard to sources and units in the State will be eliminated by the promulgation of an approval by the Administrator of a revision to New York’s State Implementation Plan (SIP) as correcting in part the SIP’s deficiency that is the basis for the TR Federal Implementation Plan under § 52.39, except to the extent the Administrator’s approval is partial or conditional. The obligation to comply with such requirements with regard to sources and units located in Indian country within the borders of the State will not be eliminated by the promulga tion of an approval by the Administrator of a revision to New York’s SIP.
(b) Notwithstanding the provision s of paragraph ( a ) of this section, if, at the time of the approval of New York’s SIP revision described in paragraph (a) of this section , the Admin istrator has already started recording any allocations of TR SO 2 Group 1 allowances under subpart CCCCC of part 97 of this chapter to units in the State for a control period in any year , the provisions of subpart CCCCC of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR SO 2 Group 1 allowances to units in the State*** E.O. 12866 Review

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Page 118 of 773 for each such control period shall continue to apply, unless provide d otherwise by such approval of the State’s SIP revision . Subpart II—

North Carolina
46 . Section 52.1784 is revised to read as follows:
§ 52. 1784 Interstate pollutant transport provisions; What are the FIP requirements for decreases in emissions of nitrogen oxides?
(a )(1) The owner and operator of each source and each unit located in the State of North Carolina and Indian country within the borders of the State and for which requirements are set forth under the TR NOX Annual Trading Pro gram in subpart AAAAA of part 97 of this chapter must comply with such requirements. The obligation to comply with such requirements with regard to sources and units in the State will be eliminated by the promulgation of an approval by the Administrator o f a revision to North Carolina’s State Implementation Plan (SIP) as correcting in part the SIP’s deficiency that is the basis for the TR Federal Implementation Plan under § 52.38(a), except to the extent the Administrator’s approval is partial or conditiona l. The obligation to comply with such requirements*** E.O. 12866 Review

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Page 119 of 773 with regard to sources and units located in Indian country within the borders of the State will not be eliminated by the promulgation of an approval by the Administrator of a revision to North Carolina’s SIP.
(2) Notwithstanding the provision s of paragraph ( a ) (1) of this section, if, at the time of the approval of North Carolina’s SIP revision described in paragraph (a)(1) of this section , the Administrator has already started recording any allocations of TR NOX Annual allowances under subpart AAAAA of part 97 of this chapter to units in the State for a control period in any year , the provisions of subpart AAAAA of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR NOX Annual allowances to units in the State for each such control period shall continue to apply, unless provide d otherwise by such approval of the State’s SIP revision . ( b)(1) The owner and operator of each source and each unit located in the State of North Carolina and Indian country within the borders of the State and for which requirements are set forth under the TR NOX Ozone Season Trading Program in subpart BBBBB of part 97 of this chapter must comply with such requirements. The obligation to comply with such requirements with regard to sources and units in the State will be eliminated*** E.O. 12866 Review

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Page 120 of 773 by the promulgation of an approval by the Administrator of a rev ision to North Carolina’s State Implementation Plan (SIP) as correcting in part the SIP’s deficiency that is the basis for the TR Federal Implementation Plan under § 52.38(b), except to the extent the Administrator’s approval is partial or conditional. The obligation to comply with such requirements with regard to sources and units located in Indian country within the borders of the State will not be eliminated by the promulgation of an approval by the Administrator of a revision to North Carolina’s SIP.
(2) Notwithstanding the provision s of paragraph ( b)(1) of this section, if, at the time of the approval of North Carolina’s SIP revision described in paragraph (b)(1) of this section , the Administrator has already started recording any allocatio ns of TR NOX Ozone Season allowances under subpart BBBBB of part 97 of this chapter to units in the State for a control period in any year , the provisions of subpart BBBBB of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR NOX Ozone Season allowances to units in the State for each such control period shall continue to apply, unless provided otherwise by such approval of the State’s SIP revision.*** E.O. 12866 Review

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Page 121 of 773 47. Section 52.1785 is revised to read as follows:
§ 52. 1785 Interstate pollutant transport provisions; What are the FIP requirements for decreases in emissions of sulfur dioxide ?
(a ) The owner and operator of each source and each unit located in the State of North Carolina and Indian country within the borders of the State and for which requirements are set forth under the TR SO 2 Group 1 Trading Program in subpart CCCCC of part 97 of this chapter must comply with such requirements. The obligation to comply with such requirements with regard to sources and units in the State will be eliminated by the promulgation of an approval by the Administrator of a revision to North Carolina’s State Implementation Plan (SIP) as correcting in part the SIP’s deficiency that is the basis for the TR Federal Implementation Plan under § 52.39, except to the extent the Administrator’s approval is part ial or conditional. The obligation to comply with such requirements with regard to sources and units located in Indian country within the borders of the State will not be eliminated by the promulgation of an approval by the Administrator of a revision to North Carolina’s SIP.*** E.O. 12866 Review

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Page 122 of 773 (b) Notwithstanding the provision s of paragraph ( a ) of this section, if, at the time of the approval of North Carolina’s SIP revision described in paragraph (a) of this section , the Administrator has already started recording any allocations of TR SO 2 Group 1 allowances under subpart CCCCC of part 97 of this chapter to units in the State for a control period in any year , the provisions of subpart CCCCC of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR SO 2 Group 1 allowances to units in the State for each such control period shall continue to apply, unless provide d otherwise by such approval of the State’s SIP revision . Subpart KK

— Ohio
48 . Section 52.1891 is added to read as follows:
§ 52. 1891 Interstate pollutant transport provisions; What are the FIP requirements for decreases in emissions of nitrogen oxides?
(a )(1) The owner and operator of each source and each unit located in the State of Ohio and for which requirements are set forth under the TR NOX Annual Trading Program in subpart AAAAA of part 97 of this chapter must comply with such requirements. The*** E.O. 12866 Review

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Page 123 of 773 obligation to comply with such requirements will be eliminated by the promulgation of an approval by the Administrator of a revision to Ohio’s State Implementation Plan (SIP) as correcting the SIP’s deficiency that is the basis for the TR Federal Implement ation Plan under § 52.38(a), except to the extent the Administrator’s approval is partial or conditional.
(2) Notwithstanding the provision s of paragraph ( a ) (1) of this section, if, at the time of the approval of Ohio’s SIP revision described in paragraph (a)(1) of this section , the Administrator has already started recording any allocations of TR NOX Annual allowances under subpart AAAAA of part 97 of this chapter to units in the State for a control period in any year , the provisions of subpart AAAAA of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR NOX Annual allowances to units in the State for each such control p eriod shall continue to apply, unless provide d otherwise by such approval of the State’s SIP revision . ( b)(1) The owner and operator of each source and each unit located in the State of Ohio and for which requirements are set forth under the TR NOX Ozone Season Trading Program in subpart BBBBB of part 97 of this chapter must comply with such requirements. The obligation to comply with such requirements*** E.O. 12866 Review

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Page 124 of 773 will be eliminated by the promulgation of an approval by the Administrator of a revision to Ohio’ s State Implementation Plan (SIP) as correcting the SIP’s deficiency that is the basis for the TR Federal Implementation Plan under § 52.38(b), except to the extent the Administrator’s approval is partial or conditional.
(2) Notwithstanding the provision s of paragraph ( b)(1) of this section, if, at the time of the approval of Ohio’s SIP revision described in paragraph (b)(1) of this section , the Administrator has already started recording any allocations of TR NOX Ozone Season allowances unde r subpart BBBBB of part 97 of this chapter to units in the State for a control period in any year , the provisions of subpart BBBBB of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR NOX Ozone Season allowances to units in the State for each such control period shall continue to apply, unless provided otherwise by such approval of the State’s SIP revision. 49. Section 52.1892 is added to read as follows:
§ 52. 1892 Interstate pollutant transport provisions; What are the FIP requirements for decreases in emissions of sulfur dioxide ?*** E.O. 12866 Review

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Page 125 of 773 (a ) The owner and operator of each source and each unit located in the State of Ohio and for which requirements are set forth under the TR SO 2 Group 1 Trading Program in subpart CCCCC of part 97 of this chapter must comply with such requirements. The obligation to comply with such requirements will be elimina ted by the promulgation of an approval by the Administrator of a revision to Ohio’s State Implementation Plan (SIP) as correcting the SIP’s deficiency that is the basis for the TR Federal Implementation Plan under § 52.39, except to the extent the Administr ator’s approval is partial or conditional.
(b) Notwithstanding the provision s of paragraph ( a ) of this section, if, at the time of the approval of Ohio’s SIP revision described in paragraph (a) of this section , the Administrator has already started recording any allocations of TR SO 2 Group 1 allowances under subpart CCCCC of part 97 of this chapter to units in the State for a control period in any year , the provisions of subpart CCCCC of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR SO 2 Group 1 allowances to units in the State for each such control period shall continue to apply, unless provide d otherwise by such approval of the State’s SIP revision .*** E.O. 12866 Review

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Page 126 of 773 Subpart NN

—Pennsylvania
50 . Section 52.2040 is added to read as follows:
§ 52. 2040 Interstate pollutant transport provisions; What are the FIP requirements for decreases in emissions of nitrogen oxides?
(a )(1) The owner and operator of each source and each unit located in the State of Pennsylvania and for which requirements are set forth under the TR NOX Annual Trading Program in subpart AAAAA of part 97 of this chapter must comply with such requirements. The obligation to comply with such requirements will be eliminated by the promulgation of an approval by the Administrator of a revision to Pennsylvania’s State Implementation Plan (SIP) as correcting the SIP’s deficiency that is the basis for the TR Federal Implementation Plan under § 52.38(a), except to the extent the Administrator’s approval is partial or conditional.
(2) Notwithstanding the provision s of paragraph ( a ) (1) of this section, if, at the time of the approval of Pennsylvania’s SIP revision described in paragraph (a)(1) of this section , the Administrator has already started recording any allocations of*** E.O. 12866 Review

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Page 127 of 773 TR NOX Annual allowances under subpart AAAAA of part 97 of this chapter to units in the State for a control period in any year , the provisions of subpart AAAAA of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR NOX Annual allowances to units in the State for each such control period shall continue to apply, unless provide d otherwise by such approval of the State’s SIP revision . ( b)(1) The owner and operator of each source and each unit located in the State of Pennsylvania and for which requirements are set forth under the TR NOX Ozone Season Trading Program in subpart BBBBB of part 97 of this chapter must comply with such requirements. The obligation to comply with such requirements will be eliminated by the promulgation of an approval by the Administrator of a revision to Pennsylvania’s State Implementation Plan (SIP) as correcting the SIP’s deficiency that is the basis for the TR Federal Implementation Plan under § 52.38(b), except to the extent the Administrator’s approval is partial or conditional.
(2) Notwithstanding the provision s of paragraph ( b)(1) of this section, if, at the time of the approval of Pennsylvania’s SIP revision described in paragraph (b)(1) of this section , the Administrator has already started recording any allocations of*** E.O. 12866 Review

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Page 128 of 773 TR NOX Ozone Season allowances under subpart BBBBB of part 97 of this chapter to units in the State for a control period in any year , the provisions of subpart BBBBB of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR NOX Ozone Season allowances to units in the State for each such control period shall continue to apply, unless provided otherwise by such approval of the State’s SIP revision.
51. Section 52.2041 is added to read as follows:
§ 52. 2041 Interstate pollutant transport provisions; What are the FIP requirements for decreases in emissions of sulfur dioxide ?
(a ) The owner and operator of each source and each unit located in the State of Pennsylvania and for which requirements are set forth under the TR SO 2 Group 1 Trading Program in subpart CCCCC of part 97 of this chapter must comply with such requirements. The obligation to comply with such requirements will be eliminated by the promulgation of an approval by the Administrator of a revision to Pennsylvania’s State Implementation Plan (SIP) as correcting the SIP’s deficiency that is the basis for the TR Federal Implementation Plan under*** E.O. 12866 Review

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Page 129 of 773 § 52.39, except to the exte nt the Administrator’s approval is partial or conditional.
(b) Notwithstanding the provision s of paragraph ( a ) of this section, if, at the time of the approval of Pennsylvania’s SIP revision described in paragraph (a) of this section , the Administrator ha s already started recording any allocations of TR SO 2 Group 1 allowances under subpart CCCCC of part 97 of this chapter to units in the State for a control period in any year , the provisions of subpart CCCCC of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR SO 2 Group 1 allowances to units in the State for each such control period shall continue to apply, unless provide d otherwise by such approval of the State’s SIP revision . Subpart PP

—South Carolina
52 . Section 52.2140 is revised to read as follows:
§ 52. 2140 Interstate pollutant transport provisions; What are the FIP requirements for decreases in emissions of nitrogen oxides?*** E.O. 12866 Review

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Page 130 of 773 (a )(1) The owner and operator of each source and each unit located in the State of South Carolina and Indian country within the borders of the State and for which requirements are set forth under the TR NOX Annual Trading Program in subpa rt AAAAA of part 97 of this chapter must comply with such requirements. The obligation to comply with such requirements with regard to sources and units in the State will be eliminated by the promulgation of an approval by the Administrator of a revision to South Carolina’s State Implementation Plan (SIP) as correcting in part the SIP’s deficiency that is the basis for the TR Federal Implementation Plan under § 52.38(a), except to the extent the Administrator’s approval is partial or conditional. The obligation to comply with such requirements with regard to sources and units located in Indian country within the borders of the State will not be eliminated by the promulgation of an approval by the Administrator of a revision to South Carolina’s SIP.
(2) Notwithstanding the provision s of paragraph ( a ) (1) of this section, if, at the time of the approval of South Carolina’s SIP revision described in paragraph (a)(1) of this section , the Administrator has already started recording any allocations of TR NOX Annual allowances under subpart AAAAA of part 97 of this chapter to units in the State for a control period in any year ,*** E.O. 12866 Review

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Page 131 of 773 the provisions of subpart AAAAA of part 97 of this chapter authorizing the Administ rator to complete the allocation and recordation of TR NOX Annual allowances to units in the State for each such control period shall continue to apply, unless provide d otherwise by such approval of the State’s SIP revision . ( b)(1) The owner and operator of each source and each unit located in the State of South Carolina and Indian country within the borders of the State and for which requirements are set forth under the TR NOX Ozone Season Trading Program in subpart BBBBB of part 97 of this chapter must comply with such requirements. The obligation to comply with such requirements with regard to sources and units in the State will be eliminated by the promulgation of an approval by the Administrator of a revision to South Carolina’s Sta te Implementation Plan (SIP) as correcting in part the SIP’s deficiency that is the basis for the TR Federal Implementation Plan under § 52.38(b), except to the extent the Administrator’s approval is partial or conditional. The obligation to comply with su ch requirements with regard to sources and units located in Indian country within the borders of the State will not be eliminated by the promulgation of an approval by the Administrator of a revision to South Carolina’s SIP.*** E.O. 12866 Review

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Page 132 of 773 (2) Notwithstanding the provision s of paragraph ( b)(1) of this section, if, at the time of the approval of South Carolina’s SIP revision described in paragraph (b)(1) of this section , the Administrator has already started recording any allocations of TR NOX Ozone Seaso n allowances under subpart BBBBB of part 97 of this chapter to units in the State for a control period in any year , the provisions of subpart BBBBB of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR NOX Ozone Season allowances to units in the State for each such control period shall continue to apply, unless provided otherwise by such approval of the State’s SIP revision.
53. Section 52.2141 is revised to read as follows:
§ 52. 2141 Interstate pollutant transport provisions; What are the FIP requirements for decreases in emissions of sulfur dioxide ?
(a ) The owner and operator of each source and each un it located in the State of South Carolina and Indian country within the borders of the State and for which requirements are set forth under the TR SO 2 Group 2 Trading Program in subpart DDDDD of part 97 of this chapter must comply with such requirements. The*** E.O. 12866 Review

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Page 133 of 773 obligation to comply with such requirements with regard to sources and units in the State will be eliminated by the promulgation of an approval by the Administrator of a revision to South Carolina’s State Implementation Plan (SIP) as correcting in part the SIP’s deficiency that is the basis for the TR Federal Implementation Plan under § 52.39, except to the extent the Administrator’s approval is part ial or conditional. The obligation to comply with such requirements with regard to sources and units located in Indian country within the borders of the State will not be eliminated by the promulgation of an approval by the Administrator of a revision to South Carolina’s SIP.
(b) Notwithstanding the provision s of paragraph ( a ) of this section, if, at the time of the approval of South Carolina’s SIP revision described in paragraph (a) of this section , the Administrator has already started recording any allocations of TR SO 2 Group 1 allowances under subpart CCCCC of part 97 of this chapter to units in the State for a control period in any year , the provisions of subpart CCCCC of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR SO 2 Group 1 allowances to units in the State for each such control period shall continue to apply, unless provide d otherwise by such approval of the State’s SIP revision .*** E.O. 12866 Review

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Page 134 of 773 Subpart RR

—Tennessee 54. Section 52.2240 is amended by adding new paragraphs (c), (d), and (e) to read as follows:
§ 52.2240 Interstate pollutant transport provisions; What are the FIP requirements for decreases in emissions of nitrogen oxides? * * * * * (c) Notwithstanding any provisions of paragraphs (a) and (b) of this section and subparts AA through II and AAAA through IIII of part 97 of this chapter to the contrary: (1) With regard to any contr ol period that begins after December 31, 2011, (i) The provisions in paragraphs (a) and (b) of this section relating to NOX annual or ozone season emissions shall not be applicable; and (ii) The Administrator will not carry out any of the functions set for th for the Administrator in subparts AA through II and AAAA through IIII of part 97 of this chapter; and*** E.O. 12866 Review

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Page 135 of 773 (2) The Administrator will not deduct for excess emissions any CAIR NOX allowances or CAIR NOX Ozone Season allowances allocated for 2012 or any year thereafter; (3) By [INSERT DATE 90 DAYS AFTER PUBLICATION IN THE FEDERAL REGISTER], the Administrator will remove from the CAIR NOX Allowance Tracking System accounts all CAIR NOX allowances allocated for a control period in 2012 and any subsequent year, an d, thereafter, no holding or surrender of CAIR NOX allowances will be required with regard to emissions or excess emissions for such control periods; and (4) By [INSERT DATE 90 DAYS AFTER PUBLICATION IN THE FEDERAL REGISTER], the Administrator will remove from the CAIR NOX Ozone Season Allowance Tracking System accounts all CAIR NOX Ozone Season allowances allocated for a control period in 2012 and any subsequent year, and, thereafter, no holding or surrender of CAIR NOX Ozone Season allowances will be required with regard to emissions or excess emissions for such control periods.
( d)(1) The owner and operator of each source and each unit located in the State of Tennessee and for which requirements are set forth under the TR NOX Annual Trading Program in subpart AAAAA of part 97 of this chapter must comply with such requirements. The obligation to comply with such requirements*** E.O. 12866 Review

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Page 136 of 773 will be eliminated by the promulgation of an approval by the Administrator of a revision to Tennessee’s State Implementation Plan (SIP) as correcting the SIP’s deficiency that is the basis for the TR Federal Implementation Plan under § 52.38(a), except to the extent the Administrator’s approval is partial or conditional. The obligation to comply with such r equirements with regard to sources and units located in Indian country within the borders of the State will not be eliminated by the promulgation of an approval by the Administrator of a revision to Tennessee’s SIP.
(2) Notwithstanding the provision s of p aragraph ( d ) (1) of this section, if, at the time of the approval of Tennessee’s SIP revision described in paragraph (d)(1) of this section , the Administrator has already started recording any allocations of TR NOX Annual allowances under subpart AAAAA of part 97 of this chapter to units in the State for a control period in any year , the provisions of subpart AAAAA of part 97 of this chapter authorizing the Administrator to complete the allocation an d recordation of TR NOX Annual allowances to units in the State for each such control period shall continue to apply, unless provide d otherwise by such approval of the State’s SIP revision .*** E.O. 12866 Review

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Page 137 of 773 ( e)(1) The owner and operator of each source and each unit located in the State of Tennessee and for which requirements are set forth under the TR NOX Ozone Season Trading Program in subpart BBBBB of part 97 of this chapter must comply with such requirements. The obligation to comply with such requi rements will be eliminated by the promulgation of an approval by the Administrator of a revision to Tennessee’s State Implementation Plan (SIP) as correcting the SIP’s deficiency that is the basis for the TR Federal Implementation Plan under § 52.38(b), exc ept to the extent the Administrator’s approval is partial or conditional. The obligation to comply with such requirements with regard to sources and units located in Indian country within the borders of the State will not be eliminated by the promulgation of an approval by the Administrator of a revision to Tennessee’s SIP.
(2) Notwithstanding the provision s of paragraph ( e)(1) of this section, if, at the time of the approval of Tennessee’s SIP revision described in paragraph (e)(1) of this section , the Administrator has already started recording any allocations of TR NOX Ozone Season allowances under subpart BBBBB of part 97 of this chapter to units in the State for a control period in any year , the provisions of subpart BBBBB of part 97 of this chapter authorizing the Administrator to complete the allocation and*** E.O. 12866 Review

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Page 138 of 773 recordation of TR NOX Ozone Season allowances to units in the State for each such control period shall continue to app ly, unless provided otherwise by such approval of the State’s SIP revision. 55. Section 52.2241 is amended by designating the existing text as paragraph (a) and adding new paragraphs (b) and (c) to read as follows:
§ 52.2241 Interstate pollutant transport provisions; What are the FIP requirements for decreases in emissions of sulfur dioxide? * * * * * (b) Notwithstanding any provisions of paragraph (a) of this section and subparts AAA through III of part 97 of this chapter and any State’s SI P to the contrary: (1) With regard to any control period that begins after December 31, 2011, (i) The provisions of paragraph (a) of this section relating to SO 2 emissions shall not be applicable; and*** E.O. 12866 Review

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Page 139 of 773 (ii) The Administrator will not carry out any of the functions set forth for the Administrator in subparts AAA through III of part 97 of this chapter; and (2) The Administrator will not deduct for excess emissions any CAIR SO 2 allowances allocated for 2012 or any year thereafter. ( c)(1) The owner and operator of each source and each unit located in the State of Tennessee and for which requirements are set forth under the TR SO 2 Group 1 Trading Program in subpart CCCCC of part 97 of this chapter must comply with such requirements. The obligation to comply with such requirements will be eliminated by the promulgation of an approval by the Administrator of a revision to Tennessee’s State Implementation Plan (SIP) as correcting the SIP’s deficiency that is the basis for the TR Federal I mplementation Plan under § 52.39, except to the extent the Administrator’s approval is partial or conditional. The obligation to comply with such requirements with regard to sources and units located in Indian country within the borders of the State will not be eliminated by the promulgation of an approval by the Administrator of a revision to Tennessee’s SIP.
(2) Notwithstanding the provision s of paragraph ( c ) (1) of this section, if, at the time of the approval of Tennessee’s SIP*** E.O. 12866 Review

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Page 140 of 773 revision described in pa ragraph (c)(1) of this section , the Administrator has already started recording any allocations of TR SO 2 Group 1 allowances under subpart CCCCC of part 97 of this chapter to units in the State for a cont rol period in any year , the provisions of subpart CCCCC of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR SO 2 Group 1 allowances to units in the State for each such control period shall continue to apply, unless provide d otherwise by such approval of the State’s SIP revision . Subpart SS—Texas 56. Section 52.2283 is amended by revising paragraph (b) and adding new paragraphs (c) and (d) to read as follows:
§ 52.2283 Interstate pollutant transport provisions; What are the FIP requirements for decreases in emissions of nitrogen oxides? * * * * * (b) Notwithstanding any provisions of paragraph (a) of this section and subparts AA through II of part 97 of this chapter to the contrary:*** E.O. 12866 Review

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Page 141 of 773 (1) With regard to any control period that begins after December 31, 2011, (i) The provisions in paragraph (a) of this section relating to NOX annual emissions shall not be applicable; and (ii) The Administrator will not carry out any of the functions set forth for the Administrator in subparts AA through II of part 97 of this chapter; (2) The Administrator will not deduct for excess emissions any CAIR NOX allowances allocated for 2012 or any year thereafter; (3) By [INSERT DATE 90 DAYS AFTER PUBLICATION IN THE FEDERAL REGISTER], the Administrator will remove from the CAIR NOX Allowance Tracking System accounts all CAIR NOX allowances allocated for a control period in 2012 and any subsequent year, and, thereafter, no holding or surrender of CAIR NOX allowances will be required with regard to emissions or excess emissions for such control periods. ( c)(1) The owner and operator of each source and each unit located in the State of Texas and Indian country within the borders of the State and for which requirements are set forth under the TR NOX Annual Trading Program in subpart AAAAA of part 97 of this chapter must comply with such requirements. The*** E.O. 12866 Review

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Page 142 of 773 obligation to comply with such requirements with regard to sources and units in the State will be eliminated by the promulgation of an approval by the Administrator of a revision to Texas’ State Implementation Plan (SIP) as correcting in part the SIP’s deficiency that is the basis for the TR Federal Implementation Plan under § 52.38(a), except to the extent the Administrator’s approval is partial or conditional. The obligation to comply with such requirements with regard to sources and units located in Indian country within the borders of the State will not be eliminated by the promulgation of an approval by the Administrator of a revision to Texas’ SIP.
(2) Notwithstanding the provision s of paragraph ( c ) (1) of this section, if, at the time of the approval of Texas’ SIP revision described in paragraph (c)(1) of this section , the Administrator has already started recording any allocations of TR NOX Annual allowances under subpart AAAAA of part 97 of this chapter to units in the State for a control period in any year , the provisions of subpart AAAAA of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR NOX Annual allowances to units in the State for each such control period shall continue to apply, un less provide d otherwise by such approval of the State’s SIP revision .*** E.O. 12866 Review

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Page 1 43 of 773 ( d)(1) The owner and operator of each source and each unit located in the State of Texas and Indian country within the borders of the State and for which requirements are set forth under the TR NOX Ozone Season Trading Program in subpart BBBBB of part 97 of this chapter must comply with such requirements. The obligation to comply with such requirements with regard to sources and units in the State will be eliminated by the promulgati on of an approval by the Administrator of a revision to Texas’ State Implementation Plan (SIP) as correcting in part the SIP’s deficiency that is the basis for the TR Federal Implementation Plan under § 52.38(b), except to the extent the Administrator’s approval is partial or conditional. The obligation to comply with such requirements with regard to sources and units located in Indian country within the borders of the State will not be eliminated by the promulgation of an approval by the Administrator o f a revision to Texas’ SIP.
(2) Notwithstanding the provision s of paragraph ( d)(1) of this section, if, at the time of the approval of Texas’ SIP revision described in paragraph (d)(1) of this section , the Administrator has already started recording any allocations of TR NOX Ozone Season allowances under subpart BBBBB of part 97 of this chapter to units in the State for a control period in any year , the provisions of subpart BBBBB of part 97 of this chapter*** E.O. 12866 Review

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Page 144 of 773 authorizing the Administrator to complete the allocation and recordation of TR NOX Ozone Season allowances to units in the State for each such control period shall continue to apply, unless provided otherwise by such approval of the State’s SIP revision. 57. Section 52.2284 is amended by designating the existing text as paragraph (a) and adding new paragraphs (b) and (c) to read as follows:
§ 52.2284 Interstate pollutant transport provisions; What are the FIP requirements for decreases in emissions of sulfur dioxide? * * * * * (b) Notwithstanding any provisions of paragraph (a) of this section and subparts AAA through III of part 97 of this chapter and any State’s SIP to the contrary: (1) With regard to any control period that begins after December 31, 2011, (i) The provisions of paragraph (a) of this section relating to SO 2 emissions shall not be applicable; and*** E.O. 12866 Review

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Page 145 of 773 (ii) The Administrator will not carry out any of the functions set forth f or the Administrator in subparts AAA through III of part 97 of this chapter; and (2) The Administrator will not deduct for excess emissions any CAIR SO 2 allowances allocated for 2012 or any year thereafter.
( c)(1) The owner and operator of each source and each unit located in the State of Texas and Indian country within the borders of the State and for which requirements are set forth under the TR SO 2 Group 2 Trading Program in subpart DDDDD of part 97 of this chapter must comply with such requirements. The obligation to comply with such requirements with regard to sources and units in the State will be eliminated by the promulgation of an approval by the Administrator of a revision to Texas’ State Implementation Plan (SIP) as correcting in part the SIP’s deficiency that is the basis for the TR Federal Implementation Plan under § 52.39, except to the extent the Administrator’s approval is partial or conditional. The obligation to comply with such requirements with regard to sources and units located in Indi an country within the borders of the State will not be eliminated by the promulgation of an approval by the Administrator of a revision to Texas’ SIP.*** E.O. 12866 Review

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Page 146 of 773 (2) Notwithstanding the provision s of paragraph ( c ) (1) of this section, if, at the time of the approval of Texas’ SIP revision described in paragraph (c)(1) of this section , the Administrator has already started recording any allocations of TR SO 2 Group 2 allowances under subpart DDDDD of part 97 of this chapter to units in the State for a control period in any year , the provisions of subpart DDDDD of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR SO 2 Group 2 allowances to units in the State for each such control period shall continue to apply, unless provide d otherwise by such approval of the State’s SIP revision . Subpart VV

— Virginia
58 . Section 52.2440 is added to read as follows:
§ 52. 2440 Interstate pollutant transport provisions; What are the FIP requirements for decreases in emissions of nitrogen oxides?
(a )(1) The owner and operator of each source and each unit located in the State of Virginia and for which requirements are set forth under the TR NOX Annual Trading Program in subpart AAAAA of part 97 of this chapter must comply with such*** E.O. 12866 Review

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Page 147 of 773 requirements. The obligation to comply with such requirements will be eliminated by the promulgation of an approval by the Administrator of a revision to Virginia’s State I mplementation Plan (SIP) as correcting the SIP’s deficiency that is the basis for the TR Federal Implementation Plan under § 52.38(a), except to the extent the Administrator’s approval is partial or conditional.
(2) Notwithstanding the provision s of paragraph ( a ) (1) of this section, if, at the time of the approval of Virginia’s SIP revision described in paragraph (a)(1) of this section , the Administrator has already started recording any allocations of TR NOX Annual allowances under subpart AAAAA of part 97 of this chapter to units in the State for a control period in any year , the provisions of subpart AAAAA of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR NOX Annual allowances to units in the State for each such control period shall continue to apply, unless provide d otherwise by such approval of the State’s SIP revision . ( b)(1) The owner and operator of each source and each unit located in the State of Virginia and for which requirements are set forth under the TR NOX Ozone Season Trading Program in subpart BBBBB of part 97 of this chapter must comply with such*** E.O. 12866 Review

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Page 148 of 773 requirements. The obligation to comply with such requi rements will be eliminated by the promulgation of an approval by the Administrator of a revision to Virginia’s State Implementation Plan (SIP) as correcting the SIP’s deficiency that is the basis for the TR Federal Implementation Plan under § 52.38(b), except to the extent the Administrator’s approval is partial or conditional.
(2) Notwithstanding the provision s of paragraph ( b)(1) of this section, if, at the time of the approval of Virginia’s SIP revision described in paragraph (b)(1) of this section , the Administrator has already started recording any allocations of TR NOX Ozone Season allowances under subpart BBBBB of part 97 of this chapter to units in the State for a control period in any year , the provisions of subpart BBBBB of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR NOX Ozone Season allowances to units in the State for each such control period shall continue to apply, unless provided otherwise by such approval of the State’s SIP revision.
59. Section 52.2241 is added to read as follows:*** E.O. 12866 Review

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Page 149 of 773 § 52. 2241 Interstate pollutant transport provisions; What are the FIP requirements for decreases in emissions of sulfur dioxide ?
(a ) The owner and operator of each source and each unit located in the State of Virginia and for which requirements are set forth under the TR SO 2 Group 1 Trading Program in subpart CCCCC of part 97 of this chapter must comply with such requirements. The obligation to comply with such requirements will be eliminated by the promulgation of an approval by the Administrator of a revision to Virginia’s State Implementation Plan (SIP) as correcting the SIP’s deficiency that is the basis for the TR Federal Implementation Plan under § 52.39, except to the extent the Administrator’s approval is partial or conditional.
(b) Notwithstanding the provision s of p aragraph ( a ) of this section, if, at the time of the approval of Virginia’s SIP revision described in paragraph (a) of this section , the Administrator has already started recording any allocations of TR SO 2 Group 1 allowances under subpart CC CCC of part 97 of this chapter to units in the State for a control period in any year , the provisions of subpart CCCCC of part 97 of this chapter authorizing the Administrator to complete the allocation and*** E.O. 12866 Review

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Page 150 of 773 recordation of TR SO 2 Group 1 allowances to units in the State for each such control period shall continue to apply, unless provide d otherwise by such approval of the State’s SIP revision . Subpart XX

— West Virginia
60 . Section 52.254 0 is added to read as follows:
§ 52. 2540 Interstate pollutant transport provisions; What are the FIP requirements for decreases in emissions of nitrogen oxides?
(a )(1) The owner and operator of each source and each unit located in the State of West Virginia and for which requirements are set forth under the TR NOX Annual Trading Program in subpart AAAAA of part 97 of this chapter must comply with such requirements. The obligation to comply with such requirements will be eliminated by the promulgatio n of an approval by the Administrator of a revision to West Virginia’s State Implementation Plan (SIP) as correcting the SIP’s deficiency that is the basis for the TR Federal Implementation Plan under § 52.38(a), except to the extent the Administrator’s app roval is partial or conditional.*** E.O. 12866 Review

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Page 151 of 773 (2) Notwithstanding the provision s of paragraph ( a ) (1) of this section, if, at the time of the approval of West Virginia’s SIP revision described in paragraph (a)(1) of this section , the Administrator has already started recording any allocations of TR NOX Annual allowances under subpart AAAAA of part 97 of this chapter to units in the State for a control period in any year , the provisions of subpart AAAAA of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR NOX Annual allowances to units in the State for each such control period shall continue to apply, unless provide d otherwise by such approval of the State’s SIP revision . ( b)(1) The owner and operator of each source and each unit located in the State of West Virginia and for which requirements are set forth under the TR NOX Ozone Season Trading Program in subpart BBBBB of part 97 of this chapter must comply with such requirements. The obligation to comply with such requirements will be eliminated by the promulgation of an approval by the Administrator of a revision to West Virginia’s State Implementation Plan (SIP) as correcting the SIP’s deficiency that is the basis for the TR Federal Implementation Plan under § 52.38(b), except to the extent the Administrator’s approval is partial or conditional.*** E.O. 12866 Review

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Page 152 of 773 (2) Notwithstanding the pr ovision s of paragraph ( b)(1) of this section, if, at the time of the approval of West Virginia’s SIP revision described in paragraph (b)(1) of this section , the Administrator has already started recording any allocations of TR NOX Ozone Season al lowances under subpart BBBBB of part 97 of this chapter to units in the State for a control period in any year , the provisions of subpart BBBBB of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR NOX Ozone Season allowances to units in the State for each such control period shall continue to apply, unless provided otherwise by such approval of the State’s SIP revision.
61. Section 52.2541 is added to read as follows:
§ 52. 2541 Interstate pollutant transport provisions; What are the FIP requirements for decreases in emissions of sulfur dioxide ?
(a ) The owner and operator of each source and each unit located in the State of West Virginia and for which requirements are set forth under the TR SO 2 Group 1 Trading Program in subpart CCCCC of part 97 of this chapter must comply with such requirements. The obligation to comply with such requirements will b e*** E.O. 12866 Review

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Page 153 of 773 eliminated by the promulgation of an approval by the Administrator of a revision to West Virginia’s State Implementation Plan (SIP) as correcting the SIP’s deficiency that is the basis for the TR Federal Implementation Plan under § 52.39, except to the ex tent the Administrator’s approval is partial or conditional.
(b) Notwithstanding the provision s of paragraph ( a ) of this section, if, at the time of the approval of West Virginia’s SIP revision described in paragraph (a) of this section , the Administrator has already started recording any allocations of TR SO 2 Group 1 allowances under subpart CCCCC of part 97 of this chapter to units in the State for a control period in any year , the provisions of subpart CCCCC of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR SO 2 Group 1 allowances to units in the State for each such control period shall continue to apply, unless provide d otherwise by such approval of the State’s SIP revision . Subpart YY

— Wisconsin 62. Section 52.2587 is amended by adding new paragraphs (c) and (d) to read as follows:*** E.O. 12866 Review

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Page 154 of 773 § 52. 2 587 Interstate pollutant transport provisions; What are the FIP requirements for decreases in emissions of nitrogen oxides? * * * * * (c) Notwithstanding any provisions of paragraphs (a) and (b) of this section and subparts AA through II and AAAA through IIII of part 97 of this chapter to the contrary: (1) With regard to any c ontrol period that begins after December 31, 2011, (i) The provisions in paragraphs (a) and (b) of this section relating to NOX annual or ozone season emissions shall not be applicable; and (ii) The Administrator will not carry out any of the functions set forth for the Administrator in subparts AA through II and AAAA through IIII of part 97 of this chapter; and (2) The Administrator will not deduct for excess emissions any CAIR NOX allowances or CAIR NOX Ozone Season allowances allocated for 2012 or any ye ar thereafter; (3) By [INSERT DATE 90 DAYS AFTER PUBLICATION IN THE FEDERAL REGISTER], the Administrator will remove from the CAIR NOX Allowance Tracking System accounts all CAIR NOX allowances*** E.O. 12866 Review

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Page 155 of 773 allocated for a control period in 2012 and any subsequent year , and, thereafter, no holding or surrender of CAIR NOX allowances will be required with regard to emissions or excess emissions for such control periods; and (4) By [INSERT DATE 90 DAYS AFTER PUBLICATION IN THE FEDERAL REGISTER], the Administrator will remove from the CAIR NOX Ozone Season Allowance Tracking System accounts all CAIR NOX Ozone Season allowances allocated for a control period in 2012 and any subsequent year, and, thereafter, no holding or surrender of CAIR NOX Ozone Season allowances will be required with regard to emissions or excess emissions for such control periods. ( d)(1) The owner and operator of each source and each unit located in the State of Wisconsin and Indian country within the borders of the State and for which requirements are set forth under the TR NOX Annual Trading Program in subpart AAAAA of part 97 of this chapter must comply with such requirements. The obligation to comply with such requirements with regard to sources and units in the State will be eliminated by the promulgation of an approval by the Administrator of a revision to Wisconsin’s State Implementation Plan (SIP) as correcting in part the SIP’s deficiency that is the basis for the TR Federal Implementation Plan under § 52.38(a), except to the extent the Administrator’s approval is partial or conditional. The*** E.O. 12866 Review

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Page 156 of 773 obligation to comply with such requirements with regard to sources and units located in Indian country within the borders of the State will not be eliminated by the promulgation of an approval by the Administrator of a revision to Wis consin’s SIP.
(2) Notwithstanding the provision s of paragraph ( d ) (1) of this section, if, at the time of the approval of Wisconsin’s SIP revision described in paragraph (d)(1) of this section , the Administrator has already started recording any allocations of TR NOX Annual allowances under subpart AAAAA of part 97 of this chapter to units in the State for a control period in any year , the provisions of subpart AAAAA of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR NOX Annual allowances to units in the State for each such control period shall continue to apply, unless provide d otherwise by such approval of the State’s SIP r evision . ( e) [Reserved] 63. Section 52.2588 is amended by designating the existing text as paragraph (a) and adding new paragraphs (b) and (c) to read as follows:*** E.O. 12866 Review

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Page 157 of 773 § 52. 2 588 Interstate pollutant transport provisions; What are the FIP requirements for decreases in emissions of sulfur dioxide? * * * * * (b) Notwithstanding any provisions of paragraph (a) of this section and subparts AAA through III of part 97 of this chapter and any State’s SIP to the contrary: (1) With regard to any control p eriod that begins after December 31, 2011, (i) The provisions of paragraph (a) of this section relating to SO 2 emissions shall not be applicable; and (ii) The Administrator will not carry out any of the functions set forth for the Administrator in subparts AAA through III of part 97 of this chapter; and (2) The Administrator will not deduct for excess emissions any CAIR SO 2 allowances allocated for 2012 or any year thereafter.
( c)(1) The owner and operator of each source and each unit located in the State of Wisconsin and Indian country within the borders of the State and for which requirements are set forth under the TR SO 2 Group 1 Trading Program in subpart CCCCC of part*** E.O. 12866 Review

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Page 158 of 773 97 of this chapter must comply with such requirements. The obligation to comply with such requirements with regard to sources and units in the State will be eliminated by the promulgation of an approval by the Administrator of a revision to Wisconsin’s State Implementation Plan (SIP) as correcting in part the SIP’s deficiency that is the basis for the TR Federal Implementation Plan under § 52.39, except to the extent the Administrator’s approval is partial o r conditional. The obligation to comply with such requirements with regard to sources and units located in Indian country within the borders of the State will not be eliminated by the promulgation of an approval by the Administrator of a revision to Wisco nsin’s SIP.
(2) Notwithstanding the provision s of paragraph ( c ) (1) of this section, if, at the time of the approval of Wisconsin’s SIP revision described in paragraph (c)(1) of this section , the Administrator has already started recording any al locations of TR SO 2 Group 1 allowances under subpart CCCCC of part 97 of this chapter to units in the State for a control period in any year , the provisions of subpart CCCCC of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR SO 2 Group 1 allowances to units in the State for each such control period shall continue to apply, unless provide d otherwise by such approval of the State’s SIP revision .*** E.O. 12866 Review

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Page 159 of 773 PART 72— [AMENDED] 64. The authority citation for Part 72 is revised to read as follows: Authority: 42 U.S.C. 7401, 7403, 7410, 7411, 7426, 7601, et seq. § 72.2 [Amended] 65. Section 72.2 is amended by removing the definition of “I nterested person”. PART 78— [AMENDED] 66. The authority citation for Part 78 continues to read as follows: Authority: 42 U.S.C. 7401, 7403, 7410, 7411, 7426, 7601, et seq. 67. Section 78.1 is amended by adding paragraphs (b)(13) through (b)(16) to read as follows: § 78.1 Purpose and scope. * * * * * (b) * * * (13) Under subpart AAAAA of part 97 of this chapter,*** E.O. 12866 Review

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Page 160 of 773 (i) The decision on allocation of TR NOX Annual allowances under §97.411(a)(2) and (b) of this chapter. (ii) The decision on the transfer of TR NOX Annual allowances under §97.423 of this chapter. (iii) The decision on the deduction of TR NOX Annual allowances under §§97.424 and 97.425 of this chapter. (iv) The correction of an error in an Allowance Management System account under §97.427 of this chapter. (iv) The adjustment of information in a submission and the decision on the deduction and transfer of TR NOX Annual allowances based on the information as adjusted under §97.428 of this chapter. (vi) The finalizati on of control period emissions data, including retroactive adjustment based on audit. (vii) The approval or disapproval of a petition under §97.435 of this chapter. (14) Under subpart BBBBB of part 97 of this chapter, (i) The decision on allocation of TR NOX Ozone Season allowances under §97.511(a)(2) and (b) of this chapter.*** E.O. 12866 Review

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Page 161 of 773 (ii) The decision on the transfer of TR NOX Ozone Season allowances under §97.523 of this chapter. (iii) The decision on the deduction of TR NOX Ozone Season allowances under §§97 .524 and 97.525 of this chapter. (iv) The correction of an error in an Allowance Management System account under §97.527 of this chapter. (iv) The adjustment of information in a submission and the decision on the deduction and transfer of TR NOX Ozone Season allowances based on the information as adjusted under §97.528 of this chapter. (vi) The finalization of control period emissions data, including retroactive adjustment based on audit. (vii) The approval or disapproval of a petition un der §97.535 of this chapter. (15) Under subpart CCCCC of part 97 of this chapter, (i) The decision on allocation of TR SO 2 Group 1 allowances under §97.611(a)(2) and (b) of this chapter. (ii) The decision on the transfer of TR SO 2 Group 1 allowances under §97.623 of this chapter.*** E.O. 12866 Review

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Page 162 of 773 (iii) The decision on the deduction of TR SO 2 Group 1 allowances under §§97.624 and 97.625 of this chapter. (iv) The correction of an error in an Allowance Management System account under §97.627 of this chapter. (iv) The adjustment of information in a submission and the decision on the deduction and transfer of TR SO 2 Group 1 allowances based on the information as adjusted under §97.628 of this chapter. (vi) The finalization of control p eriod emissions data, including retroactive adjustment based on audit. (vii) The approval or disapproval of a petition under §97.635 of this chapter. (16) Under subpart DDDDD of part 97 of this chapter, (i) The decision on allocation of TR SO 2 Group 2 allowances under §97.711(a)(2) and (b) of this chapter. (ii) The decision on the transfer of TR SO 2 Group 1 allowances under §97.723 of this chapter. (iii) The decision on the deduction of TR SO 2 Group 1 allowances under §§97.724 and 97.725 of this chapter.*** E.O. 12866 Review

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Page 163 of 773 (iv) The correction of an error in an Allowance Management System account under §97.727 of this chapter. (iv) The adjustment of information in a submission and the decision on the deduction and transfer of TR SO 2 Group 1 allowances based on the information as adjusted under §97.728 of this chapter. (vi) The finalization of control period emissions data, including retroactive adjustment based on audit. (vii) The approval or di sapproval of a petition under §97.735 of this chapter. * * * * * 68. Section 78.2 is revised to read as follows: § 78.2 General. (a) Definitions . (1) The terms used in this subpart with regard to a decision of the Administrator that is appealed under this section shall have the meaning as set forth in the regulations under which the Administrator made such decision and as set forth in paragraph (a)(2) of this section. (2) Interested person means, with regard to a decision of the Administrator :*** E.O. 12866 Review

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Page 164 of 773 (i ) Any person who submitted comments, or testified at a public hearing, pursuant to an opportunity for comment provided by the Administrator as part of the process of making such decision ; (ii) Who submitted objections pursuant to an opportunity for objecti ons provided by the Administrator as part of the process of making such decision ; or (iii) Who submitted , to the Administrator and in a format prescribed by the Administrator, his or her name, service address, telephone number, and facsimile number and ide ntified such decision in order to be placed on a list of persons interested in such decision ; (iv) Provided that the Administrator may update the list of interested persons from time to time by requesting additional written indication of continued interest from the persons listed and may delete from the list the name of any person failing to respond as requested. (b) Availability of information . The availability to the public of information provided to, or otherwise obtained by, the Administrator under th is subpart shall be governed by part 2 of this chapter.*** E.O. 12866 Review

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Page 165 of 773 (c) Computation of time . (1) In computing any period of time prescribed or allowed under this part, except as otherwise provided, the day of the event from which the period begins to run shall not b e included, and Saturdays, Sundays, and federal holidays shall be included. When the period ends on a Saturday, Sunday, or federal holiday, the stated period shall be extended to include the next business day. (2) Where a document is served by first clas s mail or commercial delivery service, but not by overnight or same - day delivery, 5 days shall be added to the time prescribed or allowed under this part for the filing of a responsive document or for otherwise responding. 69. Section 78.3 is amended by: a. In paragraphs (a)(1)(iii), (a)(3)(ii), (a)(4)(ii), (a)(5)(ii), (a)(6)(ii), (a)(7)(ii), (a)(8)(ii), and (a)(9)(ii), adding, after the word “person”, the words “with regard to the decision”. b. Adding paragraph (a)(10); c. In paragraph (b)(3)(i), removin g the words “paragraph (a)(1) and (2)” and adding, in their place, the words “paragraph (a)(1), (2), and (10)”; and*** E.O. 12866 Review

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Page 166 of 773 d. Adding paragraph (d)(11) to read as follows: § 78.3 Petition for administrative review and request or evidentiary hearing. (a) * * * (10) The following persons may petition for administrative review of a decision of the Administrator that is made under subparts AAAAA, BBBBB, CCCCC, and DDDDD of part 97 of this chapter: (i) The designated representative for a unit or source, or the au thorized account representative for any Allowance Management System account, covered by the decision; or (ii) Any interested person with regard to the decision. * * * * * (d) * * * (11) Any provision or requirement of subparts AAAAA, BBBBB, CCCCC, or DDDDD of part 97 of this chapter, including the standard requirements under §97.406, §97.506, §97.606, or §97.706 of this chapter and any emission monitoring or reporting requirements. * * * * **** E.O. 12866 Review

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Page 167 of 773 70. Section 78.4 is amended by:

a. Revising paragraph (a) by: i. Removing the first, second, third, fourth, fifth, and last sentences; ii. In the sixth and seventh sentences, removing the words “interest in” and adding, in their place, the words “ownership interest with respect to”; iii. Redesignating the paragraph as paragraph (a)(1)(iii); and b. Adding paragraphs (a)(1) introductory text, (a)(1)(i), and (a)(1)(ii); and c. Revising paragraph (a)(2) to read as follows: § 78.4 Filings. (a)(1) All original filings made under this part sha ll be signed by the person making the filing or by an attorney or authorized representative, in accordance with the following requirements: (i) Any filings on behalf of owners and operators of a affected unit or affected source, TR NOX Annual unit or TR NOX Annual source, TR NOX Ozone Season unit or TR NOX Ozone Season source, TR SO 2 Group 1 unit or TR SO 2 Group 1 source, TR SO 2 Group 2 unit or TR SO 2 Group 2 source, or a unit for which a TR opt - in*** E.O. 12866 Review

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Page 168 of 773 application is submitted and not withdrawn shall be signed by the designated representative. Any filing on behalf of persons with an ownership interest with respect to allowances, TR NOX Annual allowances, TR NOX Ozone Season allowances, TR SO 2 Group 1 allowances, or TR SO 2 Group 2 allowances in a general account shall be signed by the authorized account representative. (ii) Any filings on behalf of owners and operators of a NOX Budget unit or NOX Budget source shall be signed by the NOX authorized account representative. Any filing on behalf of persons with an ownership interest with respect to NOX allowances in a general account shall be signed by the NOX authorized account representative. * * * * * (2) The name, address, e -mail address (if any), telephone number, and facsimile number (if any) of the per son making the filing shall be provided with the filing. * * * * * § 78.5 [Amended] 71. Section 78.5 is amended by, in paragraph (a):*** E.O. 12866 Review

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Page 169 of 773 a. Removing the words “public comment prior to” and adding, in their place, the words “submission of public comments or objections prior to”; b. Removing the words “public comment period” whenever they appear and adding, in their place, the words “period for submission of public comments or objections”. § 78.12 [Amended] 72. Section 78.12 is amended by, in par agraph (a), removing the words “public comment” and adding, in their place, the words “submission of public comments or objections”. PART 97 - [Amended] 73. The authority citation for Part 97 continues to read as follows: Authority: 42 U.S.C. 7401, 7403, 7410, 7426, 7601, and 7651, et seq.
74. Part 97 is amended by adding subpart AAAAA to read as follows: Subpart AAAAA

—TR NOX Annual Trading Program*** E.O. 12866 Review

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Page 170 of 773 97.401 Purpose. 97.402 Definitions. 97.403 Measurements, abbreviations, and acronyms. 97.404 Applicability. 97.405 Retired unit exemption. 97.406 Standard requirements. 97.407 Computation of time. 97.408 Administrative appeal procedures. 97.409 [Reserved] 97.410 State NOX Annual trading budgets, new unit set asides, Indian country new unit set - asides and variability limits. 97.411 Timing requirements for TR NOX Annual allowance allocations. 97.412 TR NOX Annual allowance allocations to new units. 97.413 Authorization of designated repre sentative and alternate designated representative.*** E.O. 12866 Review

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Page 171 of 773 97.414 Responsibilities of designated representative and alternate designated representative. 97.415 Changing designated representative and alternate designated representative; changes in owners and oper ators. 97.416 Certificate of representation. 97.417 Objections concerning designated representative and alternate designated representative. 97.418 Delegation by designated representative and alternate designated representative. 97.419 [Reserved] 97.420 Establishment of compliance accounts and general accounts. 97.421 Recordation of TR NOX Annual allowance allocations. 97.422 Submission of TR NOX Annual allowance transfers. 97.423 Recordation of TR NOX Annual allowance transfers. 97.424 Compli ance with TR NOX Annual emissions limitation. 97.425 Compliance with TR NOX Annual assurance provisions. 97.426 Banking.*** E.O. 12866 Review

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Page 172 of 773 97.427 Account error. 97.428 Administrator’s action on submissions. 97.429 [RESERVED] 97.430 General monitoring, recordkeeping, and reporting requirements. 97.431 Initial monitoring system certification and recertification procedures. 97.432 Monitoring system out - of - control periods. 97.433 Notifications concerning monitoring. 97.434 Recordkeeping and reporting. 97.435 Petitions for alternatives to monitoring, recordkeeping, or reporting requirements. Subpart AAAAA

—TR NOX Annual Trading Program § 97.401 Purpose. This subpart sets forth the general, designated representative, allowance, and monitoring provisions for the Transport Rule (TR) NOX Annual Trading Program, under section 110 of the Clean Air Act and §52.3 8 of this chapter, as a means of mitigating interstate transport of fine particulates and nitrogen oxides.*** E.O. 12866 Review

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Page 173 of 773 § 97.402 Definitions. The terms used in this subpart shall have the meanings set forth in this section as follows: Acid Rain Program means a multi - state SO 2 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 determined by the Administrator ) of the United States Env ironmental Protection Agency, the Administrator's duly authorized representative under this subpart. Allocate or allocation means, with regard to TR NOX Annual allowances, the determination by the Administrator , State, or permitting authority, in accordanc e with this subpart and any SIP revision submitted by the State and approved by the Administrator under § 52.38(a)(3), (4), or (5) of this chapter, of the amount of such TR NOX Annual allowances to be initially credited , at no cost to the recipient, to : (1) A TR NOX Annual unit;*** E.O. 12866 Review

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Page 174 of 773 (2) A new unit set - aside ; (3) An Indian country new unit set - aside; or (4) An entity not listed in paragraphs (1) through (3) of this definition; (5) Provided that, if the Administrator, State, or permitting authority initially credits, to a TR NOX Annual unit qualifying for an initial credit, a credit in the amount of zero TR NOX Annual allowances, the TR NOX Annual unit will be treated as being allocated an amount (i.e., zero) of TR NOX Annual allowances. Allowable NOX emiss ion rate means, for a unit, the most stringent State or federal NOX emission rate limit (in lb/MWhr or, if in lb/mmBtu, converted to lb/MWhr by multiplying it by the unit’s heat rate in mmBtu/MWhr) 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 Annual allowances under the TR NOX Annual Trading Program. Such allowances are allocated, recorded, held, deducted, or transferred only as whole allowances.*** E.O. 12866 Review

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Page 175 of 773 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 Annual allowances. Allowance transfer deadline means, for a control period in a given year , 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 NOX Annual allowance transfer must be submitted for recordation in a TR NOX Annual source's compliance account in order to be available f or use in complying with the source's TR NOX Annual emissions limitation for such control period in accordance with §§ 97.406 and 97.424. Alternate designated representative means, for a TR NOX Annual source and each TR NOX Annual unit at the source, the natural person who is authorized by the owners and operators of the source and all such units at the source, in accordance with this subpart, to act on behalf of the designated representative in matters pertaining to the TR NOX Annual Trading Program. If the TR NOX Annual source is also subject to the Acid Rain Program, TR NOX Ozone Season Trading Program, TR SO 2 Group 1 Trading Program, or TR SO 2 Group 2 Trading Program, then this natural person shall*** E.O. 12866 Review

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Page 176 of 773 be the same natural pe rson as the alternate designated representative , as defined in the respective program . Assurance account means an Allowance Management System account, established by the Administrator under §97.425 (b)(3) for certain owners and operators of a group of one or more TR NOX Annual source s and units in a given State (and Indian country within the borders of such State) , in which are held TR NOX Annual allowances available for use for a control period in a given year in complying with the TR NOX Annual assurance provisions in accordance with §§97. 406 and 97. 425. Authorized account representative means, for a general account, the natural person who is authorized, in accordance with this subpart, to transfer and otherwise dispose of TR NOX Annual allowances held i n the general account and, for a TR NOX Annual source’s compliance account, the designated representative of the source. Automated data acquisition and handling system or DAHS means the component of the continuous emission monitoring system, or other emissions monitoring system approved for use under this subpart, designed to interpret and convert individual output signals from pollutant concentration monitors, flow monitors, di luent gas monitors, and other component parts of the monitoring system to*** E.O. 12866 Review

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Page 177 of 773 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.*** E.O. 12866 Review

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Page 178 of 773 Boiler means an enclosed fossil - or other - fuel - fired combustion device used to produce hea t 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 en ergy application or process is then used for electricity production. Business day means a day that does not fall on a weekend or a federal holiday. Certifying official means a natural person who is: (1) For a corporation, a president, secretary, treasurer, or vice -president o f 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 propr ietor 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.*** E.O. 12866 Review

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Page 179 of 773 Coal means “coal” as defined in § 72.2 of this chapter . Coal - derived fuel means any fuel (whether in a solid, liquid, or gaseous state) produced by the mechanical, thermal, or chemical processing of coal. 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 that is a topping - cycle unit or a bottoming - cycle unit: (1) Operating as part of a cogeneration system; and (2) Pr oducing on an annual average basis

— (i) For a topping - cycle unit, (A) Useful thermal energy not less than 5 percent of total energy output; and (B) Useful power that, when added to one - half of useful thermal energy produced, is not less than 42.5 percent of total energy input, if useful thermal energy produced is 15 percent or more*** E.O. 12866 Review

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Page 180 of 773 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 requirements in paragraph (2) of this definition shall not apply to a calendar year referenced in paragraph (2) of this definition during which the unit did not operate at all; ( 4 ) Provided that the total energy input under paragraphs (2)(i)(B) and (2)(ii) of this definition shall equal the unit's total energy input from all fuel, except biomass if the unit is a boiler; and ( 5 ) Provided that, if , throughout its operation during the 12 - month period or a calendar year referenced in paragraph (2) of this definition, a unit is operated as part of a cogeneration system and the cogeneration system meets on a system-wide basis the requirement in paragraph (2)(i)(B) or (2 )(ii) of this definition, the unit shall be deemed to meet such requirement during that 12 -month period or calendar year. Combustion turbine means an enclosed device comprising:*** E.O. 12866 Review

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Page 181 of 773 (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, e xcept as provided in §97.405. (i) For a unit that is a TR NOX Annual unit under §97.404 on the later of January 1, 2005 or the date the unit commences commercial operation as defined in the introductory text of paragraph (1) of this definition and that sub sequently undergoes a physical change or is moved to a new location or source , such date shall remain the date of commencement of commercial operation of the unit, which shall continue to be treated as the same unit. (ii) For a unit that is a TR NOX Annual unit under §97.404 on the later of January 1, 2005 or the date the unit commences*** E.O. 12866 Review

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Page 182 of 773 commercial operation as defined in the introductory text of paragraph (1) of this definition and that is subsequently replaced by a unit at the same or a different source, s uch 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 de finition as appropriate. (2) Notwithstanding paragraph (1) of this definition and except as provided in §97.405, for a unit that is not a TR NOX Annual unit under §97.404 on the later of January 1, 2005 or the date the unit commences commercial operation a s 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 Annual unit under §97.404. (i) For a unit with a date for commencement of commercial operation as defined in the introductory text of paragraph (2) of this definition and that subsequently undergoes a physical change or is moved to a different location or source , such date shall remain the date of commencement of commercial operatio n of the unit, which shall continue to be treated as the same unit.*** E.O. 12866 Review

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Page 183 of 773 (ii) For a unit with a date for commencement of commercial operation as defined in the introductory text of paragraph (2) of this definition and that is subsequently replaced by a unit at the same or a different source, such date shall remain the replaced unit's date of commencement of commercial operation, and the replacement unit shall be treated as a separate unit with a separate date for commencement of commercial operation as defined i n paragraph (1) or (2) of this definition as appropriate. Common designated representative means, with regard to a control period in a given year, a designated representative where, as of April 1 immediately after the allowance transfer deadline for such c ontrol period, the same natural person is authorized under §§97.4 13(a) and 97.415(a) as the designated representative for a group of one or more TR NOX Annual sources and units located in a State (and Indian country within the borders of such State). Commo n designated representative’s assurance level means , with regard to a specific common designated representative and a State (and Indian country within the borders of such State) and control period in a given year for which the State assurance level is exceeded as described in §97.406(c)(2)(iii), the common designated representative’s share of the State NOX Annual trading*** E.O. 12866 Review

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Page 184 of 773 budget with the variability limit for the State for such control period. Common designated representative’s share means , with regard to a specific common designated representative for a control period in a given year : (1) With regard to a total amount of NOX emissions from all TR NOX Annual units in a State (and Indian country within the borders o f such State) during such control period, the total tonnage of NOX emissions during such control period from a group of one or more TR NOX Annual units located in such State (and such Indian country) and having the common designated representative for such control period ; (2) With regard to a State NOX Annual trading budget for such control period, the amount (rounded to the nearest allowance) equal to the sum of the total amount of TR NOX Annual allowances allocated for such control period to a group of o ne or more TR NOX Annual units located in the State (and Indian country within the borders of such State) and having the common designated representative for such control period and of the total amount of TR NOX Annual allowances purchased by an owner or operator of such TR NOX Annual units in an auction for such control period and submitted by the State or the permitting authority to the*** E.O. 12866 Review

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Page 185 of 77 3 Administrator for recordation in the compliance account s for such TR NOX Annual units in accordance with the TR NOX Annual allowance auction provisions in a SIP revision approved by the Administrator under § 52.38(a)(4) or (5) of this chapter, multiplied by the sum of the State NOX Annual trading budget under §97.410(a) and the St ate’s variability limit under §97.410(b) for such control period and divided by such State NOX Annual trading budget; (3) Provided that, in the case of a unit that operates during, but has no amount of TR NOX Annual allowances allocated under §§97.411 and 97.412 for, such 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 NO X Annual allowances for such control period equal to the unit’s allowable NOX emission rate applicable to such control period, multiplied by a capacity factor of 0.8 5 (if the unit is a boiler combusting any amount of coal or coal - derived fuel during such control period) , 0. 24 (if the unit i s a simple combustion turbine during such control period ), 0. 67 (if the unit is a combined cycle turbine during such control period), 0.74 (if the unit is an integrated coal gasification combined cycle unit during such control period), or 0.36 (for any other unit) , multiplied by the unit’s maximum hourly load as reported in*** E.O. 12866 Review

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Page 186 of 773 accordance with this subpart and by 8,760 hours/control period, and divided by 2,000 lb/ton . 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 Annual source under this subpart, in which any TR NOX Annual allowance allocations to the TR NOX Annual units at the source are recorded and in which are held any TR NOX Annual allowances available for use for a control period in a given year in complying with the source's TR NOX Annual emissions limitation in accordance with §§ 97.406 and 97.424. Continuous emission monitoring system or CEMS means the equipment required under this subpart to sample, analyze, measure, and provide, by means of readings recorded at least once every 15 minutes and using an automated data acquisition and handli ng system (DAHS), a permanent record of NOX emissions, stack gas volumetric flow rate, stack gas moisture content, and O 2 or CO 2 concentration (as applicable), in a manner consistent with part 75 of this chapter and §§97.430 through 97.435. The following s ystems are the principal types of continuous emission monitoring systems:*** E.O. 12866 Review

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Page 187 of 773 (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 NOX- diluent) monitoring system, consisting of a NOX pollutant concentration monitor, a diluent gas (CO 2 or O 2 ) monitor, and an automated data acquisition and handling system and providing a permanent, continuous record of NOX concentration, in parts per million (ppm), diluent gas concentration, in percent CO 2 or O 2 , 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 H 2 O; (5) A CO 2 monitoring system, consisting of a CO 2 pollutant concentration monitor (or an O 2 monitor plus suitable mathema tical equations from which the CO 2 concentration is derived) and an automated data acquisition and handling system*** E.O. 12866 Review

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Page 188 of 773 and providing a permanent, continuous record of CO 2 emissions, in percent CO 2 ; and (6) An O 2 monitoring system, consisting of an O 2 concentra tion monitor and an automated data acquisition and handling system and providing a permanent, continuous record of O 2 , in percent O 2 . Control period means the period starting January 1 of a calendar year, except as provided in §97.406(c)(3), and ending on December 31 of the same year, inclusive. Designated representative means, for a TR NOX Annual source and each TR NOX Annual unit at the source, the natural person who is authorized by the owners and operators of the source and all such units at the source, in accordance with this subpart, to represent and legally bind each owner and operator in matters pertaining to the TR NOX Annual Trading Program. If the TR NOX Annual source is also subject to the Acid Rain Program, TR NOX Ozone Season Trading Program, TR SO 2 Group 1 Trading Program, or TR SO 2 Group 2 Trading Program, then this natural person shall be the same natural person as the designated representative, as defined in the respective program . Emissions means air pollutants exhausted from a unit or source into the atmosphere, as measured, recorded, and reported to the*** E.O. 12866 Review

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Page 189 of 773 Administrator by the designated representative , and as modified by the Administrator : (1 ) In accordance with this subpart ; and (2) With regard to a period before the unit or source is required to measure, record, and report such air pollutants in accordance with this subpart, in accordance with part 75 of this chapter . Excess emissions means any ton of emissions from the TR NOX Annual units at a TR NOX Annual source during a control per iod in a given year that exceeds the TR NOX Annual emissions limitation for the source for such control period . Fossil fuel means— (1) Natural gas, petroleum, coal, or any form of solid, liquid, or gaseous fuel derived from such material; or (2) For purpos es of applying the limitation on “average annual fuel consumption of fossil fuel” in §§97.404(b)(2)(i)(B) and (ii), natural gas, petroleum, coal, or any form of solid, liquid, or gaseous fuel derived from such material for the purpose of creating useful he at.*** E.O. 12866 Review

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Page 190 of 773 Fossil - fuel - fired means, with regard to a unit, combusting any amount of fossil fuel in 2005 or any calendar year thereafter. General account means an Allowance Management System account, established under this subpart, that is not a compliance account or an assurance account . Generator means a device that produces electricity. Gross electrical output means, for 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, for a unit for a specified period of time, the product (in mmBtu/time) of the gross calorific value of the fuel (in mmB tu/lb) fed into the unit multiplied by the fuel feed rate (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 , for a unit, the amount of heat input (in mmBtu) divided by unit operating time (in hr) or, for a unit and*** E.O. 12866 Review

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Page 191 of 773 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.
Heat rate means , for a unit, the unit’s maximum design heat input (in Btu/hr), divided by the product of 1,000 ,000 Btu / mmBtu and the unit’ s maximum hourly load. Indian country means “Indian country” as defined in 18 U.S.C. 1151. Life 

### - of - the - unit, firm power contractual arrangement means a unit participation power sales agreement under which a utility or industrial customer reserves, or is en titled 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*** E.O. 12866 Review

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Page 192 of 773 portion of the nameplate capacity and associated energy generated by the unit at the end of the period. Maximum design heat input means , for a unit, the maximum amount of fuel per hour (in Btu/hr) that the unit is capable of combusting on a steady state basis as of the initial installation of the unit as specified by the manufacturer of the unit. Monitoring system means any monitoring system that meets the requirements of this subpart, including a continuou s emission monitoring system, an alternative monitoring system, or an excepted monitoring system under part 75 of this chapter. Nameplate capacity means, starting from the initial installation of a generator, the maximum electrical generating output (in MWe , rounded to the nearest tenth ) that the generator is capable of producing on a steady state basis and during continuous operation (when not restricted by seasonal or other deratings) as of such installation as specified by the manufacturer of the generat or or, starting from the completion of any subsequent physical change in the generator resulting in an increase in the maximum electrical generating output that the generator is capable of producing on a steady state basis and during continuous operation ( when not restricted by seasonal or other*** E.O. 12866 Review

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Page 193 of 773 deratings), such increased maximum amount (in MWe , rounded to the nearest tenth ) as of such completion as specified by the person conducting the physical change. Natural gas means “natural gas” as defined in § 72.2 o f this chapter. Newly affected TR NOX Annual unit means a unit that was not a TR NOX Annual unit when it began operating but that thereafter becomes a TR NOX Annual unit. Operate or operation means, with regard to a unit, to combust fuel. Operator means , for a TR NOX Annual source or a TR NOX Annual unit at a source respectively , any person who operates, controls, or supervises a TR NOX Annual unit at the source or the TR NOX Annual unit and shall include, but not be limited to, any holding company, util ity system, or plant manager of such source or unit. Owner means , for a TR NOX Annual source or a TR NOX Annual unit at a source respectively, any of the following persons: (1) Any holder of any portion of the legal or equitable title in a TR NOX Annual unit at the source or the TR NOX Annual unit;*** E.O. 12866 Review

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Page 194 of 773 (2) Any holder of a leasehold interest in a TR NOX Annual unit at the source or the TR NOX Annual unit, provided that, unless expressly provided for in a leasehold agreement, “owner” shall not include a passive lessor, or a person who has an equitable interest through such lessor, whose rental payments are not based (either directly or indirectly) on the revenues or income from such TR NOX Annual unit; and (3) Any purchaser of power from a TR NOX Annual unit at the source or the TR NOX Annual unit under a life - of - the - unit, firm power contractual arrangement. Permanently retired means, with regard to a unit, a unit that is unavailable for service and that the unit’s owners and operators do not expect to r eturn to service in the future. Permitting authority means “permitting authority” as defined in §§70.2 and 71.2 of this chapter. Potential electrical output capacity means , for a unit, 33 percent of the unit's maximum design heat input, divided by 3,413 B tu/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*** E.O. 12866 Review

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Page 195 of 773 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 Annual allowances, the moving of TR NOX Annual allowances by the Administrator into, out of, or between Al lowance Management System accounts, for purposes of allocation, auction, transfer, or deduction. Reference method means any direct test method of sampling and analyzing for an air pollutant as specified in §75.22 of this chapter. Replacement , replace , or replaced means, with regard to a unit, the demolishing of a unit, or the permanent retirement and permanent disabling of a unit, and the construction of another unit (the replacement unit) to be used instead of the demolished or retired unit (the replaced unit). Sequential use of energy means: (1) The use of reject heat from electricity production in a useful thermal energy application or process; or (2) The use of reject heat from useful thermal energy application or process in electricity production.*** E.O. 12866 Review

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Page 196 of 773 Seria l number means, for a TR NOX Annual allowance, the unique identification number assigned to each TR NOX Annual allowance by the Administrator. Solid waste incineration unit means a stationary, fossil - fuel fired boiler or stationary, fossil - fuel - fired combustion turbine that is a “solid waste incineration unit” as defined in section 129(g)(1) of the Clean Air Act. Source means all buildings, structures, or installations located in one or more contiguous or adjacent properties under common control of the same person or persons. This definition does not change or otherwise affect the definition of “major source”, “stationary source”, or “source” as set forth and implemented in a title V operating permit program or any other program under the Clean Air Act . State means one of the States that is subject to the TR NOX Annual Trading Program pursuant to §52.3 8( a) of this chapter . Submit or serve means to send or transmit a document, information, or correspondence to the person specified in accordance with the applicable regulation: (1) In person; (2) By United States Postal Service; or*** E.O. 12866 Review

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Page 197 of 773 (3) By other means of dispatch or transmission and delivery; (4) Provided that compliance with any “submission” or “service” deadline shall be determined by the date of dispatch, transmission, or mailing and not the date of receipt. Topping - cycle unit means a unit in which the energy input to the unit is first used to produce useful power, including electricity, where at least some of the reject heat from the electricity production is then used to provide useful thermal energy. Total energy input means , for a unit, total energy of all forms supplied to the unit, excluding energy produced by the unit. Each form of energy supplied shall be measured by the lower heating value of that form of energy calculated as follows:
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.*** E.O. 12866 Review

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Page 198 of 773 Total energy output means , for a unit, the sum of useful power and useful thermal energy produced by the unit. TR NOX Annual allowance means a limited authorization issued and allocated or auctioned by the Administrator under this subpart , or by a State or permitting authority under a SIP revision approved by the Administrator under §52.38(a)(3), (4), or (5) of this chapter, to emit one ton of NOX during a control period of the specified calendar year for wh ich the authorization is allocated or auctioned or of any calendar year thereafter under the TR NOX Annual Trading Program.
TR NOX Annual allowance deduction or deduct TR NOX Annual allowances means the permanent withdrawal of TR NOX Annual allowances by the Administrator from a compliance account ( e.g., in order to account for compliance with the TR NOX Annual emissions limitation ) or from an assurance account (e.g., in order to account for compliance with the assurance provisions under §§97.406 and 97.425) . TR NOX Annual allowances held or hold TR NOX Annual allowances means the TR NOX Annual allowances treated as included in an Allowance Management System account as of a specified point in time because at that time they:*** E.O. 12866 Review

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Page 199 of 773 (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 Annual allowance transfer in accordance with this subpart; and (2) Have not been transferred out of the account by a correctly submitted, but not yet recorded, TR NOX Annual allowance transfer in accordance with this subpart.
TR NOX Annual emissions limitation means, for a TR NOX Annual source, the tonnage of NOX emissions authorized in a control period in a given year by the TR NOX Annual allowances available for deduction for the source under §97.424(a) for such control period.
TR NOX Annual source means a source that includes one or more TR NOX Annual units.
TR NOX Annual Trading Program means a multi - state NOX air po llution control and emission reduction program established in accordance with this subpart and § 52.3 8 (a) of this chapter (including such a program that is revised in a SIP revision approved by the Administrator under §52.38(a)(3) or (4) of this chapter or that is established in a SIP revision approved by the Administrator under §52.38(a)(5) of this chapter ) , as a means of mitigating interstate transport of fine particulates and NOX .*** E.O. 12866 Review

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Page 200 of 773 TR NOX Annual unit means a unit that is subject to the TR NOX Annual Trading Program.
TR NOX Ozone Season Trading Program means a multi - state NOX air pollution control and emission reduction program established in accordance with subpart BBBBB of this part and § 52.3 8 (b) of this chapter (including such a program that is revised in a SIP revision approved by the Administrator under §52.38(b)(3) or (4) of this chapter or that is established in a SIP revision approved by the Administrator under §52.38(b)(5) of this chapter ) , as a mean s of mitigating interstate transport of ozone and NOX . TR SO 2 Group 1 Trading Program means a multi - state SO 2 air pollution control and emission reduction program established in accordance with subpart CCCCC of this part and § 52.3 9(a), (b) , (d) through (f), (j), and (k ) of this chapter (including such a program that is revised in a SIP revision approved by the Administrator under §52.39(d) or (e) of this chapter or that is established in a SIP revision approved by the Administrator under §52 .39(f) of this chapter ) , as a means of mitigating interstate transport of fine particulates and SO 2 . TR SO 2 Group 2 Trading Program means a multi - state SO 2 air pollution control and emission reduction program established in*** E.O. 12866 Review

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Page 201 of 773 accordance with subpart DDDDD of this part and 52.3 9( a), (c) , and (g) through (k ) of this chapter (including such a program that is revised in a SIP revision approved by the Administrato r under §52.39(g) or (h) of this chapter or that is established in a SIP revision approved by the Administrator under §52.39(i) of this chapter ) , as a means of mitigating interstate transport of fine particulates and SO 2 . Unit means a stationary, fossil - fuel - fired boiler, stationary, fossil - fuel - fired combustion turbine, or other stationary, fossil - fuel - fired combustion device. A unit that undergoes a physical change or is moved to a different location or source shall continue to be treated as the same unit. A unit (the replaced unit) that is replaced by another unit (the replacement unit) at the same or a different source shall continue to be treated as the same unit, and the replacement unit shall be treated as a separate unit . Unit operating da y means , with regard to a unit, a calendar day in which the unit combusts any fuel. Unit operating hour or hour of unit operation means , with regard to a unit, an hour in which the unit combusts any fuel. Useful power means , with regard to a unit, electricity or mechanical energy that the unit makes available for use,*** E.O. 12866 Review

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Page 202 of 773 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 an y on - site emission controls). Useful thermal energy means thermal energy that is: (1) Made available to an industrial or commercial process (not a power production process), excluding any heat contained in condensate return or makeup water; (2) Used in a heating application ( e.g., space heating or domestic hot water heating); or (3) Used in a space cooling application ( i.e., in an absorption chiller). Utility power distribution system means the portion of an electricity grid owned or operated by a utility and dedicated to delivering electricity to customers. § 97.403 Measurements, abbreviations, and acronyms. Measurements, abbreviations, and acronyms used in this subpart are defined as follows:
Btu
—British thermal unit*** E.O. 12866 Review

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Page 203 of 773 CO 2—carbon dioxide
H 2 O
—water hr
—hour kW
—kilowatt electrical kWh
—kilowatt hour lb
—pound
mmBtu
—million Btu
MWe
—megawatt electrical MWh
—megawatt hour NOX—nitrogen oxides O 2—oxygen ppm—parts per million scfh
—standard cubic feet per hour SO 2—sulfur dioxide
yr—year § 97.404 Applicability.*** E.O. 12866 Review

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Page 204 of 773 (a) Except as provided in paragraph (b) of this section: (1) The following units in a State ( and Indian country within the borders of such State) shall be TR NOX Annual units, and any source that includes one or more such units shall be a TR NOX Annual source, subject to the requirements of this subpart: any stationary, fossil - fuel - fired boiler or stationary, fossil - fuel fired combustion turbine serving at any time, on or after January 1, 2005 , a generator with nameplate capacity of more than 25 MWe producing electricity for sale. (2) If a stationary boiler or stationary combustion turbine that, under paragraph (a)(1) of this section, is not a TR NOX Annual unit begins to combust fossil fuel or to serve a generator with nameplate capacity of more than 25 MWe producing electricity for sale, the unit shall become a TR NOX Annual unit as provided in paragraph (a)(1) of this section on the first date on which it both combusts fossil fuel and serves such generator. (b) Any unit in a State ( and Indian country within the borders of such State) that otherwise is a TR NOX Annual unit under paragraph (a) of this section and that meets the requirements set forth in paragraph (b)(1)(i) or (2)(i) of this section shall not be a TR NOX Annual unit:*** E.O. 12866 Review

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Page 205 of 773 (1)(i ) Any unit: (A) Qualifying as a cogeneration unit throughout the later of 2005 or the 12 -month period starting on the date the unit first produces electricity and continuing to qualify as a cogeneration unit throughout each calendar year ending after the l ater of 2005 or such 12 -month period ; and (B) Not supplying in 2005 or any calendar year thereafter more than one - third of the unit's potential electric output capacity or 219,000 MWh, whichever is greater, to any utility power distribution system for sale . (ii) If, after qualifying under paragraph (b)(1)(i) of this section as not being a TR NOX Annual unit , a unit subsequently no longer meets all the requirements of paragraph (b)(1)(i) of this section , the unit shall become a TR NOX Annual unit starting on the earlier of January 1 after the first calendar year during which the unit first no longer qualifies as a cogeneration unit or January 1 after the first calendar year during which the unit no longer meets the requirements of paragraph (b)(1)(i)(B) of th is section. The unit shall thereafter continue to be a TR NOX Annual unit. (2)(i) Any unit:*** E.O. 12866 Review

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Page 206 of 773 (A) Qualifying as a solid waste incineration unit throughout the later of 2005 or the 12 -month period starting on the date the unit first produces electricity and continuing to qualify as a solid waste incineration unit throughout each calendar year ending after the later of 2005 or such 12 -month period ; and (B) With an average annu al fuel consumption of fossil fuel for the first 3 consecutive calendar years of operation starting no earlier than 2005 of less than 20 percent (on a Btu basis) and an average annual fuel consumption of fossil fuel for any 3 consecutive calendar years the reafter of less than 20 percent (on a Btu basis). (ii) If, after qualifying under paragraph (b)(2)(i) of this section as not being a TR NOX Annual unit , a unit subsequently no longer meets all the requirements of paragraph (b)(1)(i) of this section , the un it shall become a TR NOX Annual unit starting on the earlier of January 1 after the first calendar year during which the unit first no longer qualifies as a solid waste incineration unit or January 1 after the first 3 consecutive calendar years after 2005 for which the unit has an average annual fuel consumption of fossil fuel of 20 percent or more. The unit shall thereafter continue to be a TR NOX Annual unit.*** E.O. 12866 Review

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Page 207 of 773 (c) A certifying official of an owner or operator of any unit or other equipment may submit a pe tition (including any supporting documents) to the Administrator at any time for a determination concerning the applicability, under paragraphs (a) and (b) of this section or a SIP revision approved under § 52.38(a)(4) or (5) of this chapter , of the TR NOX Annual Trading Program to the unit or other equipment. (1) Petition content. The petition shall be in writing and include the identification of the unit or other equipment and the relevant facts about the unit or other equipment. The petition and any other documents provided to the Administrator in connection with the petition shall include the following certification statement, signed by the certifying official: “I am authorized to make this submission on behalf of the owners and operators of the unit or o ther 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 individua ls 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*** E.O. 12866 Review

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Page 208 of 773 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 Annual Trading Program to the unit or other equipment shall be binding on any State or permitting authority unless the Administrator determines that the petition or other documents or information provided in connection with the petition contained significant, relevant errors or omissions. § 97.405 Retired unit exemption. (a)(1) Any TR NOX Annual unit that is permanently retired shall be exempt from §97.406(b) and (c)(1), §97.424, and §§97.430 through 97.435. (2) The exemption under paragraph (a)(1) of this section shall become effective the day on which the TR NOX Annual unit is pe rmanently 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*** E.O. 12866 Review

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Page 209 of 773 permanently retire d 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) Fo r 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 NO X Annual Trading Program concerning all periods for which the exemption is not in effect, even if s uch 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 purpos es of applying*** E.O. 12866 Review

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Page 210 of 773 allocation, monitoring, reporting, and recordkeeping requirements under this subpart, as a unit that commences commercial operation on the first date on which the unit resumes operation. § 97.406 Standard requirements. (a) Designated repres entative requirements . The owners and operators shall comply with the requirement to have a designated representative, and may have an alternate designated representative, in accordance with §§97.413 through 97.418. (b) Emissions monitoring, reporting, an d recordkeeping requirements . (1) The owners and operators, and the designated representative, of each TR NOX Annual source and each TR NOX Annual unit at the source shall comply with the monitoring, reporting, and recordkeeping requirements of §§97.430 through 97.435. (2) The emissions data determined in accordance with §§97.430 through 97.435 shall be used to calculate allocations of TR NO X Annual allowances under §§97.411(a)(2) and (b) and 97.412 and to determine compliance with the TR NOX Annual emissi ons 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*** E.O. 12866 Review

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Page 211 of 773 calculating such allocations and determining such compliance shall be the mass emissions amount for the monitoring location determined in accordance with §§97.430 through 97.435 and rounded to the nearest ton, with any fraction of a ton less than 0.50 being deemed to be zero. (c) NOX emissions requirements . (1) TR NOX Annual emissions limitation. (i) As of the allowance transfer deadline for a control period in a given year , the owners and operators of each TR NOX Annual source and each TR NOX Annual unit at the source shall hold, in the source's compliance account, TR NOX Annual allowances available for deduction for such control period under §97.424(a) in an amount not less than the tons of total NOX emissions for such control period from all TR NOX Annual units at the source. (ii) If total NOX emissions during a c ontrol period in a given year from the TR NOX Annual units at a TR NOX Annual source are in excess of the TR NOX Annual 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 Annual unit at the source shall hold the TR NOX Annual allowances required for deduction under §97.424(d) ; and*** E.O. 12866 Review

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Page 212 of 773 (B) The owners and operators of the source and each TR NOX Annual unit at the source shall pay any fine, penalty, or assessment or comply with any other remedy imposed, for the same violations, under the Clean Air Act , and e ach 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 Annual assurance provisions. (i) If total NOX emissions during a control period in a given year from all TR NOX Annual units at TR NOX Annual sources in a State (and Indian country within the borders of such State) exceed the State assurance level, then the owners and operators of such sources and units in each group of one or more sources and units having a common designated representative for such control period, where the common designated representative’s share of such NOX emissions during such contro l period exceeds the common designated representative’s assurance level for the State and such control period , shall hold ( in the assurance account established for the owners and operators of such group) TR NOX Annual allowances available for deduction for such control period under §97.425(a) in an amount equal to two times the product (rounded to the nearest whole number), as determined by the Administrator in accordance with §97.425(b), of multiplying

—*** E.O. 12866 Review

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Page 213 of 773 (A) The quotient of the amount by which the common de signated representative’s share of such NOX emissions exceeds the common designated representative’s assurance level divided by the sum of the amounts, determined for all common designated representatives for such sources and units in the State (and Indian country within the borders of such State) for such control period , by which each common designated representative’s share of such NOX emissions exceeds the respective common designated representative’s assurance level; and (B) The amount by which total NOX emissions from all TR NOX Annual units at TR NOX Annual sources in the State (and Indian country within the borders of such State) for such control period exceed the State assurance level. (ii) The owner s and operators shall hold the TR NOX Annual allowances required under paragraph (c)(2)(i) of this section, as of midnight of November 1 (if it is a business day), or midnight of the first business day thereafter (if November 1 is not a business day), immediately after such control period. (iii) Total NOX emissions from all TR NOX Annual units at TR NOX Annual sources in a State (and Indian country within the borders of such State) during a control period in a given year exceed the State assurance level if such total NOX emissions exceed the*** E.O. 12866 Review

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Page 214 of 773 sum, for such control period, of the State NOX Annual trading budget under §97.410( a ) and the State’s variability limit under §97.410(b) . (iv) It shall not be a violation of this subpart or of the Clean Air Act if total NOX emissions from all TR NOX Annual units at TR NOX Annual sources in a State (and Indian country within the borders of such State) during a control period exceed the State assurance level or if a common designated representative’s share of total NOX emissions from the TR NOX Annual units at TR NOX Annual sources in a State (and Indian country within the borders of such State) during a control period exceeds the common designated representative’s assurance level. (v) To the extent the owners and operators fail to hold TR NOX Annual allowances for a control period in a given year in accordance with paragraphs (c)(2)(i) through (iii) of this section, (A) The owner s and operators shall pay any fine, penalty, or assessment or comply with any other remedy imposed under the Clean Air Act; and (B) Each TR NOX Annual allowance that the owner s and operators fail to hold for such control period in accordance with paragraphs (c)(2)(i) through (iii) of this section and each day*** E.O. 12866 Review

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Page 215 of 773 of such control period shall constitute a separate vi olation of this subpart and the Clean Air Act. (3) Compliance periods. A TR NOX Annual unit shall be subject to the requirements under paragraph s (c)(1) and (c)(2) 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 §97.430(b) and for each control period thereafter. (4) Vintage of allowances held for compliance . (i) A TR NOX Annual allowance held for compliance with the requirements under paragr aph (c)(1) (i) of this section for a control period in a given year must be a TR NOX Annual allowance that was allocated for such control period or a control period in a prior year . (ii) A TR NOX Annual allowance held for compliance with the requirements un der paragraphs (c)(1) (ii)(A) and (2) (i) through (iii) of this section for a control period in a given year must be a TR NOX Annual allowance that was allocated for a control period in a prior year or the control period in the given year or in the immediate ly following year . (5) Allowance Management System requirements. Each TR NOX Annual allowance shall be held in, deducted from, or transferred into,*** E.O. 12866 Review

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Page 216 of 773 out of, or between Allowance Management System accounts in accordance with this subpart. (6) Limited authori zation. A TR NOX Annual allowance is a limited authorization to emit one ton of NOX during the control period in one year. Such authorization is limited in its use and duration as follows: (i) Such authorization shall only be used in accordance with the TR NOX Annual Trading Program ; and (ii) Notwithstanding any other provision of this subpart, the Administrator has the authority to terminate or limit the use and duration of such authorization to the extent the Administrator determines is necessary or app ropriate to implement any provision of the Clean Air Act. (7) Property right. A TR NOX Annual allowance does not constitute a property right. (d) Title V p ermit requirements . (1) No title V permit revision shall be required for any allocation, holding, deduction, or transfer of TR NOX Annual 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*** E.O. 12866 Review

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Page 217 of 773 system (under subpart H of part 75 of this chapte r), 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) i n accordance with §§97.430 through 97.435 may be added to, or changed in, a title V permit using minor permit modification procedures in accordance with §§70.7(e)(2) and 71.7(e)(1) of this chapter, provided that the requirements applicable to the described monitoring and reporting (as added or changed, respectively) are already incorporated in such permit. This paragraph explicitly provides that the addition of, or change to, a unit’s description as described in the prior sentence is eligible for minor permit modification procedures in accordance with §§70.7(e)(2)(i)(B) and 71.7(e)(1)(i)(B) of this chapter. (e) Additional r ecordkeeping and reporting requirements . (1) Unless otherwise provided, the owners and operators of each TR NOX Annual source and each TR NOX Annual unit at the source shall keep on site at the source each of the following documents (in hardcopy or electronic format) for a period of 5 years from the date the document is created. This period may be extended for cause, at any time before the end of 5 years, in writing by the Administrator.*** E.O. 12866 Review

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Page 218 of 773 (i) The certificate of representation under §97.416 for the designated representative for the source and each TR NOX Annual unit at the source and all documents that demonstrate the truth of the statemen ts in the certificate of representation; provided that the certificate and documents shall be retained on site at the source beyond such 5 - year period until such certificate of representation and documents are superseded because of the submission of a new certificate of representation under §97.416 changing the designated representative. (ii) All emissions monitoring information, in accordance with this subpart. (iii) Copies of all reports, compliance certifications, and other submissions and all records ma de or required under, or to demonstrate compliance with the requirements of, the TR NOX Annual Trading Program. (2) The designated representative of a TR NOX Annual source and each TR NOX Annual unit at the source shall make all submissions required under the TR NOX Annual Trading Program , except as provided in § 97.4 1 8 . This requirement does not change, create an exemption from, or or otherwise affect the responsible official submission r equirements under a title V operating permit program in parts 70 and 71 of this chapter.*** E.O. 12866 Review

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Page 219 of 773 (f) Liability . (1) Any provision of the TR NOX Annual Trading Program that applies to a TR NOX Annual source or the designated representative of a TR NOX Annual sour ce shall also apply to the owners and operators of such source and of the TR NOX Annual units at the source. (2) Any provision of the TR NOX Annual Trading Program that applies to a TR NOX Annual unit or the designated representative of a TR NOX Annual uni t shall also apply to the owners and operators of such unit. (g) Effect on other authorities . No provision of the TR NOX Annual Trading Program or exemption under §97.405 shall be construed as exempting or excluding the owners and operators, and the designated representative, of a TR NOX Annual source or TR NOX Annual unit from compliance with any other provision of the app licable, approved State implementation plan, a federally enforceable permit, or the Clean Air Act. § 97.407 Computation of time. (a) Unless otherwise stated, any time period scheduled, under the TR NOX Annual Trading Program, to begin on the occurrence of an act or event shall begin on the day the act or event occurs.*** E.O. 12866 Review

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Page 220 of 773 (b) Unless otherwise stated, any time period scheduled, under the TR NOX Annual Trading Program, to begin before the occurrence of an ac t 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 Annual Trading Program, is not a business day , the time period shall be extended to the next business day. § 97.408 Administrative appeal procedures. The administrative appeal procedures for decisions of the Administrator under the TR NOX Annual Trading Program are set forth in part 78 of this chapter. § 97.409 [Reserved] § 97.410 State NOX Annual trading budgets, new unit set- asides, Indian country new unit set- aside, and variability limits. (a) The State NOX Annual trading budgets , new unit set - asides , and Indian country new unit set - asides for allocations of TR NOX Annual allowances for the control periods in 2012 and thereafter are as follows:
State NOX Annual trading New unit set - Indian country*** E.O. 12866 Review

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Page 221 of 773 budget (tons)* for 2012 and 2013 aside (tons) for 2012 and 2013 new unit set aside (tons) for 2012 and 2013 Alabama 72,691 1,454 --- Georgia 62,010 1,240 --- Illinois 47,872 3,830 --- Indiana 109,726 3,292 --- Iowa 38,335 729 38 Kansas 30,714 583 31 Kentucky 85,086 3,403 --- Maryland 16,633 333 --- Michigan 60,193 1,144 60 Minnesota 29,572 561 30 Missouri 52,374 1,571 --- Nebraska 26,440 1, 825 26 New Jersey 7,266 145 --- New York 17,543 508 18 North Carolina 50,587 2, 984 51 Ohio 92,703 1,854 --- Pennsylvania 119,986 2,400 --- South Carolina 32,498 617 33 Tennessee 35,703 714 --- Texas 133,595 3,874 134 Virginia 33,242 1,662 --- West Virginia 59,472 2,974 --- Wisconsin 31,628 1,866 32

State NOX Annual trading

budget (tons)* for 2014 and thereafter New unit set aside (tons) for 2014 and thereafter Indian country

new unit set aside (tons) for 2014 and thereafter Alabama 71,962 1,439 ---*** E.O. 12866 Review

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Page 222 of 773 Georgia 40,540 811 --- Illinois 47,872 3,830 --- Indiana 108,424 3,253 --- Iowa 37,498 712 38 Kansas 25,560 485 26 Kentucky 77,238 3,090 --- Maryland 16,574 331 --- Michigan 57,812 1,098 58 Minnesota 29,572 561 30 Missouri 48,717 1,462 --- Nebraska 26,440 1, 825 26 New Jersey 7,266 145 --- New York 17,543 508 18 North Carolina 41,553 2, 451 42 Ohio 87,493 1,750 --- Pennsylvania 119,194 2,384 --- South Carolina 32,498 617 33 Tennessee 19,337 387 --- Texas 133,595 3,874 134 Virginia 33,242 1,662 --- West Virginia 54,582 2,729 --- Wisconsin 30,398 1, 794 30 * Each trading budget includes the new unit set - aside and, where applicable, the Indian country new unit set - aside and does not include the variability limit. (b) The States’ variability limits for the State NOX Annual trading budgets for the control periods in 201 2 and thereafter are as follows:

State Variability limits

for 2012 and 2013 Variability limits*** E.O. 12866 Review

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Page 223 of 773 for 2014 and thereafter Alabama 13,084 12,953 Georgia 11,162 7,297 Illinois 8,617 8,617 Indiana 19,751 19,516 Iowa 6,900 6,750 Kansas 5,529 4,601 Kentucky 15,315 13,903 Maryland 2,994 2,983 Michigan 10,835 10,406 Minnesota 5,323 5,323 Missouri 9,427 8,769 Nebraska 4,759 4,759 New Jersey 1,308 1,308 New York 3,158 3,158 North Carolina 9,106 7,480 Ohio 16,687 15,749 Pennsylvania 21,597 21,455 South Carolina 5,850 5,850 Tennessee 6,427 3,481 Texas 24,047 24,047 Virginia 5,984 5,984 West Virginia 10,705 9,825 Wisconsin 5,693 5,472

§ 97.411 Timing requirements for TR NOX Annual allowance allocations. (a) Existing units . (1) TR NOX Annual allowances are allocated, for the control periods in 2012 and each year thereafter, as provided in a notice of data availability issued by the Administrator . Providing an allocation to a unit in such notice*** E.O. 12866 Review

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Page 224 of 773 does not constitute a determination that the unit is a TR NOX Annual unit, and not providing an allocation to a unit in such notice does not constitute a determination that the unit is not a TR NOX Annual unit. (2) Notwithstanding pa ragraph (a)(1) of this section, if a unit provided an allocation in the notice of data availability issued under paragraph (a)(1) of this section does not operate, starting after 2011, during the control period in two consecutive years, such unit will not be allocated the TR NOX Annual allowances provided in such notice for the unit for the control periods in the fifth year after the first such year and in each year after that fifth year. All TR NOX Annual allowances that would otherwise have been allocate d to such unit will be allocated to the new unit set - aside for the State where such unit is located and for the respective years involved. If such unit resumes operation, the Administrator will allocate TR NOX Annual allowances to the unit in accordance w ith paragraph (b) of this section. (b) New units . (1) New unit set - asides. (i) By June 1, 2012 and June 1 of each year thereafter, the Administrator will calculate the TR NOX Annual allowance allocation to each TR NOX Annual unit in a State , in accordan ce with §97.412 (a)(2) through (7) and (12) , for the control period in the year of the*** E.O. 12866 Review

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Page 225 of 773 applicable calculation deadline under this paragraph and will promulgate a notice of data availability of the results of the calculations. ( ii ) For each notice of data availability required in paragraph (b)(1) (i) of this section, the Administrator will provide an opportunity for submission of objections to the calculations referenced in such notice. ( A ) Objections shall be submitted by the deadline specified in each noti ce of data availability required in paragraph (b)(1) (i) of this section and shall be limited to addressing whether the calculations (including the identification of the TR NOX Annual units) are in accordance with §97.412 (a)(2) through (7) and (12) and §§97.406(b)(2) and 97.430 through 97.435. ( B ) The Administrator will adjust the calculations to the extent necessary to ensure that they are in accordance with the provisions referenced in paragraph (b)( 1 )(i i ) (A) of this section. By August 1 immedia tely after the promulgation of each notice of data availability required in paragraph (b)(1) (i) of this section, the Administrator will promulgate a notice of data availability of any adjustments that the Administrator determines to be necessary with regard to allocations under §97.412 (a)(2) through (7) and (12) and the reasons for accepting*** E.O. 12866 Review

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Page 226 of 773 or rejecting any objections submitted in accordance with paragraph (b)( 1 )(i i ) (A) of this section . (iii) If the new unit set - aside for such control period contains any TR NOX Annual allowances that have not been allocated in the applicable notice of data availability required in paragraph (b)(1) (ii) of this section , the Administrator will promulgate, by December 15 immediately after such notice, a notice of data availab ility that identifies any TR NOX Annual units that commenced commercial operation during the period starting January 1 of the year before the year of such control period and ending November 30 of year of such control period . ( iv ) For each notice of data availability required in paragraph (b)(1) (iii) of this section, the Administrator will provide an opportunity for submission of objections to the identification of TR NOX annual units in such notice. (A) Objections shall be submitted by the deadline specifi ed in each notice of data availability required in paragraph (b)(1) (iii) of this section and shall be limited to addressing whether the identification of TR NOX annual units in such notice is in accordance with paragraph (b)(1) (iii) of this section . (B) The Administrator will adjust the identification of TR NOX Annual units in the each notice of data availability required in*** E.O. 12866 Review

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Page 227 of 773 paragraph (b)(1)(iii) of this section to the extent necessary to ensure that it is in accordance with paragraph (b)(1) (iii) of this section and will calculate the TR NOX Annual allowance allocation to each TR NOX Annual unit in accordance with §97.412 (a)(9), (10), and (12) and §§97.406(b)(2) and 97.430 through 97.435 . By February 15 immediately after the promulgation of each notice of data availability required in paragraph (b)(1)(iii) of this section , the Administrator will promulgate a notice of data availability of any adjustments of the identification of TR NOX Annual units that the Administrator determines to be necessary , the rea sons for accepting or rejecting any objections submitted in accordance with paragraph (b)( 1 )(iv ) (A) of this section , and the results of such calculations. (v) To the extent any TR NOX Annual allowances are added to the new unit set - aside after promulgation of each notice of data availability required in paragraph (b)(1)(iv) of this section, the Administrator will promulgate additional notices of data availability, as deemed appropriate, of the allocation of such TR NOX Annual allowances in accordance with § 97.412 (a)(10). ( 2 ) Indian country new unit set - asides. (i) By June 1, 2012 and June 1 of each year thereafter, the Administrator will calculate the TR NOX Annual allowance allocation to each TR NOX Annual unit*** E.O. 12866 Review

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Page 228 of 773 in Indian country within the borders of a State , in accordance with §97.412 (b)(2) through (7) and (12) , for the control period in the year of the applicable calculation deadline under this paragraph and will promulgate a notice of data availability of the results of the calculations. ( ii ) For each notice of data availability required in paragraph (b)( 2 ) (i) of this section, the Administrator will provide an opportunity for submission of objections to the calculations referenced in such notice. ( A ) Objecti ons shall be submitted by the deadline specified in each notice of data availability required in paragraph (b)( 2 ) (i) of this section and shall be limited to addressing whether the calculations (including the identification of the TR NOX Annual units) are i n accordance with §97.412 (b)(2) through (7) and (12) and §§97.406(b)(2) and 97.430 through 97.435. ( B ) The Administrator will adjust the calculations to the extent necessary to ensure that they are in accordance with the provisions referenced in paragraph (b)( 2 )(i i ) (A) of this section. By August 1 immediately after the promulgation of each notice of data availability required in paragraph (b)( 2 ) (i) of this section, the Administrator will promulgate a notice of data availability of any adjustments that the Administrator*** E.O. 12866 Review

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Page 229 of 773 determines to be necessary with regard to allocations under §97.412 (b)(2) through (7) and (12) and the reasons for accepting or rejecting any objections submitted in accordance with paragraph (b)( 2 )(i i ) (A) of this section . (iii) If the Indian country new unit set - aside for such control period contains any TR NOX Annual allowances that have not been allocated in the applicable notice of data availability required in paragraph (b)( 2 ) (ii) of this section , the Administrator will promulgate, by December 15 immediately after such notice, a notice of data availability that identifies any TR NOX Annual units that commenced commercial operation during the period starting January 1 of the year before the year of such control period and ending November 30 of year of such control period . ( iv ) For each notice of data availability required in paragraph (b)( 2 ) (iii) of this section, the Administrator will provide an opportunity for submission of objections to the ident ification of TR NOX annual units in such notice. (A) Objections shall be submitted by the deadline specified in each notice of data availability required in paragraph (b)( 2 ) (iii) of this section and shall be limited to addressing whether the identificatio n of TR NOX annual units in such notice is in accordance with paragraph (b)( 2 ) (iii) of this section .*** E.O. 12866 Review

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Page 230 of 773 (B) The Administrator will adjust the identification of TR NOX Annual units in the each notice of data availability required in paragraph (b)(2)(iii) of this section to the extent necessary to ensure that it is in accordance with paragraph (b)( 2 ) (iii) of this section and will calculate the TR NOX Annual allowance allocation to each TR NOX Annual unit in accordance with §97.412 (b)(9), (10), and (12) and §§9 7.406(b)(2) and 97.430 through 97.435 . By February 15 immediately after the promulgation of each notice of data availability required in paragraph (b)(2)(iii) of this section , the Administrator will promulgate a notice of data availability of any adjustme nts of the identification of TR NOX Annual units that the Administrator determines to be necessary , the reasons for accepting or rejecting any objections submitted in accordance with paragraph (b)( 2 )(iv ) (A) of this section , and the results of such calculations. (v) To the extent any TR NOX Annual allowances are added to the Indian country new unit set - aside after promulgation of each notice of data availability required in paragraph (b)(2)(iv) of this section, the Administ rator will promulgate additional notices of data availability, as deemed appropriate, of the allocation of such TR NOX Annual allowances in accordance with §97.412 (b)(10).*** E.O. 12866 Review

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Page 231 of 773 (c) Units incorrectly allocated TR NOX Annual allowances . (1) For each control peri od in 2012 and thereafter, if the Administrator determines that TR NOX Annual allowances were allocated under paragraph (a) of this section , or under a provision of a SIP revision approved under § 52.38(a)(3), (4), or (5) of this chapter, where such control period and the recipient are covered by the provisions of paragraph (c)(1)(i) of this section or were allocated under § 97.4 12 (a)(2) through (7), (9), and (12) and (b)(2) through (7), (9), and (12), or under a provision of a SIP revision approved under § 52.38(a)(4) or (5) of this chapter, where such control period and the recipient are covered by the provisions of paragraph (c)(1)(ii) of this section , then the Administrator will notify the designated representative of the recipient and will act in accordance with the procedures set forth in paragraphs (c)(2) through (5) of this section : (i)(A) The recipient is not actually a TR NOX Annual unit under §97.404 as of January 1, 2012 and is allocated TR NOX Annual allowances for such control period or, in the c ase of an allocation under a provision of a SIP revision approved under § 52.38(a)(3), (4), or (5) of this chapter, the recipient is not actually a TR NOX Annual unit as of January 1, 2012 and is allocated TR NOX Annual allowances for such control period th at*** E.O. 12866 Review

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Page 232 of 773 the SIP revision provides should be allocated only to recipients that are TR NOX Annual units as of January 1, 2012; or (B) The recipient is not located as of January 1 of the control period in the State from whose NOX Annual trading budget the TR NOX Annual allowances allocated under paragraph (a) of this section, or under a provision of a SIP revision approved under § 52.38(a)(3), (4), or (5) of this chapter, were allocated for such control period. (ii) The recipient is not actually a TR NOX Annual uni t under §97.404 as of January 1 of such control period and is allocated TR NOX Annual allowances for such control period or, in the case of an allocation under a provision of a SIP revision approved under § 52.38(a)(3), (4), or (5) of this chapter, the recipient is not actually a TR NOX Annual unit as of January 1 of such control period and is allocated TR NOX Annual allowances for such control period that the SIP revision provides should be allocated only to recipients that are TR NOX Annual units as of January 1 of such control period . ( 2 ) Except as provided in paragraph (c)( 3 ) or ( 4 ) of this section, the Administrator will not record such TR NOX Annual allowances under §97.421.*** E.O. 12866 Review

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Page 233 of 773 ( 3 ) If the Administrator alr eady recorded such TR NOX Annual allowances under §97.421 and if the Administrator makes the determination under paragraph (c)(1) of this section before making deductions for the source that includes such recipient under §97.424(b) for such control period, then the Administrator will deduct from the account in which such TR NOX Annual allowances were recorded an amount of TR NOX Annual allowances allocated for the same or a prior control period equal to the amount of such already recorded TR NOX Annual allowances. The authorized account representative shall ensure that there are sufficient TR NOX Annual allowances in such account for completion of the deduction. ( 4 ) If the Administrator already recorded such TR NOX Annual allowances under §97.421 and if the Administrator makes the determination under paragraph (c)(1) of this section after making deductions for the source that includes such recipient under §97.424(b) for such control period, then the Administrator will not make any deduction to take account of such already recorded TR NOX Annual allowances. ( 5 ) (i) With regard to the TR NOX Annual allowances that are not recorded, or that are deducted as an incorrect allocation , in accordance with paragraphs (c)( 2 ) and ( 3 ) of this section for a*** E.O. 12866 Review

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Page 234 of 773 recipient under paragraph (c)(1)(i) of this section, the Administrator will: (A) Transfer such TR NOX Annual allowances to the new unit set aside for such control period for the State from whose NOX Annual trading budget the TR NOX Annual allowances were allocated; or (B) If the State has a SIP revision approved under § 52.38(a)(4) or (5) covering such control period, include such TR NOX Annual allowances in the portion of the State NOX Annual trading budget that may be allocated for such control period in accordance with such SIP revision. (ii) With regard to the TR NOX Annual allowances that were not allocated from the Indian country new unit set - aside for such control period and that are not recorded, or that are deducted as an incorrect allocation , in accordance with paragraphs (c)( 2 ) and ( 3 ) of this section for a recipient under paragraph (c)(1)(ii) of this paragraph, the Administrator will: (A) Transfer such TR NOX Annual allowances to the new unit set aside for such control period; or (B) If the State has a SIP revision approved under § 52.38(a)(4) or (5) covering such control period, include such TR NOX Annual allowances in the portion of the State NOX Annual trading budget*** E.O. 12866 Review

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Page 235 of 773 that may be allocated for such control period in accordance with such SIP revision. (ii i) With regard to the TR NOX Annual allowances that were allocated from the Indian country new unit set - aside for such control period and that are not recorded, or that are deducted as an incorrect allocation , in accordance with paragraphs (c)( 2 ) and ( 3 ) of this section for a recipient under paragraph (c)(1)(ii) of this paragraph, the Administrator will transfer such TR NOX Annual allowances to the Indian country new unit set aside for such control period. § 97.412 TR NOX Annual allowance allocations to new units. (a) For each control period in 2012 and thereafter and for the TR NOX Annual units in each State , the Administrator will allocate TR NOX Annual allowances to the TR NOX Annual units as follows: (1) The TR NOX Annual allowances will be allocat ed to the following TR NOX Annual units , except as provided in paragraph (a)(10) of this section: (i) TR NOX Annual units that are not allocated an amount of TR NOX Annual allowances in the notice of data availability issued under §97.411 (a)(1);*** E.O. 12866 Review

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Page 236 of 773 (ii) TR NOX Annual units whose allocation of an amount of TR NOX Annual allowances for such control period in the notice of data availability issued under §97.411 (a)(1) is covered by §97.411(c)( 2 ) or ( 3 ) ; (iii) TR NO X Annual units that are allocated an amount of TR NOX Annual allowances for such control period in the notice of data availability issued under §97.411 (a)(1), which allocation is terminated for such control period pursuant to §97.411(a)(2) , and that operate during the control period immediately precedin g such control period ; or (iv) For purposes of paragraph (a)(9) of this section, TR NO X Annual units under §97.411 (c)(1)(ii) whose allocation of an amount of TR NOX Annual allowances for such control period in the notice of data availability issued under § 97.41 1(b)(1)(ii)(B) is covered by §97.411(c)( 2 ) or ( 3 ) . ( 2 ) The Administrator will establish a separate new unit set aside for the State for each such control period. Each such new unit set - aside will be allocated TR NOX Annual allowances in an amount equal to the applicable amount of tons of NOX emissions as set forth in §97.410(a) and will be allocated additional TR NOX Annual allowances (if any) in accordance with §§97.411(a)(2) and (c)( 5 ) and paragraph (b)(10) of this section .*** E.O. 12866 Review

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Page 237 of 773 ( 3 ) The Administrator will determine, for each TR NOX Annual unit described in paragraph (a)(1) of this section, an allocation of TR NOX Annual allowances for the later of the following control periods and for each subsequent control period: (i) The control period in 2012 ; (ii) The first control period after the control period in which the TR NOX Annual unit commences commercial operation ; (iii) For a unit described in paragraph (a)(1)(ii) of this section, the first control period in which the TR NOX Annual unit operates in the State after operating in another jurisdiction and for which the unit is not already allocated one or more TR NOX Annual allowances ; and (iv) For a unit described in paragraph (a)(1)(iii) of this section, the first control period after the control period in which the unit resumes operation . (4)(i) The allocation to each TR NOX annual unit described in paragraph (a)(1)(i) through (iii) of this section and for each control period described in paragraph (a)(3) of this section will be an amount equal to the unit’s total tons of NOX emissions during the immediately preceding control period .*** E.O. 12866 Review

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Page 238 of 773 (ii) The Administrator will adjust the allocation amount in paragraph (a)(4)(i) in accordance with paragraphs (a)(5) through ( 7 ) and (12) of this section. (5) The Administrator will calculate the sum of the TR NOX Annual allowances determined for all such TR NOX Annual unit s under paragraph (a)(4)(i) of this section in the State for such control period. (6) If the amount of TR NOX Annual allowances in the new unit set - aside for the State for such control period is greater than or equal to the sum under paragraph (a)( 5 ) of this section, then the Administrator will allocate the amount of TR NOX Annual allowances determined for each such TR NOX Annual unit under paragraph (a)(4)(i) of this section . (7) If the amount of TR NOX Annual allowances in the new unit set - aside for the State for such control period is less than the sum under paragraph (a)( 5 ) of this section, then the Administrator will alloc ate to each such TR NOX Annual unit the amount of the TR NOX Annual allowances determined under paragraph (a)(4)(i) of this section for the unit , multiplied by the amount of TR NOX Annual allowances in the new unit set - aside for such control period, divide d by the sum under paragraph (a)( 5 ) of this section, and rounded to the nearest allowance.*** E.O. 12866 Review

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Page 239 of 773 (8) The Administrator will notify the public , through the promulgation of the notices of data availability described in §97.411(b) (1)(i) and (ii) , of the amount of TR NOX Annual allowances allocated under paragraphs (a)( 2 ) through ( 7) and (12 ) of this section for such control period to each TR NOX Annual unit eligible for such allocation . (9) If, after completion of the procedures under paragraph s (a) (5) through (8 ) of this section for such control period, any unallocated TR NOX Annual allowances remain in the new unit set aside for the State for such control period, the Administrator will allocate such TR NOX Annual allowances as follows -- (i) The Administrator wil l determine, for each unit described in paragraph (a)(1) of this section that commenced commercial operation during the period starting January 1 of the year before the year of such control period and ending November 30 of year of such control period, the positive difference (if any) between the unit’s emissions during such control period and the amount of TR NOX Annual allowances referenced in the notice of data availability required under §97.411 (b)(1)(ii) for the unit for such control period;*** E.O. 12866 Review

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Page 240 of 773 (ii) The Administrator will determine the sum of the positive differences determined under paragraph (a)(9)(i) of this section; (iii) If the amount of unallocated TR NOX Annual allowances remaining in the new unit set - aside for the State for such control period is greater than or equal to the sum determined under paragraph (a)( 9 ) (ii) of this section, then the Administrator will allocate the amount of TR NOX Annual allowances determined for each such TR NOX Annual unit under paragraph (a)(9)(i) of this section; and ( iv) If the amount of unallocated TR NOX Annual allowances remaining in the new unit set - aside for the State for such control period is less than the sum under paragraph (a)( 9)(ii) of this section, then the Administrator will allocate to each such TR NOX Annual unit the amount of the TR NOX Annual allowances determined under paragraph (a)(9)(i) of this section for the unit , multiplied by the amount of unallocated TR NOX Annual allowances remaining in the new unit set - aside for such control period, divided by the sum under paragraph (a)( 9)(ii) of this section, and rounded to the nearest allowance. (10) If, after completion of the procedures under paragraph s (a) (9) and (12) of this section for such control period, any*** E.O. 12866 Review

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Page 241 of 773 unallocated TR NOX Annual allowances remain in the new unit set aside for the State for such control period, the Administrator will allocate to each TR NOX Annual unit that is in the State, is allocated an amount of TR NOX Annual allowances in the notice of data availabilit y issued under §97.411 (a)(1) , and continues to be allocated TR NOX Annual allowances for such control period in accordance with §97.411(a)(2), an amount of TR NOX Annual allowances equal to the following: the total amount of such remaining unallocated TR NOX Annual allowances in such new unit set - aside, multiplied by the unit's allocation under §97.411(a) for such control period, divided by the remainder of the amount of tons in the applicable State NOX Annual trading budget minus the sum of the amount s of tons in such new unit set - aside and the Indian country new unit set - aside for the State for such control period , and rounded to the nearest allowance. (11) The Administrator will notify the public , through the promulgation of the notices of data availabili ty described in §97.411( b ) (1)(iii), (iv) , and (v), of the amount of TR NOX Annual allowances allocated under paragraphs (a)(9), (10), and (12) of this section for such control period to each TR NOX Annual unit eligible for such allocation. (12)(i) Notwiths tanding the requirements of paragraphs (a)(2) through (11) of this section, if the calculations of allocations*** E.O. 12866 Review

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Page 242 of 773 of a new unit set - aside for a control period in a given year under paragraph (a)(7) of this section, paragraphs (a)(6) and (9)(iv) of this sectio n, or paragraphs (a)(6), (9)(iii), and (10) of this section would otherwise result in total allocations of such new unit set - aside exceeding the total amount of such new unit set - aside, then the Administrator will adjust the results of the calculations under paragraph (a)(7), (9)(iv), or (10) of this section, as applicable, as follows. The Administrator will list the TR NOX Annual units in descending order based on the amount of such units’ allocations under paragraph (a)(7), (9)(iv), or (10) of this section, as applicable, and, in cases of equal allocation amounts, in alphabetical order of the relevant source’s name and numerical order of the relevant unit’s identification number, and will reduce each unit’s allocation under paragraph (a)(7), (9)(iv), or (10) of this section, as applicable, by one TR NOX Annual allowance (but not below zero) in the order in which the units a re listed and will repeat this reduction process as necessary, until the total allocations of such new unit set - aside equal the total amount of such new unit set - aside. (ii) Notwithstanding the requirements of paragraphs (a)(10) and (11) of this section, if the calculations of allocations of a new unit set - aside for a control period in a given year under*** E.O. 12866 Review

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Page 243 of 773 paragraphs (a)(6), (9)(iii), and (10) of this section would otherwise result in a total allocations of such new unit set aside less than the total amount of such new unit set - aside, then the Administrator will adjust the results of the calculations under paragraph (a)(10) of this section, as follows. The Administrator will list the TR NOX Annual units in descending order based on the amount of such units’ allocations under paragraph (a)(10) of this section and, in cases of equal allocation amounts, in alphabetical order of the relevant source’s name and numerical order of the relevant unit’s identification number, and will increase each unit’s allocation under paragraph (a)(10) of this section by one TR NOX Annual allowance in the order in which the units are listed and will repeat this increase process as necessary, until the total allocations of such new unit set - aside equal the total amount of such new unit set - aside. ( b ) For each control period in 2012 and thereafter and for the TR NOX Annual units located in Indian country within the borders of each State , the Administrator will allocate TR NOX Annual allowances to the TR NOX Annual units as follows: (1) The TR NOX Annual allowances will be allocated to the following TR NOX Annual units , except as provided in paragraph (b)(10) of this section:*** E.O. 12866 Review

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Page 244 of 773 (i) TR NOX Annual units that are not allocated an amount of TR NOX Annual allowances in the notice of data availability issued under §97.411 (a)(1); or (ii) For purposes of paragraph (b)(9) of this section, TR NO X Annual units under §97.411 (c)(1)(ii) whose allocation of an amount of TR NOX Annual allowances for such control period in the notice of data availability issued under §97.41 1(b)(2)(ii)(B) is covered by §97.411(c)( 2 ) or ( 3 ) . (2 ) The Administrator will establish a separate Indian country new unit set - aside for the State for each such control period. Each such Indian country new unit set - aside will be allocated TR NOX Annual allowances in an amount equal to the applicable amount of tons of NOX emissions as set forth in §97.410(a) and will be allocated additional TR NOX Annual allowances (if any) in accordance with §97.411(c)( 5 ). ( 3 ) The Administrator will determine, for each TR NOX Annual unit described in paragraph (b)(1) of this section, an allocation of TR NOX Annual allowances for the later of the following control periods and for each subsequent control period: (i) The control period in 2012 ; and*** E.O. 12866 Review

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Page 245 of 773 (ii) The first control period after the control period in which the TR NOX Annual unit commences commercial operation . (4)(i) The allocation to each TR NOX annual unit described in paragraph (b)(1)(i) of this section and for ea ch control period described in paragraph (b)(3) of this section will be an amount equal to the unit’s total tons of NOX emissions during the immediately preceding control period . (ii) The Administrator will adjust the allocation amount in paragraph (b)(4)( i) in accordance with paragraphs ( b )(5) through ( 7 ) and (12) of this section. (5) The Administrator will calculate the sum of the TR NOX Annual allowances determined for all such TR NOX Annual unit s under paragraph (b)(4)(i) of this section in Indian coun try within the borders of the State for such control period. (6) If the amount of TR NOX Annual allowances in the Indian country new unit set - aside for the State for such control period is greater than or equal to the sum under paragraph ( b )( 5 ) of this section, then the Administrator will allocate the amount of TR NOX Annual allowances determined for each such TR NOX Annual unit under paragraph (b)(4)(i) of this section .*** E.O. 12866 Review

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Page 246 of 773 (7) If the amount of TR NOX Annual allowances in the Indian country new unit set - asi de for the State for such control period is less than the sum under paragraph ( b )( 5 ) of this section, then the Administrator will allocate to each such TR NOX Annual unit the amount of the TR NOX Annual allowances determined under paragraph (b)(4)(i) of th is section for the unit , multiplied by the amount of TR NOX Annual allowances in the Indian country new unit set - aside for such control period, divided by the sum under paragraph ( b )( 5 ) of this section, and rounded to the nearest allowance. (8) The Adminis trator will notify the public , through the promulgation of the notices of data availability described in §97.411(b) (2)(i) and (ii) , of the amount of TR NOX Annual allowances allocated under paragraphs (b)(2) through (7) and (12) of this section for such co ntrol period to each TR NOX Annual unit eligible for such allocation . (9) If, after completion of the procedures under paragraph s ( b ) (5) through (8) of this section for such control period, any unallocated TR NOX Annual allowances remain in the Indian country new unit set - aside for the State for such control period, the Administrator will allocate such TR NOX Annual allowances as follows --*** E.O. 12866 Review

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Page 247 of 773 (i) The Administrator will determine, for each unit described in paragraph (b)(1) of this section that comme nced commercial operation during the period starting January 1 of the year before the year of such control period and ending November 30 of year of such control period, the positive difference (if any) between the unit’s emissions during such control perio d and the amount of TR NOX Annual allowances referenced in the notice of data availability required under §97.411 (b)(2)(ii) for the unit for such control period; (ii) The Administrator will determine the sum of the positive differences determined under par agraph (b)(9)(i) of this section; (iii) If the amount of unallocated TR NOX Annual allowances remaining in the Indian country new unit set - aside for the State for such control period is greater than or equal to the sum determined under paragraph ( b )( 9 ) (ii) of this section, then the Administrator will allocate the amount of TR NOX Annual allowances determined for each such TR NOX Annual unit under paragraph (b)(9)(i) of this section; and (iv) If the amount of unallocated TR NOX Annual allowances remaining in the Indian country new unit set - aside for the State for such control period is less than the sum under paragraph*** E.O. 12866 Review

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Page 248 of 773 ( b )( 9)(ii) of this section, then the Administrator will allocate to each such TR NOX Annual unit the amount of the TR NOX Annual allowances determined under paragraph (b)(9)(i) of this section for the unit , multiplied by the amount of unallocated TR NOX Annual allowances remaining in the Indian country new unit set aside for such control period, divided by the sum under paragraph ( b )( 9)(ii) of this section, and rounded to the nearest allowance. (10) If, after completion of the procedures under paragraph s ( b ) (9) and ( 12 ) of this section for such control period, any unallocated TR NOX Annual allowances remain in the Indian country new unit set - aside for the State for such control period, the Administrator will : (i) Transfer such unallocated TR NOX Annual allowances to the new unit set - aside for the State for such control period; or (ii) If the State has a SIP revision approved under § 52.38(a)( 4) or (5) covering such control period, include such unallocated TR NOX Annual allowances in the portion of the State NOX Annual trading budget that may be allocated for such control period in accordance with such SIP revision. (11) The Administrator will notify the public , through the promulgation of the notices of data availability described in*** E.O. 12866 Review

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Page 249 of 773 §97.411(b) (2)(iii), (iv) , and (v), of the amount of TR NOX Annual allowances allocated under paragraphs (b)(9), (10), and (12) of this sect ion for such control period to each TR NOX Annual unit eligible for such allocation. (12)(i) Notwithstanding the requirements of paragraphs (b)(2) through (11) of this section, if the calculations of allocations of an Indian country new unit set - aside for a control period in a given year under paragraph (b)(7) of this section, paragraphs (b)(6) and (9)(iv) of this section, or paragraphs (b)(6), (9)(iii), and (10) of this section would otherwise result in total allocations of such Indian country new unit se t - aside exceeding the total amount of such Indian country new unit set aside, then the Administrator will adjust the results of the calculations under paragraph (b)(7), (9)(iv), or (10) of this section, as applicable, as follows. The Administrator will li st the TR NOX Annual units in descending order based on the amount of such units’ allocations under paragraph (b)(7), (9)(iv), or (10) of this section, as applicable, and, in cases of equal allocation amounts, in alphabetical order of the relevant source’s name and numerical order of the relevant unit’s identification number, and will reduce each unit’s allocation under paragraph (b)(7), (9)(iv), or (10) of this section, as applicable, by one TR NOX Annual allowance (but not below zero)*** E.O. 12866 Review

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Page 250 of 773 in the order in which the units are listed and will repeat this reduction process as necessary, until the total allocations of such Indian country new unit set - aside equal the total amount of such Indian country new unit set - aside. (ii) Notwithstanding the requirements of p aragraphs (b)(10) and (11) of this section, if the calculations of allocations of an Indian country new unit set - aside for a control period in a given year under paragraphs (b)(6), (9)(iii), and (10) of this section would otherwise result in a total allocations of such Indian country new unit set - aside less than the total amount of such Indian country n ew unit set - aside, then the Administrator will adjust the results of the calculations under paragraph (b)(10) of this section, as follows. The Administrator will list the TR NOX Annual units in descending order based on the amount of such units’ allocatio ns under paragraph (b)(10) of this section and, in cases of equal allocation amounts, in alphabetical order of the relevant source’s name and numerical order of the relevant unit’s identification number, and will increase each unit’s allocation under parag raph (b)(10) of this section by one TR NOX Annual allowance in the order in which the units are listed and will repeat this increase process as necessary, until the total allocations of such Indian country*** E.O. 12866 Review

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Page 251 of 773 new unit set - aside equal the total amount of such Indian country new unit set - aside. § 97.413 Authorization of designated representative and alternate designated representative. (a) Except as provided under §97.415, each TR NOX Annual source, including all TR NOX Annual units at the source, shall have o ne and only one designated representative, with regard to all matters under the TR NOX Annual 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 Annual units at the source and shall act in accordance with the certification statement in §97.416(a)(4)(iii). (2) Upon and after receipt by the Administrator of a complete certificate of representation under §97.416: (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 Annual unit at the source in all matters pertaining to the TR NOX Annual Trading Progr am, notwithstanding any agreement between the designated representative and such owners and operators; and*** E.O. 12866 Review

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Page 252 of 773 (ii) The owners and operators of the source and each TR NOX Annual unit at the source shall be bound by any decision or order issued to the designate d representative by the Administrator regarding the source or any such unit. (b) Except as provided under §97.415, each TR NOX Annual source may have one and only one alternate designated representative, who may act on behalf of the designated representati ve. 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 sh all be selected by an agreement binding on the owners and operators of the source and all TR NOX Annual units at the source and shall act in accordance with the certification statement in §97.416(a)(4)(iii). (2) Upon and after receipt by the Administrator of a complete certificate of representation under §97.416, (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*** E.O. 12866 Review

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Page 253 of 773 repre sentation, action, inaction, or submission by the designated representative; and (iii) The owners and operators of the source and each TR NOX Annual 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, §97.402, and §§97.414 through 97.418, whenever the term “designated representative” (as distinguished from the term “common designated representative”) is used in thi s subpart, the term shall be construed to include the designated representative or any alternate designated representative. § 97.414 Responsibilities of designated representative and alternate designated representative. (a) Except as provided under §97.41 8 concerning delegation of authority to make submissions, each submission under the TR NO X Annual Trading Program shall be made, signed, and certified by the designated representative or alternate designated representative for each TR NOX Annual source and TR NOX Annual unit for which the submission is made. Each such submission shall include the following certification statement by the designated representative or alternate designated*** E.O. 12866 Review

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Page 254 of 773 representative: “I am authorized to make this submissi on 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 at tachments. 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 Annual sou rce or a TR NOX Annual unit only if the submission has been made, signed, and certified in accordance with paragraph (a) of this section and §97.418. § 97.415 Changing designated representative and alternate designated representative; changes in owners and operators; changes in units at the source. (a) Changing designated representative . The designated representative may be changed at any time upon receipt by the Administrator of a superseding complete certificate of*** E.O. 12866 Review

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Page 255 of 773 representation under §97.416. Notwith standing 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 Annual source and the TR NOX Annual 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 §97.416. 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 Annual source and the TR NOX Annua l units at the source. (c) Changes in owners and operators . (1) In the event an owner or operator of a TR NOX Annual source or a TR NOX Annual unit at the source is not included in the list of owners and operators in the certificate of representation under §97.416, such owner or operator shall be deemed to be subject to and bound by the*** E.O. 12866 Review

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Page 256 of 773 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 Annual source or a TR NOX Annual unit at the source , including the addition or removal of an owner or operator, the designated representative or any alternate designated representative shall submit a revision to the certificate of representation under §97.416 amending the list of owners and operators to refl ect the change. ( d ) Changes in units at the source . Within 30 days of any change in which units are located at a TR NOX Annual source (including the addition or removal of a unit), the designated representative or any alternate designated representative s hall submit a certificate of representation under §97.416 amending the list of units to reflect the change. (1) If the change is the addition of a unit that operated (other than for purposes of testing by the manufacturer before initial installation) bef ore being located at the source, then the certificate of representation shall identify, in a format*** E.O. 12866 Review

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Page 257 of 773 prescribed by the Administrator, the entity from whom the unit was purchased or otherwise obtained (including name, address, telephone number, and facsimile number (if any)), the date on which the unit was purchased or otherwise obtained, and the date on which the unit became located at the source. (2) If the change is the removal of a unit, then the certificate of representation shall identify, in a format p rescribed by the Administrator, the entity to which the unit was sold or that otherwise obtained the unit (including name, address, telephone number, and facsimile number (if any)), the date on which the unit was sold or otherwise obtained, and the date on which the unit became no longer located at the source. § 97.416 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 Annual source, and each TR NOX Annual 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*** E.O. 12866 Review

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Page 258 of 773 longitude, unit identification number and type, identification number and nameplate capacity (in MWe , rounded to the nearest tenth) of each generator served by each such unit, actual or projected date of commencement of commercial operation , and a statement of whether such source is located in Indian Country . If a projected date of commencement of commercial operation is provided, the actual date of commencement of c ommercial operation shall be provided when such information becomes available. (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 repres entative. (3) A list of the owners and operators of the TR NOX Annual source and of each TR NOX Annual unit at the source. (4) The following certification statements by the designated representative and any alternate designated representative

— (i) “I certi fy 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 Annual unit at the source.”*** E.O. 12866 Review

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Page 259 of 773 (ii) “I certify that I have all the necessary authority to carry out my duties and responsibilities under the TR NOX Annual Trading Program on behalf of the owners and operators of the source and of each TR NOX Annual unit at the source and that each such owner and operator shall be fully b ound by my representations, actions, inactions, or submissions and by any decision or order issued to me by the Administrator regarding the source or unit.” (iii) “Where there are multiple holders of a legal or equitable title to, or a leasehold interest i n, a TR NOX Annual unit, or where a utility or industrial customer purchases power from a TR NOX Annual 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 repr esentative’ 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 Annual unit at the source; and TR NOX Annual allowances and proceeds of transactio ns involving TR NOX Annual 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 differ ent distribution of TR NOX Annual allowances by contract, TR NOX*** E.O. 12866 Review

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Page 260 of 773 Annual allowances and proceeds of transactions involving TR NO X Annual allowances will be deemed to be held or distributed in accordance with the contract.” (5) The signature of the designate d 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. § 97.417 Objections concerning designated representative and alternate designated representative. (a) Once a complete certificate of rep resentation under §97.416 has been submitted and received, the Administrator will rely on the certificate of representation unless and until a superseding complete certificate of representation under §97.416 is received by the Administrator. (b) Except as provided in paragraph (a) of this section , no objection or other communication submitted to the Administrator concerning the authorization, or any representation, action, inaction, or submission, of a designated representative or*** E.O. 12866 Review

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Page 261 of 773 alternate designated repre sentative 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 Annual 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 conc erning the proceeds of TR NOX Annual allowance transfers. § 97.418 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 p rovided for or required under this subpart.*** E.O. 12866 Review

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Page 262 of 773 (c) In order to delegate authority to a natural person to make an electronic submission to the Administrator in accordance with paragraph (a) or (b) of this section, the designated representative or alternate des ignated 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 in this section a s 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 designa ted 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*** E.O. 12866 Review

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Page 263 of 773 an d 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 97.418(d) shall be deemed to be an electronic submi ssion by me.” (ii) “Until this notice of delegation is superseded by another notice of delegation under 40 CFR 97.418(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 delega tion of authority by me under 40 CFR 97.418 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 notic e 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*** E.O. 12866 Review

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Page 264 of 773 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. § 97.419 [Reserved] § 97.420 Establishment of compliance accounts, assurance accounts, and general accounts. (a) Compliance accounts . Upon receipt of a complete certificate of representation under §97.416, the Administrator will establish a compliance account for the TR NOX Annual 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 represent ative and the alternate authorized account representative respectively of the compliance account. (b) Assurance accounts. The Administrator will establish assurance account s for certain owners and operators and States in accordance with §97.4 25(b)(3). ( c ) General accounts . (1) Application for general account . (i) Any person may apply to open a general account, for the purpose*** E.O. 12866 Review

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Page 265 of 773 of holding and transferring TR NOX Annual 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 repres entative 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 Annual 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 li eu 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;*** E.O. 12866 Review

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Page 266 of 773 (B) An identifying name for the general account; (C) A list of all persons subject to a binding agreement for the authorize d account representative and any alternate authorized account representative to represent their ownership interest with respect to the TR NOX Annual 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 Annual 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 Annual Trading Program on behalf of such pers ons and that each such person shall be fully bound by my representations, actions, inactions, or submissions and by any decision or order issued to me by the Administrator regarding the general account.” (E) The signature of the authorized account represen tative and any alternate authorized account representative and the dates signed.*** E.O. 12866 Review

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Page 267 of 773 (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 Admi nistrator 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 respe ct to TR NOX Annual allowances held in the general account in all matters pertaining to the TR NOX Annual 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*** E.O. 12866 Review

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Page 268 of 773 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 Annual allowances held in the general account shall be bound by any decision or order issued to the authorized account representative or alternate authorized account representative by the Administrator regarding the general account. (ii) Except as provided in paragraph ( c )(5) of this section concerning delegation of authority to make submissions, each submission concerning the general account shall be made, signed, and certified by the authorized account representative or any alternate authorized account representative for the persons having an ownership interest with respect to TR NOX Annual 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 Annual 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*** E.O. 12866 Review

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Page 269 of 773 inquiry of those individuals with primary re sponsibility 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 informat ion 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 r epresentative of a general account may be changed at any time upon receipt by the Administrator of a superseding complete application for a general account under paragraph ( c )(1) of this section. Notwithstanding any such change, all representations, actio ns, 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*** E.O. 12866 Review

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Page 270 of 773 persons with an ownership interest with respect to the TR NOX Annual 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 supersedin g complete application for a general account under paragraph ( c )(1) of this section. Notwithstanding any such change, all representations, actions, inactions, and submissions by the previous alternate authorized account representative before the time and date when the Administrator receives the superseding application for a general account shall be binding on the new alternate authorized account representative, the authorized account representative, and the persons with an ownership interest with respect t o the TR NOX Annual allowances in the general account. (iii)(A) In the event a person having an ownership interest with respect to TR NOX Annual 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 o f the account, and the decisions and*** E.O. 12866 Review

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Page 2 71 of 773 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 Annual allowances in the general account, inc luding the addition or removal of a person, the authorized account representative or any alternate authorized account representative shall submit a revision to the application for a general account amending the list of persons having an ownership interest with respect to the TR NOX Annual allowances in the general account to include the change. (4) Objections concerning authorized account representative and alternate authorized account representative . (i) Once a complete application for a general account under paragraph ( c )(1) of this section has been submitted and received, the Administrator will rely on the application unless and until a superseding complete application for a general account under paragraph (b)(1) of this section is received by the Admini strator. (ii) Except as provided in paragraph ( c )( 4 ) (i) of this section, no objection or other communication submitted to the Administrator concerning the authorization, or any representation, action, inaction, or submission of the*** E.O. 12866 Review

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Page 272 of 773 authorized account repre sentative 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 o f any decision or order by the Administrator under the TR NOX Annual Trading Program. (iii) The Administrator will not adjudicate any private legal dispute concerning the authorization or any representation, action, inaction, or submission of the authorize d account representative or any alternate authorized account representative of a general account, including private legal disputes concerning the proceeds of TR NOX Annual 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 un der this subpart. (ii) An alternate authorized account representative of a general account may delegate, to one or more natural persons, his or her*** E.O. 12866 Review

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Page 273 of 773 authority to make an electronic submission to the Administrator provided for or required under this subpart. (iii) In order to delegate authority to a natural person to make an electronic submission to the Administrator in accordance with paragraph ( c )(5)(i) or (ii) of this section, the authorized account representative or alternate authorized account representa tive, 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 in this section as an “agent”); (C) For each such natural person, a list of the type or types of electronic submissions under paragraph ( c )(5)(i) or (ii) of this section for which authority is delegated to him or her; (D) The following certification statement by such authori zed account representative or alternate authorized account*** E.O. 12866 Review

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Page 274 of 773 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 97.420( c )(5)(iv) shall be deemed to be an electronic submission by me.”; and (E) The following certification statement by such authorized account representative or alternate authorized account representative: “Until this notice of delegation is superseded by another notice of delegati on under 40 CFR 97.420( c )(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 97.420( c )(5) is terminated.”. (iv) A notice of delegation submitted under paragraph ( c )(5)(iii) of this section shall be effective, with regard to the authorized account representative or alternate authorized account representative identified in such notice, upon receipt of such notice by the Administr ator and until receipt by the Administrator of a superseding notice of delegation submitted by such authorized account representative or alternate authorized*** E.O. 12866 Review

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Page 275 of 773 account representative, as appropriate. The superseding notice of delegation may replace any prev iously identified agent, add a new agent, or eliminate entirely any delegation of authority. (v) Any electronic submission covered by the certification in paragraph ( c )(5)(iii)(D) of this section and made in accordance with a notice of delegation effective under paragraph ( c )(5)(iv) of this section shall be deemed to be an electronic submission by the designated representative or alternate designated representative submitting such notice of delegation. (6) Closing a general account. (i) The authorized account representative or alternate authorized account representative of a general account may submit to the Administrator a request to close the account. Such request shall include a correctly submitted TR NOX Annual allowance transfer under §97.422 for any TR NOX Annual allowances in the account to one or more other Allowance Management System accounts. (ii) If a general account has no TR NOX Annual allowance transfers to or from the account for a 12 -month period or longer and does not contain any TR NOX Annu al allowances, the Administrator may notify the authorized account representative for the account that the account will be closed after 30 days after the notice is sent. The account will be closed after the*** E.O. 12866 Review

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Page 276 of 773 30 - day period unless, before the end of the 30 - day period, the Administrator receives a correctly submitted TR NOX Annual allowance transfer under §97.422 to the account or a statement submitted by the authorized account representative or alternate authorized account representative demonstrating to the satisfaction of the Administrator good cause as to why the account should not be closed. ( d ) Account identification . The Administrator will assign a unique identifying number to each account established under paragraph (a) , (b) , or (c) of this section. ( e ) Responsibilities of authorized account representative and alternate authorized account representative . After the establishment of a compliance account or general account , the Administrator will accept or act on a submission pertaining to the account, including, but not limited to, submissions concerning the deduction or transfer of TR NOX Annual allowances in the account, only if the submission has been made, signed, and certified in accordance with §§97.414(a) and 97.418 or paragraphs ( c )(2)(ii) and ( c )(5) of this section. § 97.421 Recordation of TR NOX Annual allowance allocations and auction results.*** E.O. 12866 Review

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Page 277 of 773 (a) By [INSERT DATE 90 DAYS FROM DATE OF PUBLICATION IN THE FEDERAL REGISTER] , the Administrator will record in each TR NOX Annual source's compliance account the TR NOX Annual allowances allocated to the TR NOX Annual units at the source in accordance with §97.411(a) for the control period in 2012 . ( b ) By [INSERT DATE 90 DAYS FROM DATE OF PUBLICATION IN THE FEDERAL REGISTER] , the Administrator will record in each TR NOX Annual source's compliance account the TR NOX Annual allowances allocated to the TR NOX Annual units at the source in accordance with §97.411(a) for the control period in 2013, unless the State in which the sou rce is located notifies the Administrator in writing by [INSERT DATE 70 DAYS FROM DATE OF PUBLICATION IN THE FEDERAL REGISTER] of the State’s intent to submit to the Administrator a complete SIP revision by April 1, 2012 meeting the requirements of § 52.38( a)(3)(i) through (iv) of this chapter . (1) If, by April 1, 2012, the State does not submit to the Administrator such complete SIP revision, the Administrator will record by April 15, 2012 in each TR NOX Annual source's compliance account the TR NOX Annual allowances allocated to the TR NOX Annual units at the source in accordance with §97.411(a) for the control period in 2013.*** E.O. 12866 Review

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Page 278 of 773 (2) If the State submits to the Administrator by April 1, 2012, and the Administrator approves by October 1, 2012, such complete SIP revision, the Administrator will record by October 1, 2012 in each TR NOX Annual source's compliance account the TR NOX Annual allowances allocated to the TR NOX Annual units at the source as provided in such approved, complete SIP revision for the contro l period in 2013. (3) If the State submits to the Administrator by April 1, 2012, and the Administrator does not approve by October 1, 2012, such complete SIP revision, the Administrator will record by October 1, 2012 in each TR NOX Annual source's compliance account the TR NOX Annual allowances allocated to the TR NOX Annual units at the source in accordance with §97.411(a) for the control period in 2013. ( c ) By July 1, 201 3, the Administrator will record in each TR NOX Annual source's compliance account the TR NOX Annual allowances allocated to the TR NOX Annual units at the source , or in each appropriate Allowance Management System account the TR NOX Annual allowances auctioned to TR NOX Annual units , in accordance with §97.411(a) , or with a SIP revision approved under § 52.38(a)(4) or (5) of this chapter, for the control period in 2014 and 2015.*** E.O. 12866 Review

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Page 279 of 773 ( d ) By July 1, 201 4 , the Administrator will record in each TR NOX Annual source's compliance account the TR NOX Annual allowan ces allocated to the TR NOX Annual units at the source , or in each appropriate Allowance Management System account the TR NOX Annual allowances auctioned to TR NOX Annual units , in accordance with §97.411(a) , or with a SIP revision approved under § 52.38(a) (4) or (5) of this chapter, for the control period in 2016 and 2017. ( e ) By July 1, 201 5 , the Administrator will record in each TR NOX Annual source's compliance account the TR NOX Annual allowances allocated to the TR NOX Annual units at the source , or in each appropriate Allowance Management System account the TR NOX Annual allowances auctioned to TR NOX Annual units , in accordance with §97.411(a) , or with a SIP revision approved under § 52.38(a)(4) or (5) of this chapter, for the control period in 2018 and 2019. ( f ) By July 1, 201 6 and July 1 of each year thereafter , the Administrator will record in each TR NOX Annual source's compliance account the TR NOX Annual allowances allocated to the TR NOX Annual units at the source , or in each appropriate Allowance Management System account the TR NOX Annual allowances auctioned to TR NOX Annual units , in accordance with §97.411(a) , or with a SIP revision approved under § 52.38(a)(4) or (5) of this chapter, for the control period in the fourth year after*** E.O. 12866 Review

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Page 280 of 773 the year of the applicable recordation deadline under this paragraph. ( g ) By August 1, 2012 and August 1 of each year thereafter, the Administrator will record in each TR NOX Annual source's compliance account the TR NOX Annual allowances allocated to the TR NOX Annual units at the source , or in each appropriate Allowance Management System account the TR NOX Annual allowances auctioned to TR NOX Annual units , in accordance with §97.412 (a)(2) through (8) and (12), or with a SIP revision approved under § 52.38(a)(4) or (5) of this chapter, for the control period in the year of the applicable recordation deadline under this paragraph. ( h ) By August 1, 2012 and August 1 of each year thereafter, the Administrator will record in each TR NOX Annual source's compliance account the TR NOX Annual allowances allocated to the TR NOX Annual units at the source in accordance with §97.412 (b)(2) through (8) and (12) for the control period in the year of the applicable recordation deadline under this paragraph. (i) By Feb ruary 15 , 201 3 and February 15 of each year thereafter, the Administrator will record in each TR NOX Annual source's compliance account the TR NOX Annual allowances*** E.O. 12866 Review

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Page 281 of 773 allocated to the TR NOX Annual units at the source in accordance with §97.412 (a)(9) through (12), for the control period in the year before the year of the applicable recordation deadline under this paragraph. (j) By the date on which any allocation or auction results, other than an allocation or auction results described in paragraphs (a) through (i) of this section, of TR NOX Annual allowances to a recipient is made by or are submitted to the Administrator in accordance with § 97.411 or § 97.412 or with a SIP revision approved under § 52.38(a)(4) or (5) of this chapter, the Administrator will record such allocation or auction results in the appropriate Allowance Management System account. ( k ) When recording the allocation or auction of TR NOX Annual allowances to a TR NOX Annual unit o r other entity in an Allowance Management System account, the Administrator will assign each TR NOX Annual allowance a unique identification number that will include digits identifying the year of the control period for which the TR NOX Annual allowance is allocated or auctioned . § 97.422 Submission of TR NOX Annual allowance transfers.*** E.O. 12866 Review

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Page 282 of 773 (a) An authorized account representative seeking recordation of a TR NOX Annual allowance transfer shall submit the transfer to the Administrator. (b) A TR NOX Annual 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 Annual 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 Annual allowance identified by serial number in the transfer. § 97.423 Recordation of TR NOX Annual allowance transfers. (a) Within 5 business days (except as prov ided in paragraph (b) of this section) of receiving a TR NOX Annual allowance transfer*** E.O. 12866 Review

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Page 283 of 773 that is correctly submitted under §97.422, the Administrator will record a TR NOX Annual allowance transfer by moving each TR NOX Annual allowance from the transferor ac count to the transferee account as specified in the transfer . (b) A TR NOX Annual allowance transfer to or from a compliance account that is submitted for recordation after the allowance transfer deadline for a control period and that includes any TR NOX Annual allowances allocated for any control period before such allowance transfer deadline will not be recorded until after the Administrator completes the deductions from such compliance account under §97.424 for the control period immediately before such allowance transfer deadline. (c) Where a TR NOX Annual allowance transfer is not correctly submitted under §97.422, the Administrator will not record such transfer. (d) Within 5 business days of recordation of a TR NOX Annual allowance transfer under par agraphs (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 Annual allowance transfer that is not correctly submitted under*** E.O. 12866 Review

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Page 284 of 773 §97.422, the Administrator will notify the authorized account representatives of both accounts subject to the transfer of: (1) A decision not to record the transfer, and (2) The reasons for such non - recordation. § 97.424 Compliance with TR NOX Annual emissions limitation. (a) Availability for deduction for compliance . TR NOX Annual allowances are available to be deducted for compliance with a source's TR NOX Annual emissions limitation for a control period in a given year only if the TR NOX Annual allowances: (1) Were allocated for such control period or a control period in a prior year; and (2) Are held in the source’s compliance account as of the allowance transfer deadline for such control period. (b) Deductions for compliance . After the recordation, in accordance with §97.423, of TR NOX Annual allowance transfers submitted by the allowance transfer deadline for a control period in a given year , the Administrator will deduct from each source’s compliance account TR NOX Annual allowances available under paragraph (a) of this section in order to determine*** E.O. 12866 Review

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Page 285 of 773 whether the source meets the TR NOX Annual emissions limitation for such control period, as follows: (1) Until the amount of TR NOX Annual allowances deducted equals the number of tons of t otal NOX emissions from all TR NOX Annual units at the source for such control period; or (2) If there are insufficient TR NOX Annual allowances to complete the deductions in paragraph (b)(1) of this section, until no more TR NOX Annual allowances availabl e under paragraph (a) of this section remain in the compliance account. (c)(1) Identification of TR NOX Annual allowances by serial number . The authorized account representative for a source's compliance account may request that specific TR NOX Annual allowances, identified by serial number, in the compliance account be deducted for emissions or excess emissions for a control period in a given year in accordance with paragraph (b) or (d) of this section. In order to be complete, such request shall be submitted to the Administrator by the allowance transfer deadline for such control period and include, in a format prescribed by the Administrator, the identification of the TR NOX Annual source and the appropriate serial numbers. (2) First - in, firs t - out . The Administrator will deduct TR NOX Annual allowances under paragraph (b) or (d) of this section*** E.O. 12866 Review

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Page 286 of 773 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 o r in the case of identification of an insufficient amount of TR NOX Annual allowances in such request, on a first - in, first - out accounting basis in the following order: (i) Any TR NOX Annual 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 Annual allowances that were allocated to any unit and transferred to and recorded in the compliance account pursuant to this subpart, in the order of recordat ion. (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 Annual source has excess emissions, the Administrator will deduct from the source's compliance account an amount of TR NOX Annual allowances, allocated for a control period in a prior year or the control period in the year of the excess emissions or in the immediately following year , equal to two times the number of tons of the source's excess emissions.*** E.O. 12866 Review

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Page 287 of 773 (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. § 97.425 Compliance with TR NOX Annual assurance provis ions. (a) Availability for deduction . TR NOX Annual allowances are available to be deducted for compliance with the TR NOX Annual assurance provisions for a control period in a given year by the owners and operators of a group of one or more TR NOX Annual sources and units in a State (and Indian country within the borders of such State) only if the TR NOX Annual allowances: (1) Were allocated for a control period in a prior year or the control period in the given year or in the immediately following year ; and (2) Are held in the assurance account, established by the Administrator for such owners and operators of such group of TR NOX Annual sources and units in such State (and Indian country within the borders of such State) under paragraph (b) (3) of this section, as of the deadline established in paragraph (b)( 4 ) of this section. (b) Deductions for compliance . The Administrator will deduct TR NOX Annual allowances available under paragraph (a) of this*** E.O. 12866 Review

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Page 288 of 773 section for compliance with the TR NOX Annual assurance provisions for a State for a control period in a given year in accordance with the following procedures: (1) By June 1, 201 3 and June 1 of each year thereafter, the Administrator will: (i) Calculate, for each State (and Indian country within the borders of such State) , the total NOX emissions from all TR NOX Annual units at TR NOX Annual sources in the State (and Indian country within the borders of such State) during the control period in the year before the year of this calculation deadl ine and the amount, if any, by which such total NOX emissions exceed the State assurance level as described in §97.406(c)(2)(iii); and (ii) Promulgate a notice of data availability of the results of the calculations required in paragraph (b)(1)(i) of this section, including separate calculations of the NOX emissions from each TR NOX Annual source . ( 2 ) For each notice of data availability required in paragraph (b)( 1 )(ii) of this section and for any State (and Indian country within the borders of such State) identified in such notice as having TR NOX Annual units with total NOX emissions exceeding the*** E.O. 12866 Review

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Page 289 of 773 State assurance level for a control period in a given year , as described in §97.406(c)(2)(iii): (i) By Jul y 1 immediately after the promulgation of such notice, the designated representative of each TR NOX Annual source in each such State (and Indian country within the borders of such State) shall submit a statement, in a format prescribed by the Administrator , providing for each TR NOX Annual unit (if any) at the source that operates during, but is not allocated an amount of TR NOX Annual allowances for, such control period, the unit’s allowable NOX emission rate for such control period and, if such rate is expressed in lb per mmBtu, the unit’s heat rate . (ii) By August 1 immediately after the promulgation of such notice, the Administrator will calculate, for each such State (and Indian country within the borders of such State) and such control period and each common designated representative for such control period for a group of one or more TR NOX Annual sources and units in the State (and Indian country within the borders of such State) , the common designated representative’s share of the total NOX emission s from all TR NOX Annual units at TR NOX Annual sources in the State (and Indian country within the borders of such State) , the common designated representative’s assurance level, and the amount (if any) of TR NOX Annual allowances that the owners and operators of such group of*** E.O. 12866 Review

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Page 290 of 773 sources and units must hold in accordance with the calculation formula in §97.406(c)(2)(i) and will promulgate a notice of data availability of the results of these calculations. (iii) The Administrator will p rovide an opportunity for submission of objections to the calculations referenced by the notice of data availability required in paragraph (b)( 2 )(ii) of this section and the calculations referenced by the relevant notice of data availability required in pa ragraph (b)(1)(i) of this section . (A) Objections shall be submitted by the deadline specified in such notice and shall be limited to addressing whether the calculations referenced in the relevant notice required under paragraph (b)(1)(ii) of this sectio n and referenced in the notice required under paragraph (b)(2)(ii) of this section are in accordance with §97.406(c)(2)(iii) , §§97.406(b) and 97.430 through 97.435 , the definitions of “common designated representative”, “ common designated representative’s assurance level”, and “ common designated representative’s share” in §97.402, and the calculation formula in §97.406(c)(2)(i). (B) The Administrator will adjust the calculations to the extent necessary to ensure that they are in accordance with the provisio ns referenced in paragraph (b)( 2 )(iii)(A) of this*** E.O. 12866 Review

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Page 291 of 773 section. By October 1 immediately after the promulgation of such notice, the Administrator will promulgate a notice of data 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 )(iii)(A) of this section. (3) For any State (and Indian country within the borders of such State) referenced in each notice of data availability require d in paragraph (b)( 2 )(ii i ) (B) of this section as having TR NOX Annual units with total NOX emissions exceeding the State assurance level for a control period in a given year, the Administrator will establish one assurance account for each set of owners and operators referenced , in the notice of data availability required under paragraph (b)(2)(iii)(B) of this section, as all of the owners and operators of a group of TR NOX Annual sources and units in the State (and Indian country within the borders of such State) having a common designated representative for such control period and as being required to hold TR NOX Annual allowances . ( 4 )(i) As of midnight of November 1 immediately after the promulgation of each notice of data availability required in par agraph (b)( 2 )(iii)(B) of this section, the owners and operators described in paragraph (b)( 3) of this section shall*** E.O. 12866 Review

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Page 292 of 773 hold in the assurance account established for the them and for the appropriate TR NOX Annual sources, TR NOX Annual units, and State (and Indian country within the borders of such State) under paragraph (b)( 3) of this section a total amount of TR NOX Annual allowances, available for deduction under paragraph (a) of this section, equal to the amount such owners and operators are required to hold with regard to such sources, units and State (and Indian country within the borders of such State) as calculated by the Administrator and referenced in such notice. (ii) Notwithstanding the allowance - holding deadline specified in paragraph (b)( 4 )(i) of this section, if November 1 is not a business day, then such allowance - holding deadline shall be midnight of the first business day thereafter. ( 5 ) After November 1 (or the date described in paragraph (b)( 4) (ii) of this section) immediately after the pr omulgation of each notice of data availability required in paragraph (b)( 2 )(iii)(B) of this section and after the recordation, in accordance with §97.423, of TR NOX Annual allowance transfers submitted by midnight of such date, the Administrator will determine whether the owners and operators described in paragraph (b)(3) of this section hold, in the assurance account for the appropriate TR NOX Annual sources, TR NOX Annual units, and State (and Indian country within the borders of such State)*** E.O. 12866 Review

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Page 293 of 773 established under paragraph (b)( 3) of this section, the amount of TR NOX Annual allowances available under paragraph (a) of this section that the owners and operators are required to hold with regard to such sources, units, and State (and Indian country within the borders of such State) as calculated by the Administrator and referenced in the notice required in paragraph (b)( 2 )(iii)(B) of this section. ( 6 ) Notwithstanding any other provision of this subpart and any revision, made by or submitted to the Administrator aft er the promulgation of the notice of data availability required in paragraph (b)( 2 )(iii)(B) of this section for a control period in a given year , of any data used in making the calculations referenced in such notice, the amount s of TR NOX Annual allowances that the owners and operators are required to hold in accordance with §97.406(c)(2)(i) for such control period shall continue to be such amount s as calculated by the Administrator and referenced in such notice required in paragraph (b)( 2 )(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 Cl ean Air Act of a decision rendered under part 78 of this chapter on appeal of*** E.O. 12866 Review

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Page 294 of 773 such notice, then the Administrator will use the data as so revised to recalculate the amounts of TR NOX Annual allowances that owners and operators are required to hold in accor dance with the calculation formula in §97.406(c)(2)(i) for such control period with regard to the TR NOX Annual sources, TR NOX Annual units, and State (and Indian country within the borders of such State) involved, provided that such litigation under part 78 of this chapter, or the proceeding under part 78 of this chapter that resulted in the decision appealed in such litigation under section 307 of the Clean Air Act, was initiated no later than 30 days after promulgation of such notice required in paragraph (b)(2) (iii)(B) of this section . (ii) If any such data are revised by the owners and operators of a TR NOX Annual source and TR NOX Annual unit whose designated representative submitted such data under paragraph (b)( 2 )(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 Annual allowances that owners and operators are required to hold in accordance with the calcul ation formula in §97.406(c)(2)(i) for such control period with regard to the TR NOX Annual sources, TR NOX Annual units, and State (and Indian country within the borders of such State) involved, provided*** E.O. 12866 Review

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Page 295 of 773 that such litigation was initiated no later than 30 days after promulgation of such notice required in paragraph (b)( 2 )(iii)(B) of this section. (iii) If the revised data are used to recalculate, in accordance with paragraphs (b)( 6 )(i) and (ii) of this section, the amount of TR NOX Annual allowances that the owners and operators are required to hold for such control period with regard to the TR NOX Annual sources, TR NOX Annual units, and State (and Indian country within the borders of such State) involved

— (A) Where the amount of TR NOX Annual allowances that the owners and operators are required to hold increases as a result of the use of all such revised data, the Administrator will establish a new, reasonable deadline on which the owner s and operators shall hold the additional amount of TR NOX Annual allowances in the assurance account established by the Administrator for the appropriate TR NOX Annual sources, TR NOX Annual units, and State (and Indian country within the borders of such State) under paragraph ( b)( 3) of this section. The owner s’ and operators ’ failure to hold such additional amount, as required, before the new deadline shall not be a violation of the Clean Air Act. The owner s ’ and operators’ failure to hold such additional amount, as required, as of the new deadline sh all be a violation of the Clean Air Act. Each TR NOX Annual allowance that the owner s and*** E.O. 12866 Review

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Page 296 of 773 operators fail to hold as required as of the new deadline, and each day in such control period, shall be a separate violation of the Clean Air Act. (B) For the own ers and operators for which the amount of TR NOX Annual allowances required to be held decreases as a result of the use of all such revised data, the Administrator will record, in all accounts from which TR NOX Annual allowances were transferred by such owners and operators for such control period to the assurance account established by the Administrator for the appropriate at TR NOX Annual sources, TR NOX Annual units, and State (and Indian country within the borders of such State) under paragraph (b) (3) of this section, a total amount of the TR NOX Annual allowances held in such assurance account equal to the amount of the decrease. If TR NOX Annual allowances were transferred to such assurance account from more than one account, the amount of TR NOX Annual allowances recorded in each such transferor account will be in proportion to the percentage of the total amount of TR NOX Annual allowances transferred to such assurance account for such control period from such transferor account. (C) Each TR NOX Annual allowance held under paragraph (b)( 6 )(iii)(A) of this section as a result of recalculation of requirements under the TR NOX Annual assurance provisions for*** E.O. 12866 Review

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Page 297 of 773 such control period must be a TR NOX Annual allowance allocated for a control period in a year before or the year immediately following, or in the same year as, the year of such control period . § 97.426 Banking. (a) A TR NOX Annual allowance may be banked for future use or transfer in a compliance account or a general account in accordance w ith paragraph (b) of this section. (b) Any TR NOX Annual allowance that is held in a compliance account or a general account will remain in such account unless and until the TR NOX Annual allowance is deducted or transferred under §97.411(c), §97.423, §97. 424, §97.425, 97.427, or 97.428. § 97.427 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. § 97.428 Administrator’s action on submissions.*** E.O. 12866 Review

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Page 298 of 773 (a) The Administrator may review and conduct independent audits concerning any submission under the TR NOX Annual Trading Program and make appropriate adjustments of the information in the submission. (b) The Administrator may deduct TR NOX Annual allowances from or transfer TR NOX Annual allowances to a compliance acc ount or an assurance account, based on the information in a submission, as adjusted under paragraph (a)(1) of this section, and record such deductions and transfers. § 97.429 [RESERVED] § 97.430 General monitoring, recordkeeping, and reporting requirements. The owners and operators, and to the extent applicable, the designated representative, of a TR NOX Annual 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 §97.402 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 chapt er shall be deemed to refer to the terms “TR NOX Annual unit,“ “designated representative,” and “continuous*** E.O. 12866 Review

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Page 299 of 773 emission monitoring system” (or “CEMS”) respectively as defined in §97.402, and the term “newly affected unit” shall be deemed to mean “newly affect ed TR NOX Annual unit”. The owner or operator of a unit that is not a TR NOX Annual 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 Annual unit. (a) Requirements for installation, certification, and data accounting . The owner or operator of each TR NOX Annual 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, CO 2 or O 2 concentration, and fuel flow rate, as applicable, in accordance with §§75.71 and 75.72 of this chapter); (2) Successfully complete all certification tests required under §97.431 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 sec tion; and (3) Record, report, and quality- assure the data from the monitoring systems under paragraph (a)(1) of this section.*** E.O. 12866 Review

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Page 300 of 773 (b) Compliance deadlines . Except as provided in paragraph (e) of this section, the owner or operator shall meet the monitoring sy stem certification and other requirements of paragraphs (a)(1) and (2) of this section on or before the following dates and shall record, report, and quality- assure the data from the monitoring systems under paragraph (a)(1) of this section on and after the following dates. (1) For the owner or operator of a TR NOX Annual unit that commences commercial operation before July 1, 2011, January 1, 2012; (2) For the owner or operator of a TR NOX Annual unit that commences commercial operation on or after July 1 , 2011, the later of the following: (i) January 1, 2012; or (ii) 180 calendar days after the date on which the unit commences commercial operation; (3) The owner or operator of a TR NOX Annual unit for which construction of a new stack or flue or installa tion of add- on NOX emission controls is completed after the applicable deadline under paragraph (b)(1) or (2) of this section shall meet the*** E.O. 12866 Review

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Page 301 of 773 requirements of §§75. 4(e)(1) through (e)(4) of this chapter, except that: (i) Such requirements shall apply to the monitoring systems required under § 97.430 through § 97.435, rather than the monitoring systems required under part 75 of this chapter; (ii) NOX emission rate, NOX concentration, stack gas moisture content, stack gas volumetric flow rate, and O 2 or CO 2 concentration data shall be determined and reported, rather than the data listed in §75. 4(e)(2) of this chapter; and (iii) Any petition for another procedure under §75. 4(e)(2) of this chapter shall be submitted under § 97.435, rather than §75 .66. (c) Repor ting data . The owner or operator of a TR NOX Annual 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 potenti al (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*** E.O. 12866 Review

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Page 302 of 773 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 Annual unit shall use any alterna tive monitoring system, alternative reference method, or any other alternative to any requirement of this subpart without having obtained prior written approval in accordance with §97.435. (2) No owner or operator of a TR NOX Annual unit shall operate the unit so as to discharge, or allow to be discharged, NOX to the atmosphere without accounting for all such NOX in accordance with the applicable provisions of this subpart and part 75 of this chapter. (3) No owner or operator of a TR NOX Annual 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 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 Annual unit shall retire or permanently disc ontinue use of the continuous emission*** E.O. 12866 Review

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Page 303 of 773 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 §97.405 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 Administr ator 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 mo nitoring system for the retired or discontinued monitoring system in accordance with §97.431(d)(3)(i). (e) Long - term cold storage . The owner or operator of a TR NOX Annual unit is subject to the applicable provisions of §75.4(d) of this chapter concerning units in long - term cold storage. § 97.431 Initial monitoring system certification and recertification procedures.*** E.O. 12866 Review

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Page 304 of 773 (a) The owner or operator of a TR NOX Annual unit shall be exempt from the initial certification requirements of this section for a monitoring system under §97.430(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 §97.430(a)(1) that is exempt from initial certification requirements under paragraph (a) of this section. (c) If the Administrator has previously approved a petition under §75.17(a) or (b) of this chapter for apportioning the NO X emission rate measured in a common stack or a petition under §75.66 of this chapter for an alternative to a requirement in §75.12 or §75.17 of this chapter, the designated represent ative shall resubmit the petition to the Administrator under §97.435 to determine whether the approval applies under the TR NOX Annual Trading Program.*** E.O. 12866 Review

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Page 305 of 773 (d) Except as provided in paragraph (a) of this section, the owner or operator of a TR NOX Annual unit s hall 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 §97.430(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 chapte r 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 §97.430(a)(1) (including the automated dat a acquisition and handling system) successfully completes all of the initial certification testing required under §75.20 of this chapter by the applicable deadline in §97.430(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.*** E.O. 12866 Review

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Page 306 of 773 (2) Requirements for recertification. Whenever the owner or operator makes a replacement, modification, or change in any certified continuous emission monitoring system under §97.430(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 mee t 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 mo nitoring 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 r eplacement of an existing continuous emission monitoring system, or change in location or orientation of the sampling probe or site. Any fuel flowmeter system, and any excepted NOX monitoring system under appendix E to part 75 of this chapter, under §97.4 30(a)(1) are subject to the recertification requirements in §75.20(g)(6) of this chapter.*** E.O. 12866 Review

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Page 307 of 773 (3) Approval process for initial certification and recertification. For initial certification of a continuous monitoring system under §97.430(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 “recert ified”. (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 §97.433. (ii) Certification appli cation. 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.*** E.O. 12866 Review

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Page 308 of 773 (iii) Provisional certi fication 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 Annual Trading Program for a period no t 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 issuin g 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*** E.O. 12866 Review

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Page 309 of 773 chapter and is included in the certification application will be deemed certified for use under the TR NOX Annual Trading Program. (A) Approval notice. If the cer tification 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 da ys of receipt. (B) Incomplete application notice. If the certification application is not complete, then the Administrator will issue a written notice of incompleteness that sets a reasonable date by which the designated representative must submit the additional information required to complete the certification application. If the designated representative does not comply with the notice of incompleteness by the specified date, then the Administrator may issue a notice of disapproval under paragraph (d)( 3)(iv)(C) of this section. (C) Disapproval notice. If the certification application shows that any monitoring system does not meet the performance requirements of part 75 of this chapter or if the certification application is incomplete and the requirement for disapproval under paragraph (d)(3)(iv)(B) of this section is met, then the Administrator will issue a written notice of disapproval of the*** E.O. 12866 Review

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Page 310 of 773 certification application. Upon issuance of such notice of disapproval, the provisional certification is inva lidated 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 §97.432(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:*** E.O. 12866 Review

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Page 311 of 773 ( 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 moni tor, 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 CO 2 concentration or the minimum potential O 2 concentration (as applicable), as defined in sections 2.1.5, 2.1.3.1, and 2.1.3.2 of appendix A t o part 75 of this chapter. ( 4 ) For a disapproved fuel flowmeter system, the maximum potential fuel flow rate, as defined in section 2.4.2.1 of appendix D to part 75 of this chapter. ( 5 ) For a disapproved excepted 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.*** E.O. 12866 Review

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Page 312 of 773 (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 representa tive 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.*** E.O. 12866 Review

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Page 313 of 77 3 § 97.432 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 initi al 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 §97.431 or the applicable provisions o f part 75 of this chapter, both at the time of the initial certification or recertification application submission and at the time of the audit, the Administrator will issue a notice of disapproval of the certification status of such monitoring system. For the purposes of this paragraph, an audit shall be either a field audit or an audit of any information submitted to the Administrator or any State or permitting authority. By issuing the notice of disapproval, the Administrator revokes prospectively the ce rtification status of the monitoring system. The data measured and recorded by the monitoring system shall*** E.O. 12866 Review

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Page 314 of 773 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 §97.431 for ea ch disapproved monitoring system. § 97.433 Notifications concerning monitoring. The designated representative of a TR NOX Annual unit shall submit written notice to the Administrator in accordance with §75.61 of this chapter. § 97.434 Recordkeeping and reporting. (a) General provisions . The designated representative shall comply with all recordkeeping and reporting requirements in paragraphs (b) through (e) of this section, the applicable recordkeeping and reporting requirements under §75.73 of this chap ter, and the requirements of §97.414(a). (b) Monitoring plans . The owner or operator of a TR NOX Annual unit shall comply with requirements of §75.73(c) and (e) of this chapter.*** E.O. 12866 Review

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Page 315 of 773 (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 §97.431, 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 NOX mass emissions data and heat input data for the TR NOX Annual unit, in an electronic quarterly report in a format prescribed by the Administra tor, 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; or (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 §97.430(b) , unless that quarter is the third or fourth quarter of 2011, in which case report ing shall commence in the quarter covering January 1, 2012 through March 31, 2012 .*** E.O. 12866 Review

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Page 316 of 773 (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. Quarte rly reports shall be submitted in the manner specified in §75.73(f) of this chapter. (3) For TR NOX Annual units that are also subject to the Acid Rain Program, TR NOX Ozone Season Trading Program, TR SO 2 Group 1 Trading Program, or TR SO 2 Group 2 Trading Program, quarterly reports shall include the applicable data and information required by subparts F through H of part 75 of this chapter as applicable, in addition to the NOX mass emission data, heat input data, and other information required by this subpa rt. (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*** E.O. 12866 Review

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Page 317 of 773 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. Wi thin 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 p rovides 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 a ll of the unit's emissions are correctly and fully monitored. The certification shall state that:*** E.O. 12866 Review

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Page 318 of 773 (1) The monitoring data submitted were recorded in accordance with the applicable requirements of this subpart and part 75 of this chapter, including the qual ity assurance procedures and specifications; and (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. § 97.435 Petitions for alternatives to monitoring, recordkeeping, or reporting requirements. (a) The designated representative of a TR NOX Annual unit may submit a petition under §75.66 of this chapter to the Administrator, requesting approval to apply an alternative to any requirement of §§97.430 through 97.434. (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:*** E.O. 12866 Review

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Page 319 of 773 (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. 75. Part 97 is amended by adding subpart BBBBB to read as follows:*** E.O. 12866 Review

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Page 320 of 773 Subpart BBBBB

—TR NOX Ozone Season Trading Program 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. 97.5 09 [Reserve d] 97.510 State NOX Ozone Season trading budgets, new unit set asides, Indian country 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 to new units. 97.513 Authorization of designated representative and alternate designated representative.*** E.O. 12866 Review

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Page 321 of 773 97.514 Responsibilities of designated representative and alternate designated representative. 97.515 Changing designated repr esentative 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. 97.5 19 [Reserved] 97.520 Establishment of compliance accounts and general 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.*** E.O. 12866 Review

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Page 322 of 773 97.527 Account error . 97.528 Administrator’s action on submissions. 97.5 29 [RESERVED] 97.530 General monitoring, recordkeeping, and reporting requirements. 97.531 Initial monitoring system certification and recertification procedures. 97.532 Monitoring system out - of - cont rol periods. 97.533 Notifications concerning monitoring. 97.534 Recordkeeping and reporting. 97.535 Petitions for alternatives to monitoring, recordkeeping, or reporting requirements. 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 §52.3 8 of this chapter, as a means of mitigating interstate transport of ozone and nitrogen oxides.*** E.O. 12866 Review

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Page 323 of 773 § 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 mul ti - state SO 2 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 determined by the Administrator ) of the United States Environmental Protection Agency, the Administrator's duly authorized representative under this subpart. Allocate or allocation means, with regard to TR NOX Ozone Season allowances, the determination by the Administrator , State, or permitting authority, in accordance with this subpart and any SIP revision submitted by the State and approved by the Administrator under § 52.38(b)(3), (4), or (5) of this chapter, of the amount of such TR NOX Ozone Season allowances to be initially credited , at no cost to the recipient, to : (1) A TR NOX Ozone Season unit;*** E.O. 12866 Review

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Page 324 of 773 (2) A new unit set - aside ; (3) An Indian country new unit set - aside; or (4) An entity not listed in paragraphs (1) through (3) of this definition; (5) Provided that, if the Administrator, State, or permitting authority initially credits, to a TR NOX Ozone Season unit qualifying for an initial credit, a credit in the amount of zero TR NOX Ozone Season allowances, the TR NOX Ozone Season unit will be treated as being allocated an amount (i.e., zero) of TR NOX Ozone Season allowances. Allowable NOX emission rate means, for a unit, the most stringent State or federal NOX emission rate limit (in lb/MWhr or, if in lb/mmBtu, converted to lb/MWhr by multiplying it by the unit’s heat rate in mmBtu/MWhr) that is applicable to the unit and covers the longes t 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, recorded, held, deducted, or transferred only as whole allowances.*** E.O. 12866 Review

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Page 325 of 773 Allowance Management System account means an account in the Allowance Management System established by the Administrator for purposes of recording the allocation, hol ding, transfer, or deduction of TR NOX Ozone Season allowances. Allowance transfer deadline means, for a control period in a given year , 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 i n complying with the source's TR NOX Ozone Season emissions limitation for such control period in accordance with §§ 97.506 and 97.5 24. Alternate designated representative means, for a TR NOX Ozone Season source and each TR NOX Ozone Season unit at the sou rce, 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 SO 2 Group 1 Trading Program, or TR SO 2 Group 2 Trading Program,*** E.O. 12866 Review

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Page 326 of 773 then this natural person shall be the same natural person as the alternate designated representative , as defined in the respective program . Assurance account means an Allowance Management System account, established by the Administrator under § 97.5 25 (b)(3) for certain owners and operators of a group of one or more TR NOX Ozone Season source s and units in a given State (and Indian country within the borders of such State) , in which are held TR NOX Ozone Season allowances available for use for a control period in a given year in complying with the TR NOX Ozone Season assur ance provisions in accordance with §§ 97.506 and 97.5 25. Authorized account representative means, for a general account, the natural person who is authorized, in accordance with this subpart, to transfer and otherwise dispose of TR NOX Ozone Season allowan ces held in the general account and, for 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, di luent gas*** E.O. 12866 Review

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Page 327 of 773 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.*** E.O. 12866 Review

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Page 328 of 773 Boiler means an enclosed fossil - or other - fuel - fired combustion device used to produce hea t 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 en ergy application or process is then used for electricity production. Business day means a day that does not fall on a weekend or a federal holiday. Certifying official means a natural person who is: (1) For a corporation, a president, secretary, treasurer, or vice -president o f 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 propr ietor 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.*** E.O. 12866 Review

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Page 329 of 773 Coal means “coal” as defined in § 72.2 of this chapter . Coal - derived fuel means any fuel (whether in a solid, liquid, or gaseous state) produced by the mechanical, thermal, or chemical processing of coal. 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, f ossil - fuel - fired boiler or stationary, fossil - fuel - fired combustion turbine that is a topping - cycle unit or a bottoming - cycle unit: (1) Operating as part of a cogeneration system; and (2) Producing on an annual average basis

— (i) For a topping - cycle unit, (A) Useful thermal energy not less than 5 percent of total energy output; and (B) Useful power that, when added to one - half of useful thermal energy produced, is not less than 42.5 percent of total energy input, if useful thermal energy produced is 15 per cent or more*** E.O. 12866 Review

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Page 330 of 773 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 requirements in paragraph (2) of this definition shall not apply to a calendar year referenced in paragraph (2) of this definition during which the unit did not operate at all; ( 4 ) Provided that the total energy input under pa ragraphs (2)(i)(B) and (2)(ii) of this definition shall equal the unit's total energy input from all fuel, except biomass if the unit is a boiler; and ( 5 ) Provided that, if , throughout its operation during the 12 - month period or a calendar year referenced in paragraph (2) of this definition, a unit is operated as part of a cogeneration system and the cogeneration system meets on a system-wide basis the requirement in paragraph (2)(i)(B) or (2)(ii) of this definition, the unit shall be deemed to meet such re quirement during that 12 -month period or calendar year. Combustion turbine means an enclosed device comprising:*** E.O. 12866 Review

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Page 331 of 773 (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 § 97.5 05. (i) For a unit that is a TR NOX Ozone Season unit under § 97.5 04 on the later of January 1, 2005 or the date the unit commences commercial operation as defined in the introductory text of paragraph (1) of this definition and that subsequently undergoes a physical change or is moved to a new lo cation or source , such date shall remain the date of commencement of commercial operation of the unit, which shall continue to be treated as the same unit. (ii) For a unit that is a TR NOX Ozone Season unit under § 97.5 04 on the later of January 1, 2005 or the date the unit commences*** E.O. 12866 Review

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Page 332 of 773 commercial operation as defined in the introductory text of paragraph (1) of this definition and that is subsequently replaced by a unit at the same or a different source, such date shall remain the replaced unit's date of comme ncement 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 § 97.5 05, for a unit that is not a TR NOX Ozone Season unit under § 97.5 04 on the later of January 1, 2005 or the date the unit commences commercial operation as defined in introductory text of paragraph (1) o f 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 § 97.5 04. (i) For a unit with a date for commencement of commercial operation as defined in the introduc tory text of paragraph (2) of this definition and that subsequently undergoes a physical change or is moved to a different location or source , such date shall remain the date of commencement of commercial operation of the unit, which shall continue to be t reated as the same unit.*** E.O. 12866 Review

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Page 333 of 773 (ii) For a unit with a date for commencement of commercial operation as defined in the introductory text of paragraph (2) of this definition and that is subsequently replaced by a unit at the same or a different source, such date s hall 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 a s appropriate. Common designated representative means, with regard to a control period in a given year, a designated representative where, as of April 1 immediately after the allowance transfer deadline for such control period, the same natural person is authorized under §§ 97.513(a) and 97.515(a) as the designated representative for a group of one or more TR NOX Ozone Season sources and units located in a State (and Indian country within the borders of such State). Common designated representative’s assuran ce level means , with regard to a specific common designated representative and a State (and Indian country within the borders of such State) and control period in a given year for which the State assurance level is exceeded as described in § 97.5 06(c)(2)(iii), the common designated representative’s share of the State NOX Ozone Season*** E.O. 12866 Review

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Page 334 of 773 trading budget with the variability limit for the State for such control period. Common designated representative’s share means , with regard to a specific common de signated representative for a control period in a given year : (1) With regard to a total amount of NOX emissions from all TR NOX Ozone Season units in a State (and Indian country within the borders of such State) during such control period, the total tonnage of NOX emissions during such control period from a group of one or more TR NOX Ozone Season units located in such State (and such Indian country) and having the common designated representative for such control period ; (2) With regard to a State NOX Oz one Season trading budget for such control period, the amount (rounded to the nearest allowance) equal to the sum of the total amount of TR NOX Ozone Season allowances allocated for such control period to a group of one or more TR NOX Ozone Season units located in the State (and Indian country within the borders of such State) and having the common designated representative for such control period and of the total amount of TR NOX Ozone Season allowances purchased by an owner or operator of such TR NOX Oz one Season units in an auction for such control period and submitted by the State or*** E.O. 12866 Review

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Page 335 of 773 the permitting authority to the Administrator for recordation in the compliance account s for such TR NOX Ozone Season units in accordance with the TR NOX Ozone Season allowance auction provisions in a SIP revision approved by the Administrator under § 52.38(b)(4) or (5) of this chapter, multiplied by the sum of the State NOX Ozone Season trading budget under § 97.5 10(a) and the State’s variability limit under § 97.5 10(b) for such control period and divided by such State NOX Ozone Season trading budget; (3) Provided that, in the case of a unit that operates during, but has no amount of TR NOX Ozone Season allowances allocated under §§ 97.5 11 and 97.5 12 for, such 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 unit’s allowable NOX emission rate applicable to such control period, multiplied by a capacity factor of 0. 92 (if the unit is a boiler combusting any amount of coal or coal - derived fuel during such control period) , 0. 32 (if the unit is a simple combustion turbine during such control period ), 0. 71 (if the unit is a combined cycle turbine during such control period), 0.73 (if the unit is an integrated coal gasification combined cycle unit during such control period), or 0.44 (for any other unit) , multiplied by the unit’s maximum hourly load as r eported*** E.O. 12866 Review

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Page 336 of 773 in accordance with this subpart and by 3,672 hours/control period, and divided by 2,000 lb/ton . 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 to 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 a given year in complying with the source's TR NOX Ozone Season emissions limitation in accordance with §§ 97.506 and 97.5 24. Continuous emission monitoring system or CEMS means the equipment required un der 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 O 2 or CO 2 concentration (as applicable), in a manner consistent with part 75 of this chapter and §§ 97.5 30 through 97.5 35. The following systems are the principal types of continuous emission monitoring systems:*** E.O. 12866 Review

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Page 337 of 773 (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 NOX- diluent) monitoring system, consisting of a NOX pollutant concentration monitor, a diluent gas (CO 2 or O 2 ) monitor, and an automated data acquisition and handling system and providing a permanent, continuous record of NOX concentration, in parts per milli on (ppm), diluent gas concentration, in percent CO 2 or O 2 , 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 rec ord of the stack gas moisture content, in percent H 2 O; (5) A CO 2 monitoring system, consisting of a CO 2 pollutant concentration monitor (or an O 2 monitor plus suitable mathematical equations from which the CO 2 concentration is derived) and an automated dat a acquisition and handling system*** E.O. 12866 Review

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Page 338 of 773 and providing a permanent, continuous record of CO 2 emissions, in percent CO 2 ; and (6) An O 2 monitoring system, consisting of an O 2 concentration monitor and an automated data acquisition and handling system and providing a permanent, continuous record of O 2 , in percent O 2 . Control period means the period starting May 1 of a calendar year, except as provided in § 97.5 06(c)(3), and ending on September 3 0 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 own er 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 SO 2 Group 1 Trading Program, or TR SO 2 Group 2 Trading Program, then this natural person shall be the same natural person as the designated representative, as defined in the respective program . Emissions means air pollutants exhausted from a unit or source into the atmosphere, as measured, rec orded, and reported to the*** E.O. 12866 Review

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Page 339 of 773 Administrator by the designated representative , and as modified by the Administrator : (1 ) In accordance with this subpart ; and (2) With regard to a period before the unit or source is required to measure, record, and report such air pollutants in accordance with this subpart, in accordance with part 75 of this chapter . Excess emissions means any ton of emissions from the TR NOX Ozone Season units at a TR NOX Ozone Season source during a control period in a given year that exceeds the TR NOX Ozone Season emissions limitation for the source for such control period . Fossil fuel means— (1) Natural gas, petroleum, coal, or any form of solid, liquid, or gaseous fuel derived from such material; or (2) For purposes of applying the limitati on on “average annual fuel consumption of fossil fuel” in §§ 97.5 04(b)(2)(i)(B) and (ii), natural gas, petroleum, coal, or any form of solid, liquid, or gaseous fuel derived from such material for the purpose of creating useful heat.*** E.O. 12866 Review

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Page 340 of 773 Fossil - fuel - fired means, with regard to a unit, combusting any amount of fossil fuel in 2005 or any calendar year thereafter. General account means an Allowance Management System account, established under this subpart, that is not a compliance account or an assurance account . Generator means a device that produces electricity. Gross electrical output means, for 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 o n - site processing or treatment of fuel combusted at the unit and any on - site emission controls). Heat input means, for a unit for a specified period of time, the product (in mmBtu/time) of the gross calorific value of the fuel (in mmBtu/lb) fed into the un it multiplied by the fuel feed rate (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 pre heated combustion air, recirculated flue gases, or exhaust.
Heat input rate means , for a unit, the amount of heat input (in mmBtu) divided by unit operating time (in hr) or, for a unit and*** E.O. 12866 Review

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Page 341 of 773 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.
Heat rate means , for a unit, the unit’s maximum design heat input (in Btu/hr), divided by the product of 1,000 ,000 Btu / mmBtu and the unit’s maximum hourly load.
I ndian country means “Indian country” as defined in 18 U.S.C. 1151. Life 

### - of - the - unit, firm power contractual arrangement means a unit participation power sales agreement under which a utility or industrial customer reserves, or is entitled to receive, a specified amount or percentage of nameplate capacity and associated energy generated by any specified unit and pays its proportional amount of such unit's total costs, pursuant to a contract: (1) For the life of the unit; (2) For a cumulative term of no le ss 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*** E.O. 12866 Review

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Page 342 of 773 portion of the nameplate capacity and associated energy generated by the unit at the end of the period. Maximum design heat input means , for a unit, the maximum amount of fuel per hour (in Btu/hr) that the unit is capable of combusting on a steady state basis as of the initial installation of the unit as specified by the manufacturer of the unit. Monitoring system means any monitoring system that meets the requirements of this subpart, including a continuous emission monitoring system, an alternative monitoring system, or an excepted monitoring system under part 75 of this chapter. Nameplate capacity means, starting from the initial installation of a generator, the maximum electrical generating output (in MWe , rounded to the nearest tenth ) that the generator is capable of producing on a steady state basis and during continuous operation (when not restricted by seasonal or other deratings) as of such installation as specified by the manufacturer of the generator or, starting from the completi on of any subsequent physical change in the generator resulting in an increase in the maximum electrical generating output that the generator is capable of producing on a steady state basis and during continuous operation (when not restricted by seasonal o r other*** E.O. 12866 Review

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Page 343 of 773 deratings), such increased maximum amount (in MWe , rounded to the nearest tenth ) as of such completion as specified by the person conducting the physical change. Natural gas means “natural gas” as defined in § 72.2 of this chapter. Newly affected 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 , for a TR NOX Ozone Season source or a TR NOX Ozone Season unit at a source respectively , any person who operates, controls, or supervises a TR NOX Ozone Season unit at the source or the TR NOX Ozone Season unit and shall include, but not be limited to, any holding comp any, utility system, or plant manager of such source or unit. Owner means , for a TR NOX Ozone Season source or a TR NOX Ozone Season unit at a source respectively, any of the following persons:*** E.O. 12866 Review

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Page 344 of 773 (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 agr eement, “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; and (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. 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 chapte r. Potential electrical output capacity means , for a unit, 33 percent of the unit's maximum design heat input, divided by*** E.O. 12866 Review

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Page 345 of 773 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 Administrat or, 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, auction, transfer, or deduction. Reference method means any direct test method of sampling and analyzing for an air pollutant as spe cified 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 us ed instead of the demolished or retired unit (the replaced unit).*** E.O. 12866 Review

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Page 346 of 773 Sequential use of energy means: (1) The use of reject heat from electricity production in a useful thermal energy application or process; or (2) The use of reject heat from useful thermal en ergy 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 that is subject to the TR NOX Ozone Season Trading Program pursuant to §52.3 8 ( b ) of this chapter .*** E.O. 12866 Review

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Page 347 of 773 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 ele ctricity, where at least some of the reject heat from the electricity production is then used to provide useful thermal energy. Total energy input means , for a unit, total energy of all forms supplied to the unit, excluding energy produced by the unit. Each form of energy supplied shall be measured by the lower heating value of that form of energy calculated as follows:
LHV = HHV − 10.55(W + 9H) Where:*** E.O. 12866 Review

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Page 348 of 773 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 , for a unit, the sum of useful power and useful thermal energy produ ced by the unit.
TR NOX Annual Trading Program means a multi - state NOX air pollution control and emission reduction program established in accordance with subpart AAAAA of this part and § 52.3 8 (a) of this chapter (including such a program that is revised in a SIP revision approved by the Administrator under §52.38(a)(3) or (4) of this chapter or that is established in a SIP revision approved by the Administrator under §52.38(a)(5) of this chapter ) , as a mean s of mitigating interstate transport of fine particulates and NOX . TR NOX Ozone Season allowance means a limited authorization issued and allocated or auctioned by the Administrator under this subpart , or by a State or permitting authority under a SIP revision approved by the Administrator under §52.38(b)(3), (4), or (5) of this chapter, to emit one ton of NOX during a control period of the specified calendar year for which the*** E.O. 12866 Review

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Page 349 of 773 authorization is allocated or auctioned or of any calendar year thereafter under the TR NOX Ozone Season Trading 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 from an assurance account (e.g., in order to account for compliance with the assurance provisions under §§97.506 and 97.525) . 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.*** E.O. 12866 Review

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Page 350 of 773 TR NOX Ozone Season emissions limitation means, for a TR NOX Ozone Season source, the tonnage of NOX emissions authorized in a control period in a given year by the TR NOX Ozone Season allowances available for deduction for the source under § 97.5 24(a) for such control period.
TR NOX Ozone Season source means a source that includes one or more TR NOX Ozone Season units.
TR NOX Ozone Season Trading Program means a multi - state NOX air pollution control and emission reduction program established in accordance with this subpart and §52.38 (b) of this chapter (including such a program that is revised in a SIP revision approved by the Administrator under §52.38(b)(3) or (4) of this chap ter or that is established in a SIP revision approved by the Administrator under §52.38(b)(5) of this chapter ) , as a means of mitigating interstate transport of ozone and NOX . TR NOX Ozone Season unit means a unit that is subject to the TR NOX Ozone Season Trading Program. TR SO 2 Group 1 Trading Program means a multi - state SO 2 air pollution control and emission reduction program established in accordance with subpart CCCCC of this part and 52.3 9( a), (b) , (d) through (f) , (j), and (k ) of this chapter (including such a program that is revised in a SIP revision approved by the*** E.O. 12866 Review

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Page 351 of 773 Administrator under §52.39(d) or (e) of this chapter or that is established in a SIP revision approved by the Administrator under §52.39(f) of this chapter ) , as a means of mitigating interstate transport of fine particulates and SO 2 . TR SO 2 Group 2 Trading Program means a multi - state SO 2 air pollution control and emission reduction program established in accordance with subpart DDDDD of this part and 52.3 9( a), ( c) , and (g) through (k ) of this chapter (including such a program that is revised in a SIP revision approved by the Administrator under §52.39(g) or (h) of this chapter or that is established in a SIP revision approved by the Administrator under §52.39(i) of this chapter ) , as a means of mitigating interstate transport of fine particulates and SO 2 . Unit means a stationary, fossil - fuel - fired boiler, stationary, fossil - fuel - fired combustion turbine , or other stationary, fossil - fuel - fired combustion device. A unit that undergoes a physical change or is moved to a different location or source shall continue to be treated as the same unit. A unit (the replaced unit) that is replaced by another unit ( the replacement unit) at the same or a different source shall continue to be treated as the same unit, and the replacement unit shall be treated as a separate unit .*** E.O. 12866 Review

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Page 352 of 773 Unit operating day means , with regard to a unit, a calendar day in which the unit combusts any fuel. Unit operating hour or hour of unit operation means , with regard to a unit, an hour in which the unit combusts any fuel. Useful power means , with regard to a unit, electricity or mechanical energy that the unit makes available for use, excluding any such energy used in the power production process (which process includes, but is not limited to, any on - site processing or treatment of fuel combusted at the unit and any on - site emission controls). Useful thermal energy means thermal en ergy 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).*** E.O. 12866 Review

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Page 353 of 773 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
CO 2—carbon dioxide
H 2 O
—water hr
—hour kW
—kilowatt electrical kWh
—kilowatt hour lb
—pound
mmBtu
—million Btu
MWe
—megawatt electrical MWh
—megawatt hour NOX—nitrogen oxides*** E.O. 12866 Review

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Page 354 of 773 O 2—oxygen ppm—parts per million scfh
—standard cubic feet per hour
SO 2—sulfur dioxide
yr—year § 97.504 Applicability. (a) Except as provided in paragraph (b) of this section: (1) The following units in a State ( and Indian country within the borders of such State) shall be 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 subp art: any stationary, fossil - fuel - fired boiler or stationary, fossil - fuel - fired combustion turbine serving at any time, on or after January 1, 2005 , a generator with nameplate capacity of more than 25 MWe producing electricity for sale. (2) If a stationary boiler or stationary combustion turbine that, under paragraph (a)(1) of this section, is not a 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 un it shall become a TR NOX Ozone Season*** E.O. 12866 Review

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Page 355 of 773 unit as provided in paragraph (a)(1) of this section on the first date on which it both combusts fossil fuel and serves such generator. (b) Any unit in a State ( and Indian country within the borders of such State) that otherwise is a TR NOX Ozone Season unit under paragraph (a) of this section and that meets the requirements set forth in paragraph (b)(1)(i) or (2)(i) of this section shall not be a TR NOX Ozone Season unit: (1)(i) Any unit: (A) Qualifying as a cogeneration unit throughout the later of 2005 or the 12 -month period starting on the date the unit first produces electricity and continuing to qualify as a cogeneration unit throughout each calendar year ending after the later of 2005 or such 12 -month period ; and (B) Not supplying in 2005 or any calendar year thereafter more than one - third of the unit's potential electric output capacity or 219,000 MWh, whichever is greater, to any utility power distribution system for sale. (ii) If, a fter qualifying under paragraph (b)(1)(i) of this section as not being a TR NOX Ozone Season unit , a unit subsequently no longer meets all the requirements of paragraph*** E.O. 12866 Review

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Page 356 of 773 (b)(1)(i) of this section , 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. The unit shall thereafter continue to be a TR NOX Ozone Season unit. (2)(i) Any unit: (A) Qualifying as a solid waste incineration unit throughout the later of 2005 or the 12 -month period starting on the date the unit first p roduces electricity and continuing to qualify as a solid waste incineration unit throughout each calendar year ending after the later of 2005 or such 12 -month period ; and (B) With an average annual fuel consumption of fossil fuel for the first 3 consecutive calendar years of operation starting no earlier than 2005 of less than 20 percent (on a Btu basis) and an average annual fuel consumption of fossil fuel for any 3 consecutive calendar years thereafter of less than 20 percent (on a Btu basis). (ii) If, af ter qualifying under paragraph (b)(2)(i) of this section as not being a TR NOX Ozone Season unit , a unit subsequently no longer meets all the requirements of paragraph*** E.O. 12866 Review

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Page 357 of 773 (b)(1)(i) of this section , 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 2005 for which the unit has an average annual fuel con sumption of fossil fuel of 20 percent or more. The unit shall thereafter continue to be a TR NOX Ozone Season unit. (c) A certifying official of an owner or operator of any unit or other equipment may submit a petition (including any supporting documents) to the Administrator at any time for a determination concerning the applicability, under paragraphs (a) and (b) of this section or a SIP revision approved under § 52.38(b)(4) or (5) of this chapter , 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 equipment and the relevant facts about the unit or other equipment. The petition and any other documents provided to the Administra tor 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*** E.O. 12866 Review

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Page 358 of 773 submissi on 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 ob taining 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 requ ired 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 su ch 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 State or permitting authority unles s 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.*** E.O. 12866 Review

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Page 359 of 773 (a)(1) Any TR NOX Ozone Season unit that is p ermanently retired shall be exempt from § 97.5 06(b) and (c)(1), § 97.5 24, and §§ 97.5 30 through 97.5 35. (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 f rom 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 keepin g 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.*** E.O. 12866 Review

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Page 360 of 773 (3) The owners and operators and, to the extent applicab le, the designated representative of a unit exempt under paragraph (a) of this section shall comply with the requirements of the TR NO X 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 al location, 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 §§ 97.5 13 through 97.5 18. (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*** E.O. 12866 Review

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Page 361 of 773 monitoring, reporting, and recordkeeping requirements of §§ 97.5 3 0 through 97.5 35. (2) The emissions data determined in accordance with §§ 97.5 30 through 97.5 35 shall be used to calculate allocations of TR NOX Ozone Season allowances under §§ 97.5 11(a)(2) and (b) and 97.5 12 and to determine compliance with the TR NOX Ozon e 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 s uch compliance shall be the mass emissions amount for the monitoring location determined in accordance with §§ 97.5 30 through 97.5 35 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 in a given year , the owners and operators of each TR NOX Ozone Season source and each TR NOX Ozone Season unit at the sou rce shall hold, in the source's compliance account, TR NOX Ozone Season allowances available for deduction for such control period under § 97.5 24(a) in an amount not less than the tons of total NOX emissions for such control period from all TR NOX Ozone Sea son units at the source.*** E.O. 12866 Review

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Page 362 of 773 (ii) If total NOX emissions during a control period in a given year from the TR NOX Ozone Season units at a TR NOX Ozone Season source are 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 § 97.5 24(d) ; and (B) The owners and operators of the source and each TR NOX Ozone Season unit at the source shall pay any fine, penalty, or assessment or comply with any other remedy imposed, for the same violations, under the Clean Air Act , and e ach ton of such exce ss 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 total NOX emissions during a control period in a given year from all TR NOX Ozone Season units at TR NOX Ozone Season sources in a State (and Indian country within the borders of such State) exceed the State assurance level, then the owners and operators of such sources and units in each group of one or more sources and units havi ng a common designated representative for such control period, where the common designated representative’s share of*** E.O. 12866 Review

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Page 363 of 773 such NOX emissions during such control period exceeds the common designated representative’s assurance level for the State and such control period , shall hold ( in the assurance account established for the owners and operators of such group) TR NOX Ozone Season allowances available for deduction for such control period under § 97.5 25(a) in an amount equal to two times the product (rounded to the nearest whole number), as determined by the Administrator in accordance with § 97.5 25(b), of multiplying

— (A) The quotient of the amount by which the common designated representative’s share of such NOX emissions exceeds the common designated representative’s assurance level divided by the sum of the amounts, determined for all common designated representatives for such sources and units in the State (and Indian country within the borders of such State) for such control pe riod , by which each common designated representative’s share of such NOX emissions exceeds the respective common designated representative’s assurance level; and (B) The amount by which total NOX emissions from all TR NOX Ozone Season units at TR NOX Ozone Season sources in the State (and Indian country within the borders of such State) for such control period exceed the State assurance level.*** E.O. 12866 Review

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Page 364 of 773 (ii) The owner s and operators shall hold the TR NOX Ozone Season 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) Total NOX emissions from all TR NOX Ozone Season un its at TR NOX Ozone Season sources in a State (and Indian country within the borders of such State) during a control period in a given year exceed the State assurance level if such total NOX emissions exceed the sum, for such control period, of the State NOX Ozone Season trading budget under § 97.5 10( a ) and the State’s variability limit under § 97.5 10(b) . (iv) It shall not be a violation of this subpart or of the Clean Air Act if total NOX emissions from all TR NOX Ozone Season units at TR NOX Ozone Season sources in a State (and Indian country within the borders of such State) during a control period exceed the State assurance level or if a common designated representative’s share of total NOX emissions from the TR NOX Ozone Season units at TR NOX Ozone Sea son sources in a State (and Indian country within the borders of such State) during a control period exceeds the common designated representative’s assurance level.*** E.O. 12866 Review

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Page 365 of 773 (v) To the extent the owners and operators fail to hold TR NOX Ozone Season allowances fo r a control period in a given year in accordance with paragraphs (c)(2)(i) through (iii) of this section, (A) The owner s and operators 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 s and operators fail to hold for such control period in accordance with paragraphs (c)(2)(i) through (iii) of this section and each day of such control period shall constitute a separate violation of this subpar t and the Clean Air Act. (3) Compliance periods. A TR NOX Ozone Season unit shall be subject to the requirements under paragraph s (c)(1) and (c)(2) of this section for the control period starting on the later of May 1, 2012 or the deadline for meeting the unit's monitor certification requirements under § 97.5 30(b) and for each control period thereafter. (4) Vintage of allowances held for compliance . (i) A TR NOX Ozone Season allowance held for compliance with the requirements under paragraph (c)(1) (i) of this section for a control period in a given year must be a TR NOX Ozone Season allowance that was*** E.O. 12866 Review

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Page 366 of 773 allocated for such control period or a control period in a prior year. (ii) A TR NOX Ozone Season allowance held for compliance with the requirements under paragraph s (c)(1) (ii)(A) and ( 2)(i) through (iii) of this section for a control period in a given year must be a TR NOX Ozone Season allowance that was allocated for a control period in a prior year or the control period in the given year or in the immediately following year. (5) Allowance Management System requirements. Each 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. A TR NOX Ozone Season allowance is a limited authorization to emit one ton of NOX during the control period in one year. Such authorization is limited in its use and duration as follows: (i) Such authorization shall only be used in accordance with the TR NOX Ozone Season Trading Program ; and (ii) Notwithstanding any other provision of this subpart, the Administrator has the authority to terminate or limit the use and duration of such authorization to the extent the*** E.O. 12866 Review

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Page 367 of 773 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 p ermit requir ements . (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 emiss ions 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 §§ 97.5 30 through 97.5 35 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*** E.O. 12866 Review

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Page 368 of 773 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 r ecordkeeping 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 § 97.5 16 for the designated representative for the sour ce 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 certificate of representation and documents are superseded because of the submission of a new certificate of representation under § 97.5 16 changing the designated representative. (ii) All emissions monitoring information, in accordance with this subpart.*** E.O. 12866 Review

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Page 369 of 773 (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. (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 , except as provided in § 97.5 1 8 . This requirement does not change, create an exemption from, or 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 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 appli es 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 exemptio n under § 97.5 05 shall be*** E.O. 12866 Review

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Page 370 of 773 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, is not a business day , the time period shall be ext ended to the next business day. § 97.508 Administrative appeal procedures.*** E.O. 12866 Review

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Page 371 of 773 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. § 97.5 09 [Reserved] § 97.510 State NOX Ozone Season trading budgets, new unit setasides, Indian country new unit set- aside, and variability limits. (a) The State NOX Ozone Season trading budgets , new unit set asides , and Indian country 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)* for 2012 and 2013 New unit set aside (tons) for 2012 and 2013 Indian country

new unit set aside (tons) for 2012 and 2013 Alabama 31,746 635 --- Arkansas 15,037 301 --- Florida 27,825 529 28 Georgia 27,944 559 --- Illinois 21,208 1,697 --- Indiana 46,876 1,406 --- Kentucky 36,167 1,447 --- Louisiana 13,432 390 13 Maryland 7,179 144 --- Mississippi 10,160 193 10 New Jersey 3,382 68 --- New York 8,331 242 8*** E.O. 12866 Review

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Page 372 of 773 North Carolina 22,168 1,308 22 Ohio 40,063 801 --- Pennsylvania 52,201 1,044 --- South Carolina 13,909 264 14 Tennessee 14,908 298 --- Texas 63,043 1,828 63 Virginia 14,452 723 --- West Virginia 25,283 1,264 ---

State NOX Ozone Season

trading budget (tons)* for 2014 and thereafter New unit set aside (tons) for 2014 and thereafter Indian country

new unit set aside (tons) for 2014 and thereafter Alabama 31,499 630 --- Arkansas 15,037 301 --- Florida 27,825 529 28 Georgia 18,279 366 --- Illinois 21,208 1,697 --- Indiana 46,175 1,385 --- Kentucky 32,674 1,307 --- Louisiana 13,432 390 13 Maryland 7,179 144 --- Mississippi 10,160 193 10 New Jersey 3,382 68 --- New York 8,331 242 8 North Carolina 18,455 1,089 18 Ohio 37,792 756 --- Pennsylvania 51,912 1,038 --- South Carolina 13,909 264 14 Tennessee 8,016 160 --- Texas 63,043 1,828 63*** E.O. 12866 Review

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Page 373 of 773 Virginia 14,452 723 --- West Virginia 23,291 1,165 ---

* Each trading budget includes the new unit set - aside and, where applicable, the Indian country new unit set - aside and does not include the variability limit. (b) The States’ variability limits for the State NOX Ozone Season trading budgets for the control periods in 201 2 and thereafter are as follows:

State Variability limits

for 2012 and 2013 Variability limits for 2014 and thereafter Alabama 6,667 6,615 Arkansas 3,158 3,158 Florida 5,843 5,843 Georgia 5,868 3,839 Illinois 4,454 4,454 Indiana 9,844 9,697 Kentucky 7,595 6,862 Louisiana 2,821 2,821 Maryland 1,508 1,508 Mississippi 2,134 2,134 New Jersey 710 710 New York 1,750 1,750 North Carolina 4,655 3,876 Ohio 8,413 7,936 Pennsylvania 10,962 10,902 South Carolina 2,921 2,921 Tennessee 3,131 1,683*** E.O. 12866 Review

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Page 374 of 773 Texas 13,239 13,239 Virginia 3,035 3,035 West Virginia 5,309 4,891

§ 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 provided in a notice of data availability issued by the Administrator . Providing an allocation to a unit in such notice does not constitute a determination that the unit is a TR NOX Ozone Season unit, and not providing an allocation to a unit in such notice 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 provided an a llocation in the notice of data availability issued under paragraph (a)(1) of this section does not operate, starting after 2011, during the control period in two consecutive years, such unit will not be allocated the TR NOX Ozone Season allowances provide d in such notice for the unit for the control periods in the fifth year after the first such year and in each year after that fifth year. All TR NOX Ozone Season allowances that would otherwise have been allocated to such unit*** E.O. 12866 Review

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Page 375 of 773 will be allocated to the new unit set - aside for the State where such unit is located and for the respective years involved. If such unit resumes operation, the Administrator will allocate TR NOX Ozone Season allowances to the unit in accordance with paragraph (b) of this section. ( b) New units . (1) New unit set - asides. (i) By June 1, 2012 and June 1 of each year thereafter, the Administrator will calculate the TR NOX Ozone Season allowance allocation to each TR NOX Ozone Season unit in a State , in accordance with § 97.5 12 (a)(2) thr ough (7) and (12) , for the control period in the year of the applicable calculation deadline under this paragraph and will promulgate a notice of data availability of the results of the calculations. ( ii ) For each notice of data availability required in paragraph (b)(1) (i) of this section, the Administrator will provide an opportunity for submission of objections to the calculations referenced in such notice. ( A ) Objections shall be submitted by the deadline specified in each notice of data availability required in paragraph (b)(1) (i) of this section and shall be limited to addressing whether the calculations (including the identification of the TR NOX Ozone*** E.O. 12866 Review

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Page 376 of 773 Season units) are in accordance with § 97.5 12 (a)(2) through (7) and (12) and §§ 97.5 06(b)(2) and 97 .5 30 through 97.5 35. ( B ) The Administrator will adjust the calculations to the extent necessary to ensure that they are in accordance with the provisions referenced in paragraph (b)( 1 )(i i ) (A) of this section. By August 1 immediately after the promulgatio n of each notice of data availability required in paragraph (b)(1) (i) of this section, the Administrator will promulgate a notice of data availability of any adjustments that the Administrator determines to be necessary with regard to allocations under § 97 .5 12 (a)(2) through (7) and (12) and the reasons for accepting or rejecting any objections submitted in accordance with paragraph (b)( 1 )(i i ) (A) of this section . (iii) If the new unit set - aside for such control period contains any TR NOX Ozone Season allowances that have not been allocated in the applicable notice of data availability required in paragraph (b)(1) (ii) of this section , the Administrator will promulgate, by September 15 immediately after such notice, a notice of data availability that identifi es any TR NOX Ozone Season units that commenced commercial operation during the period starting May 1 of the year before the year of such control period and ending August 31 of year of such control period .*** E.O. 12866 Review

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Page 377 of 773 ( iv ) For each notice of data availability required in paragraph (b)(1) (iii) of this section, the Administrator will provide an opportunity for submission of objections to the identification of TR NOX Ozone Season units in such notice. (A) Objections shall be submitted by the deadline specified in each no tice of data availability required in paragraph (b)(1) (iii) of this section and shall be limited to addressing whether the identification of TR NOX Ozone Season units in such notice is in accordance with paragraph (b)(1) (iii) of this section . (B) The Administrator will adjust the identification of TR NOX Ozone Season units in the each notice of data availability required in paragraph (b)(1)(iii) of this section to the extent necessary to ensure that it is in accordance with paragraph (b)(1) (iii) of this s ection and will calculate the TR NOX Ozone Season allowance allocation to each TR NOX Ozone Season unit in accordance with § 97.5 12 (a)(9), (10), and (12) and §§ 97.5 06(b)(2) and 97.5 30 through 97.5 35 . By November 15 immediately after the promulgation of each notice of data availability required in paragraph (b)(1)(iii) of this section , the Administrator will promulgate a notice of data availability of any adjustments of the identification of TR NOX Ozone Season units that the Administrator determines to be necessary , the reasons for*** E.O. 12866 Review

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Page 378 of 773 accepting or rejecting any objections submitted in accordance with paragraph (b)( 1 )(iv ) (A) of this section , and the results of such calculations. (v) To the extent any TR NOX Ozone Season allowances are added to the new unit set - aside after promulgation of each notice of data availability required in paragraph (b)(1)(iv) of this section, the Administrator will promulgate additional notices of data availability, as deemed appropriate, of the allocation of such TR NOX Ozone Season a llowances in accordance with §97. 5 12 (a)(10). ( 2 ) Indian country new unit set - asides. (i) By June 1, 2012 and June 1 of each year thereafter, the Administrator will calculate the TR NOX Ozone Season allowance allocation to each TR NOX Ozone Season unit in Indian country within the borders of a State , in accordance with § 97.5 12 (b)(2) through (7) and (12) , for the control period in the year of the applicable calculation deadline under this paragraph and will promulgate a notice of data availability of the re sults of the calculations. ( ii ) For each notice of data availability required in paragraph (b)( 2 ) (i) of this section, the Administrator will provide an opportunity for submission of objections to the calculations referenced in such notice.*** E.O. 12866 Review

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Page 379 of 773 ( A ) Objections shall be submitted by the deadline specified in each notice of data availability required in paragraph (b)( 2 ) (i) of this section and shall be limited to addressing whether the calculations (including the identification of the TR NOX Ozone Season units) are in accordance with § 97.5 12 (b)(2) through (7) and (12) and §§ 97.5 06(b)(2) and 97.5 30 through 97.5 35. ( B ) The Administrator will adjust the calculations to the extent necessary to ensure that they are in accordance with the provisions referenced in paragraph (b)( 2 )(i i ) (A) of this section. By August 1 immediately after the promulgation of each notice of data availability required in paragraph (b)( 2 ) (i) of this section, the Administrator will promulgate a notice of data availability of any adjustments that the Administrator determines to be necessary with regard to allocations under § 97.5 12 (b)(2) through (7) and (12) and the reasons for accepting or rejecting any objections submitted in accordance with paragraph (b)( 2 )(i i ) (A) of this section . (iii) I f the Indian country new unit set - aside for such control period contains any TR NOX Ozone Season allowances that have not been allocated in the applicable notice of data availability required in paragraph (b)( 2 ) (ii) of this section , the Administrator will promulgate, by September 15 immediately after such notice, a notice of data availability that identifies any*** E.O. 12866 Review

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Page 380 of 773 TR NOX Ozone Season units that commenced commercial operation during the period starting May 1 of the year before the year of such control period and ending August 31 of year of such control period . ( iv ) For each notice of data availability required in paragraph (b)( 2 ) (iii) of this section, the Administrator will provide an opportunity for submission of objections to the identification of TR NOX Ozon e Season units in such notice. (A) Objections shall be submitted by the deadline specified in each notice of data availability required in paragraph (b)( 2 ) (iii) of this section and shall be limited to addressing whether the identification of TR NOX Ozone Season units in such notice is in accordance with paragraph (b)( 2 ) (iii) of this section . (B) The Administrator will adjust the identification of TR NOX Ozone Season units in the each notice of data availability required in paragraph (b)(2)(iii) of this section to the extent necessary to ensure that it is in accordance with paragraph (b)( 2 ) (iii) of this section and will calculate the TR NOX Ozone Season allowance allocation to each TR NOX Ozone Season unit in accordance with § 97.5 12 (b)(9), (10), and (12) and §§ 97.5 06(b)(2) and 97.5 30 through 97.5 35 . By November 15 immediately after the*** E.O. 12866 Review

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Page 381 of 773 promulgation of each notice of data availability required in paragraph (b)(2)(iii) of this section , the Administrator will promulgate a notice of data availability of any adjustments of the identification of TR NOX Ozone Season units that the Administrator determines to be necessary , the reasons for accepting or rejecting any objections submitted in accordance with paragraph (b)( 2 )(iv ) (A) of this section , and the resul ts of such calculations. (v) To the extent any TR NOX Ozone Season allowances are added to the Indian country new unit set - aside after promulgation of each notice of data availability required in paragraph (b)(2)(iv) of this section, the Administrator will promulgate additional notices of data availability, as deemed appropriate, of the allocation of such TR NOX Ozone Season allowances in accordance with §97. 5 12 (b)(10). (c) Units incorrectly allocated TR NOX Ozone Season allowances . (1) For each control period in 2012 and thereafter, if the Administrator determines that TR NOX Ozone Season allowances were alloca ted under paragraph (a) of this section , or under a provision of a SIP revision approved under § 52.38(b)(3), (4), or (5) of this chapter, where such control period and the recipient are covered by the provisions of paragraph (c)(1)(i) of this section or we re allocated under § 97.5 12 (a)(2) through (7), (9),*** E.O. 12866 Review

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Page 382 of 773 and (12) and (b)(2) through (7), (9), and (12), or under a provision of a SIP revision approved under § 52.38(b)(4) or (5) of this chapter, where such control period and the recipient are covered by the provisions of paragraph (c)(1)(ii) of this section , then the Administrator will notify the designated representative of the recipient and will act in accordance with the procedures set forth in paragraphs (c)(2) through (5) of this section : (i)(A) The recipient is not actually a TR NOX Ozone Season unit under § 97.5 04 as of May 1, 2012 and is allocated TR NOX Ozone Season allowances for such control period or, in the case of an allocation under a provision of a SIP revision approved under § 52.38(b)(3), (4), or (5) of this chapter, the recipient is not actually a TR NOX Ozone Season unit as of May 1, 2012 and is allocated TR NOX Ozone Season allowances for such control period that the SIP revision provides should be allocated only to recipients that are TR NOX Ozone Season units as of May 1, 2012; or (B) The recipient is not located as of May 1 of the control period in the State from whose NOX Ozone Season trading budget the TR NOX Ozone Season allowances allocated under paragraph (a) of this section, or under a provision of a SIP revision approved*** E.O. 12866 Review

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Page 383 of 773 under § 52.38(b)(3), (4), or (5) of this chapter, were allocated for such control period. (ii) The recipient is not actually a TR NOX Ozone Season unit under § 97.5 04 as of May 1 of such control period and is allocated TR NOX Ozone Season allowances for such control period or, in the case of an allocation under a provision of a SIP revision approved under § 52.38(b)(3), (4), or (5) of this chapter, the recipient is not actually a TR NOX Ozone Season unit as of January 1 of such control period and is allocated TR NOX Ozone Season allowances for such control period that the SIP revision provides should be allocated only to recipients that are TR NOX Ozone Season units as of May 1 of such control period . ( 2 ) Except as provi ded in paragraph (c)( 3 ) or ( 4 ) of this section, the Administrator will not record such TR NOX Ozone Season allowances under § 97.5 21. ( 3 ) If the Administrator already recorded such TR NOX Ozone Season allowances under § 97.5 21 and if the Administrator makes the determination under paragraph (c)(1) of this section before making deductions for the source that includes such recipient under § 97.5 24(b) for such control period, then the Administrator will deduct from the account in which such TR NOX Ozone Season al lowances were recorded an amount of TR NOX Ozone Season*** E.O. 12866 Review

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Page 384 of 773 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 a re sufficient TR NOX Ozone Season allowances in such account for completion of the deduction. ( 4 ) If the Administrator already recorded such TR NOX Ozone Season allowances under § 97.5 21 and if the Administrator makes the determination under paragraph (c)(1 ) of this section after making deductions for the source that includes such recipient under § 97.5 24(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. ( 5 ) (i) With regard to the TR NOX Ozone Season allowances that are not recorded, or that are deducted as an incorrect allocation , in accordance with paragraphs (c)( 2 ) and ( 3 ) of this section for a recipient under paragraph (c)(1)(i) of this section, the Admi nistrator will: (A) Transfer such TR NOX Ozone Season allowances to the new unit set - aside for such control period for the State from whose NOX Ozone Season trading budget the TR NOX Ozone Season allowances were allocated; or*** E.O. 12866 Review

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Page 385 of 773 (B) If the State has a SIP revision approved under § 52.38(b)(4) or (5) covering such control period, include such TR NOX Annual allowances in the portion of the State NOX Ozone Season trading budget that may be allocated for such control period in accordan ce with such SIP revision. (ii) With regard to the TR NOX Ozone Season allowances that were not allocated from the Indian country new unit set - aside for such control period and that are not recorded, or that are deducted as an incorrect allocation , in ac cordance with paragraphs (c)( 2 ) and ( 3 ) of this section for a recipient under paragraph (c)(1)(ii) of this paragraph, the Administrator will: (A) Transfer such TR NOX Ozone Season a llowances to the new unit set - aside for such control period; or (B) If the State has a SIP revision approved under § 52.38(b)(4) or (5) covering such control period, include such TR NOX Ozone Season allowances in the portion of the State NOX Ozone Season trading budget that may be allocated for such control period in accordance wi th such SIP revision. (iii) With regard to the TR NOX Ozone Season allowances that were allocated from the Indian country new unit set - aside for such control period and that are not recorded, or that are deducted as an incorrect allocation , in accordance with paragraphs (c)( 2 )*** E.O. 12866 Review

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Page 386 of 773 and ( 3 ) of this section for a recipient under paragraph (c)(1)(ii) of this paragraph, the Administrator will transfer such TR NOX Ozone Season allowances to the Indian country new unit set - aside for such control period. § 97.512 TR NOX Ozone Season allowance allocations to new units. (a) For each control period in 2012 and thereafter and for the TR NOX Ozone Season units in each State , the Administrator will allocate TR NOX Ozone Season allowances to the TR NOX Ozone Season units as follows: (1) The TR NOX Ozone Season allowances will be allocated to the following TR NOX Ozone Season units , except as provided in paragraph (a)(10) of this section: (i) TR NOX Ozone Season units that are not allocated an amount of TR NOX Ozone Season allowances in the notice of data availability issued under § 97.5 11 (a)(1); (ii) TR NOX Ozone Season units whose allocation of an amount of TR NOX Ozone Season allowances for such control period in the notice of data availability issued under § 97.5 11 (a)(1) is covered by § 97.5 11(c)( 2 ) or ( 3 ) ; (iii) TR NO X Ozone Season units that are allocated an amount of TR NOX Ozone Season allowances for such control period in the*** E.O. 12866 Review

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Page 387 of 773 notice of data availability issued under § 97.5 11 (a)(1), which allocation is terminated for su ch control period pursuant to § 97.5 11(a)(2) , and that operate during the control period immediately preceding such control period ; or (iv) For purposes of paragraph (a)(9) of this section, TR NO X Ozone Season units under § 97.5 11 (c)(1)(ii) whose allocation of an amount of TR NOX Ozone Season allowances for such control period in the notice of data availability issued under § 97.5 1 1(b)(1)(ii)(B) is covered by § 97.5 11(c)( 2 ) or ( 3 ) . ( 2 ) The Administrator will establish a separate new unit set aside for the Stat e for each such control period. Each such 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 § 97.5 10(a) and will be allocated additional TR NOX Ozone Seas on allowances (if any) in accordance with §§ 97.5 11(a)(2) and (c)( 5 ) and paragraph (b)(10) of this section . ( 3 ) The Administrator will determine, for each TR NOX Ozone Season unit described in paragraph (a)(1) of this section, an allocation of TR NOX Ozone Season allowances for the later of the following control periods and for each subsequent control period:*** E.O. 12866 Review

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Page 388 of 773 (i) The control period in 2012 ; (ii) The first control period after the control period in which the TR NOX Ozone Season unit commences commercial oper ation ; (iii) For a unit described in paragraph (a)(1)(ii) of this section, the first control period in which the TR NOX Ozone Season unit operates in the State after operating in another jurisdiction and for which the unit is not already allocated one or more TR NOX Ozone Season allowances ; and (iv) For a unit described in paragraph (a)(1)(iii) of this section, the first control period after the control period in which the unit resumes operation . (4)(i) The allocation to each TR NOX Ozone Season unit desc ribed in paragraph (a)(1)(i) through (iii) of this section and for each control period described in paragraph (a)(3) of this section will be an amount equal to the unit’s total tons of NOX emissions during the immediately preceding control period . (ii) The Administrator will adjust the allocation amount in paragraph (a)(4)(i) in accordance with paragraphs (a)(5) through ( 7 ) and (12) of this section. (5) The Administrator will calculate the sum of the TR NOX Ozone Season allowances determined for all such TR NOX Ozone Season*** E.O. 12866 Review

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Page 389 of 773 unit s under paragraph (a)(4)(i) of this section in the State for such control period. (6) If the amount of TR NOX Ozone Season allowances in the new unit set - aside for the State for such control period is greater than or equal to the sum under paragraph (a)( 5 ) of this section, then the Administrator will allocate the amount of TR NOX Ozone Season allowances determined for each such TR NOX Ozone Season unit under paragraph (a)(4)(i) of this section . (7) If the amount of TR NOX Ozone Season allowances in the new unit set - aside for the State for such control period is less than the sum under paragraph (a)( 5 ) of this section, then the Administrator will allocate to each such TR NOX Ozone Season unit the amount of the TR NOX Ozone Season allowances determined under paragraph (a)(4)(i) of this section for the unit , multiplied by the amount of TR NOX Ozone Season allowances in the new unit set aside for such control period, divided by the sum under paragraph (a)( 5 ) of this section, and rounded to the nearest allowance. (8) The Administrator will notify the public , through the promulgation of the notices of data availability described in § 97.5 11(b) (1)(i) and (ii) , of the amount of TR NOX Ozone Season allowances allocated under paragraphs (a)(2) through (7) and*** E.O. 12866 Review

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Page 390 of 773 (12) of this section for such control period to each TR NOX Ozone Season unit eligible for such allocation . (9) If, after completion of the procedures under paragraph s (a) (5) through (8) of this section for such control period, any unallocated TR NOX Ozone Season allowances remain in the new unit set - aside for the State for such control period, the Administrator will allocate such TR NOX Ozone Season allowances as follows -- (i) The Administrator will determine, for each unit described in paragraph (a)(1) of this section that commenced commercial operation during the period starting May 1 of the year before the year of such control period and ending August 31 of year of such control period, the positive difference (if any) between the unit’s emissions during such control period and the amount of TR NOX Ozone Season allowances referenced in the notice of data availability required under § 97.5 11 (b)(1)(ii) for the unit for such control period; (ii) The Administrator will determine the sum o f the positive differences determined under paragraph (a)(9)(i) of this section; (iii) If the amount of unallocated TR NOX Ozone Season allowances remaining in the new unit set - aside for the State for such*** E.O. 12866 Review

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Page 391 of 773 control period is greater than or equal to the sum determined under paragraph (a)( 9 ) (ii) of this section, then the Administrator will allocate the amount of TR NOX Ozone Season allowances determined for each such TR NOX Ozone Season unit under paragraph (a)(9)(i) of this section; and (iv) If the amount of unallocated TR NOX Ozone Season allowances remaining in the new unit set - aside for the State for such control period is less than the sum under paragraph (a)( 9)(ii) of this section, then the Administrator will allocate to each such TR NOX Ozone Season unit the amount of the TR NOX Ozone Season allowances determined under paragraph (a)(9)(i) of this section for the unit , multiplied by the amount of unallocated TR NOX Ozone Season allowances remaining in the new unit set - aside for such control period, divided by the sum under paragraph (a)( 9)(ii) of this section, and rounded to the nearest allowance. (10) If, after completion of the procedures under paragraph s (a) (9) and (12) of this section for such control period, any unallocated TR NOX Ozone Season allowances remain in the new unit set - aside for the State for such control period, the Administrator will allocate to each TR NOX Ozone Season unit that is in the State, is allocated an amount of TR NOX Ozone Season allowances in the notice of data availability issued under*** E.O. 12866 Review

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Page 392 of 773 § 97.5 11 (a)(1) , and continues to be allocated TR NOX Ozone Season allowances for such control period in accordance with § 97.5 11(a)(2), an amount of TR NOX Ozone Season allowances equal to the following: the to tal amount of such remaining unallocated TR NOX Ozone Season allowances in such new unit set - aside, multiplied by the unit's allocation under § 97.5 11(a) for such control period, divided by the remainder of the amount of tons in the applicable State NOX Ozo ne Season trading budget minus the sum of the amount s of tons in such new unit set - aside and the Indian country new unit set - aside for the State for such control period , and rounded to the nearest allowance. (11) The Administrator will notify the public , through the promulgation of the notices of data availability described in § 97.5 11(b) (1)(iii), (iv) , and (v), of the amount of TR NOX Ozone Season allowances allocated under paragraphs (a)(9), (10), and (12) of this section for such control period to each TR NOX Ozone Season unit eligible for such allocation. (12)(i) Notwithstanding the requirements of paragraphs (a)(2) through (11) of this section, if the calculations of allocations of a new unit set - aside for a control period in a given year under paragraph (a)(7) of this section, paragraphs (a)(6) and (9)(iv ) of this section, or paragraphs (a)(6), (9)(iii), and (10) of this section would otherwise result in total allocations*** E.O. 12866 Review

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Page 393 of 773 of such new unit set - aside exceeding the total amount of such new unit set - aside, then the Administrator will adjust the results of the calculations under paragraph (a)(7), (9)(iv), or (10) of this section, as applicable, as follows. The Administrator will list the TR NOX Ozone Season units in descending order based on the amount of such units’ allocations under paragraph (a)(7), (9)(iv), or (10) of this section, as applicable, and, in cases of equal allocation amounts, in alphabetical order of the relevant source’s name and numerical order of the relevant unit’s identification number, and will reduce each unit’s allocation under paragraph (a)(7), (9)(iv), or (10) of this section, as applicable, by one TR NOX Ozone Season allowance (but not below zero) in the order in which the units are listed and will repeat this reduction process as necessary, until the total allocations of su ch new unit set aside equal the total amount of such new unit set - aside. (ii) Notwithstanding the requirements of paragraphs (a)(10) and (11) of this section, if the calculations of allocations of a new unit set - aside for a control period in a given year under paragraphs (a)(6), (9)(iii), and (10) of this section would otherwise result in a total allocations of such new unit set aside less than the total amount of such new unit set - aside, then the Administrator will adjust the results of the*** E.O. 12866 Review

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Page 394 of 773 calculations under paragraph (a)(10) of this section, as follows. The Administrator will list the TR NOX Ozone Season units in descending order based on the amount of such units’ allocations under paragraph (a)(10) of this section and, in cases of equal allocation amounts, in alphabetical order of the relevant source’s name and numerical order of the relevant unit’s identification number, and will increase each unit’s allocation under paragraph (a)(10) of this section by one TR NO X Ozone Season allowance in the order i n which the units are listed and will repeat this increase process as necessary, until the total allocations of such new unit set - aside equal the total amount of such new unit set - aside. ( b ) For each control period in 2012 and thereafter and for the TR NOX Ozone Season units located in Indian country within the borders of each State , the Administrator will allocate TR NOX Ozone Season allowances to the TR NOX Ozone Season units as follows: (1) The TR NOX Ozone Season allowances will be allocated to the following TR NOX Ozone Season units , except as provided in paragraph (b)(10) of this section:*** E.O. 12866 Review

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Page 395 of 773 (i) TR NOX Ozone Season units that are not allocated an amount of TR NOX Ozone Season allowances in the notice of data availability issue d under § 97.5 11 (a)(1); or (ii) For purposes of paragraph (b)(9) of this section, TR NO X Ozone Season units under § 97.5 11 (c)(1)(ii) whose allocation of an amount of TR NOX Ozone Season allowances for such control period in the notice of data availability issued under § 97.5 1 1(b)(2)(ii)(B) is covered by § 97.5 11(c)( 2 ) or ( 3 ) . (2 ) The Administrator will establish a separate Indian country new unit set - aside for the State for each such control period. Each such Indian country new unit set - aside will be allocated TR NOX Ozone Season allowances in an amount equal to the applicable amount of tons of NOX emissions as set forth in § 97.5 10(a) and will be allocated additional TR NOX Ozone Season allowances (if any) in accordance with § 97.5 11(c)( 5 ). ( 3 ) The Administrator will determine, for each TR NOX Ozone Season unit described in paragraph (b)(1) of this section, an allocation of TR NOX Ozone Season allowances for the later of the following control periods and for each subsequent co ntrol period: (i) The control period in 2012 ; and*** E.O. 12866 Review

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Page 396 of 773 (ii) The first control period after the control period in which the TR NOX Ozone Season unit commences commercial operation . (4)(i) The allocation to each TR NOX Ozone Season unit described in paragraph (b)(1)(i) of this section and for each control period described in paragraph (b)(3) of this section will be an amount equal to the unit’s total tons of NOX emissions during the immediately preceding control period . (ii) The Administrator will adjust the allocation amount in paragraph (b)(4)(i) in accordance with paragraphs ( b )(5) through ( 7 ) and (12) of this section. (5) The Administrator will calculate the sum of the TR NOX Ozone Season allowances determined for a ll such TR NOX Ozone Season unit s under paragraph (b)(4)(i) of this section in Indian country within the borders of the State for such control period. (6) If the amount of TR NOX Ozone Season allowances in the Indian country new unit set - aside for the Stat e for such control period is greater than or equal to the sum under paragraph ( b )( 5 ) of this section, then the Administrator will allocate the amount of TR NOX Ozone Season allowances determined for each such TR NOX Ozone Season unit under paragraph (b)(4)(i) of this section .*** E.O. 12866 Review

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Page 397 of 773 (7) If the amount of TR NOX Ozone Season allowances in the Indian country new unit set - aside for the State for such control period is less than the sum under paragraph ( b )( 5 ) of this section, then the Administrator will allocate to each such TR NOX Ozone Season unit the amount of the TR NOX Ozone Season allowances determined under paragraph (b)(4)(i) of this section for the unit , multiplied by the amount of TR NOX Ozone Season allowances in the Indian country new unit set - aside fo r such control period, divided by the sum under paragraph ( b )( 5 ) of this section, and rounded to the nearest allowance. (8) The Administrator will notify the public , through the promulgation of the notices of data availability described in § 97.5 11(b) (2)(i) and (ii) , of the amount of TR NOX Ozone Season allowances allocated under paragraphs (b)(2) through (7) and (12) of this section for such control period to each TR NOX Ozone Season unit eligible for such allocation . (9) If, after completion of the procedu res under paragraph s ( b ) (5) through (8) of this section for such control period, any unallocated TR NOX Ozone Season allowances remain in the Indian country new unit set - aside for the State for such control period, the Administrator will allocate such TR NOX Ozone Season allowances as follows --*** E.O. 12866 Review

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Page 398 of 773 (i) The Administrator will determine, for each unit described in paragraph (b)(1) of this section that commenced commercial operation during the period starting May 1 of the year before the year of such control peri od and ending August 31 of year of such control period, the positive difference (if any) between the unit’s emissions during such control period and the amount of TR NOX Ozone Season allowances referenced in the notice of data availability required under § 97.5 11 (b)(2)(ii) for the unit for such control period; (ii) The Administrator will determine the sum of the positive differences determined under paragraph (b)(9)(i) of this section; (iii) If the amount of unallocated TR NOX Ozone Season allowances remaining in the Indian country new unit set - aside for the State for such control period is greater than or equal to the sum determined under paragraph ( b )( 9 ) (ii) of this section, then the Administrator will allocate the amount of TR NOX Ozone Season allowances determined for each such TR NOX Ozone Season unit under paragraph (b)(9)(i) of this section; and (iv) If the amount of unallocated TR NOX Ozone Season allowances remaining in the Indian country new unit set - aside for the State for such control period is less than the sum under paragraph*** E.O. 12866 Review

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Page 3 99 of 773 ( b )( 9)(ii) of this section, then the Administrator will allocate to each such TR NOX Ozone Season unit the amount of the TR NOX Ozone Season allowances determined under paragraph (b)(9)(i) of thi s section for the unit , multiplied by the amount of unallocated TR NOX Ozone Season allowances remaining in the Indian country new unit set - aside for such control period, divided by the sum under paragraph ( b )( 9)(ii) of this section, and rounded to the nea rest allowance. (10) If, after completion of the procedures under paragraph s ( b ) (9) and (12) of this section for such control period, any unallocated TR NOX Ozone Season allowances remain in the Indian country new unit set - aside for the State for such cont rol period, the Administrator will : (i) Transfer such unallocated TR NOX Ozone Season allowances to the new unit set - aside for the State for such control period; or (ii) If the State has a SIP revision approved under § 52.38(b)(4) or (5 ) covering such control period, include such unallocated TR NOX Ozone Season allowances in the portion of the State NOX Ozone Season trading budget that may be allocated for such control period in accordance with such SIP revision. (11) The Administrator will notify the public , through the promulgation of the notices of data availability described in*** E.O. 12866 Review

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Page 400 of 773 § 97.5 11(b) (2)(iii), (iv) , and (v), of the amount of TR NOX Ozone Season allowances allocated under paragraphs (b)(9), (10), and (12) of this section for such control period to each TR NOX Ozone Season unit eligible for such allocation. (12)(i) Notwithstanding the requirements of paragraphs (b)(2) through (11) of this section, if the calculations of allocations of an Indian country new unit set - aside for a control period in a given year under paragraph (b)(7) of this section, paragraphs (b)(6) and (9)(iv) of this section, or paragraphs (b)(6), (9)(iii), and (10) of this section would otherwise result in total allocations of such Indian country new unit set - aside exceeding the total amount of such Indian country new unit set aside, then the Administrator will adjust the results of the calculations under paragraph (b)(7), (9)(iv), or (10) of this section, as applicable, as follows. The Administrator will list the TR NOX Ozone Season units in descending order based on the amount of such units’ allocations under paragraph (b)(7), (9)(iv), or (10) of this section, as applicable, and, in cases of equal allocation amounts, in alphabetical order of the relevant source’s name and numerical order of the relevant unit’s identification number, and will reduce each unit’s allocation under paragraph (b)(7), (9)(iv), or (10) of this section, as applicable, by one TR NOX Ozone Season allowance (but*** E.O. 12866 Review

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Page 401 of 773 not below zero) in the order in which the units are listed and will repeat this reduction process as necessary, until the total allocations of such Indian country new unit set - aside equal the total amount of such Indian country new unit set - aside. (ii) Notwithstanding the requirements of pa ragraphs (b)(10) and (11) of this section, if the calculations of allocations of an Indian country new unit set - aside for a control period in a given year under paragraphs (b)(6), (9)(iii), and (10) of this section would otherwise result in a total alloca tions of such Indian country new unit set - aside less than the total amount of such Indian country new unit set - aside, then the Administrator will adjust the results of the calculations under paragraph (b)(10) of this section, as follows. The Administrator will list the TR NOX Ozone Season units in descending order based on the amount of such units’ allocations under paragraph (b)(10) of this section and, in cases of equal allocation amounts, in alphabetical order of the relevant source’s name and numerical order of the relevant unit’s identification number, and will increase each unit’s allocation under paragraph (b)(10) of this section by one TR NOX Ozone Season allowance in the order in which the units are listed and will repeat this increase process as n ecessary, until the total allocations of such Indian country*** E.O. 12866 Review

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Page 402 of 773 new unit set - aside equal the total amount of such Indian country new unit set - aside. § 97.513 Authorization of designated representative and alternate designated representative. (a) Except as provided under § 97.5 15, 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 § 97.5 16(a)(4)(iii). (2) Upon and a fter receipt by the Administrator of a complete certificate of representation under § 97.5 16: (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 the source in all matters pertaining to the TR NOX Ozone Season Trading*** E.O. 12866 Review

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Page 403 of 773 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 un der § 97.5 15, 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 p rocedure 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 § 97.5 16(a)(4)(iii). (2) Upon and after receipt by the Administrator of a complete certificate of representation under § 97.5 16, (i) The alternate designated r epresentative shall be authorized;*** E.O. 12866 Review

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Page 404 of 773 (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 sec tion, § 97.5 02, and §§ 97.5 14 through 97.5 18, whenever the term “designated representative” (as distinguished from the term “common designated representative”) is used in this subpart, the term shall be construed to include the designated representative or any alternate designated representative. § 97.514 Responsibilities of designated representative and alternate designated representative. (a) Except as provided under § 97.5 18 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*** E.O. 12866 Review

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Page 405 of 773 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 o f 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 submit ting 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 Seas on unit only if the submission has been made, signed, and certified in accordance with paragraph (a) of this section and § 97.5 18. § 97.515 Changing designated representative and alternate designated representative; changes in owners and operators; changes in units at the source.*** E.O. 12866 Review

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Page 406 of 773 (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 § 97.5 16. 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 an y time upon receipt by the Administrator of a superseding complete certificate of representation under § 97.5 16. Notwithstanding any such change, all representations, actions, inactions, and submissions by the previous alternate designated representative b efore 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*** E.O. 12866 Review

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Page 407 of 773 Season unit at the source is not included in the list of owners and operators in the certificate of representation under § 97.5 16, 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 at the source , including the addition or removal of an owner or operator, the designated representative or any alternate designated representative shall submit a revision to the certificate of representation unde r § 97.5 16 amending the list of owners and operators to reflect the change. ( d ) Changes in units at the source . Within 30 days of any change in which units are located at a TR NOX Ozone Season source (including the addition or removal of a unit), the designated representative or any alternate designated representative shall submit a certificate of representation under § 97.5 16 amending the list of units to reflect the change.*** E.O. 12866 Review

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Page 408 of 773 (1) If the change is the addition of a unit that operated (other than for purposes of testing by the manufacturer before initial installation) before being located at the source, then the certificate of representation shall identify, in a format prescribed by the Administrator, the entity from whom the unit was purchased or otherwise obtained (including name, address, telephone number, and facsimile number (if any)), the date on which the unit was purchased or otherwise obtained, and the date on which the unit became located at the source. (2) If the change is the removal of a unit, then the certificate of representation shall identify, in a format prescribed by the Administrator, the entity to which the unit was sold or that otherwise obtained the unit (including name, address, te lephone number, and facsimile number (if any)), the date on which the unit was sold or otherwise obtained, and the date on which the unit became no longer located at the source. § 97.516 Certificate of representation. (a) A complete certificate of repre sentation for a designated representative or an alternate designated representative shall include the following elements in a format prescribed by the Administrator:*** E.O. 12866 Review

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Page 409 of 773 (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, actual or projected date of commencement of commercial operation , and a statement of whether such source is loca ted in Indian Country . If a projected date of commencement of commercial operation is provided, the actual date of commencement of commercial operation shall be provided when such information becomes available. (2) The name, address, e -mail address (if an y), 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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Page 410 of 773 (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 Pr ogram 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 decision or order i ssued 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*** E.O. 12866 Review

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Page 411 of 773 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 repres entative 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 Administ rator 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 representat ion under § 97.5 16 has been submitted and received, the Administrator will rely on the certificate of representation unless and until a superseding complete certificate of representation under § 97.5 16 is received by the Administrator.*** E.O. 12866 Review

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Page 412 of 773 (b) Except as provided in paragraph (a) of this section , no objection or other communication submitted to the Administrator concerning the authorization, or any representation, action, inaction, or submission, of a designated representative or alternate designated representative shall affect any representation, action, inaction, or submission of the designated representative or alternate designated representative or the finality of any decision or order by the Administrator under the 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.*** E.O. 12866 Review

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Page 413 of 773 (b) An alternate designated representative may delegate, to one or more natural persons, his or her authority to make an electronic submission to the Administrat or provided for or required under this subpart. (c) In order to delegate authority to a natural person to make an electronic submission to the Administrator in accordance with paragraph (a) or (b) of this section, the designated representative or alternate designated representative, as appropriate, must submit to the Administrator a notice of delegation, in a format prescribed by the Administrator, that includes the following elements: (1) The name, address, e -mail address, telephone number, and facsimile t ransmission 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 in this section as an “agent”); (3) For each such natural person, a list of the type or types of electronic submissions under paragraph (a) or (b) of this section for which authority is delegated to him or her; and*** E.O. 12866 Review

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Page 414 of 773 (4) The following certification statement s 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 97.5 18(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 97.5 18(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 97.5 18 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 i dentified 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*** E.O. 12866 Review

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Page 415 of 773 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. § 97.5 19 [Reserved] § 97.520 Establishment of compliance accounts, assurance accounts, and general accounts. (a) Compliance accounts . Upon receipt of a complete certificate of representation under § 97.5 16, 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 shall be the authorized a ccount representative and the alternate authorized account representative respectively of the compliance account.*** E.O. 12866 Review

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Page 416 of 773 (b) Assurance accounts. The Administrator will establish assurance account s for certain owners and operators and States in accordance with § 9 7.525(b)(3). ( c ) General accounts . (1) Application for general account . (i) Any person may apply to open a general account, for the purpose of holding and transferring 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 respec t 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 lie u of the authorized account representative.*** E.O. 12866 Review

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Page 417 of 773 (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*** E.O. 12866 Review

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Page 418 of 773 Program on behalf of such persons and that each such person shall be fully bound by my representations, actions, inactions, or submissions and by any decision or order issued to me by the Administrator regarding the general account.” (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*** E.O. 12866 Review

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Page 419 of 773 bind each person who has an ownership interes t 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 decision or order issued to the authorized account representative or altern ate authorized account representative by the Administrator regarding the general account. (ii) Except as provided in paragraph ( c )(5) of this section concerning delegation of authority to make submissions, each submission concerning the general account sh all 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 su ch submission*** E.O. 12866 Review

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Page 420 of 773 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 wi th 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 penalt ies 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*** E.O. 12866 Review

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Page 421 of 773 the Administrator of a superseding complete application for a general account under paragraph ( c )(1) of this section. Notwithstanding any such change, all representations, actions, inactions, and submissions by the previous authorized account representative before the time and date when the Administrator receives the superseding application for a general account shall be binding on the new authorized account representative and the persons with an ownership interest with respect to the 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 ( c )(1) of this section. Notwithstanding any such change, all representations, actions, inactions, and submissions by the previous alternate authorized account representative before the time and date when the Administrator receives the superseding application for a general account shall be binding on the new alternate authorized account representative, the authorized account representative, an d 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*** E.O. 12866 Review

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Page 422 of 773 is not inc luded 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 r epresentative 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 interes t with respect to NOX Ozone Season allowances in the general account, including the addition or removal of a person, the authorized account representative or any alternate authorized account representative shall submit a revision to the application for a general account amending the list of persons having an ownership interest with respect to the 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 ( c )(1) of this section has been submitted and received, the Administrator will rely on the application unless and until a superseding complete application for a general account under*** E.O. 12866 Review

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Page 423 of 773 paragraph (b)(1) of this section is received by the Administrator. (ii) Except as provided in paragraph ( c )( 4 ) (i) of this section, no objection or other communication submitted to the Administrator concerning the authorization, or any representation, action, inaction, or submission of the authorized account representative or any alternate authorized account representative of a general account shall affect any representation, action, inaction, or submission of the authorized account rep resentative 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*** E.O. 12866 Review

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Page 424 of 773 account representative of a general account may delegate, to one or more natural persons, his or her author ity 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 el ectronic submission to the Administrator provided for or required under this subpart. (iii) In order to delegate authority to a natural person to make an electronic submission to the Administrator in accordance with paragraph ( c )(5)(i) or (ii) of this sect ion, 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 n ame, 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 tran smission number (if any) of each such natural person (referred to in this section as an “agent”);*** E.O. 12866 Review

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Page 425 of 773 (C) For each such natural person, a list of the type or types of electronic submissions under paragraph ( c )(5)(i) or (ii) of this section for which authority is delegated to him or her; (D) The following certification statement by such authorized account representative or alternate authorized account representative: “I agree that any electronic submission to the Administrator that is made by an agent identifie d 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 97.5 20( c )(5)(iv) shall be deemed to be an electronic submission by me.”; and (E) The following certification statement by such authorized account representative or alternate authorized account represe ntative: “Until this notice of delegation is superseded by another notice of delegation under 40 CFR 97.5 20( c )(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 delegatio n of authority by me under 40 CFR 97.5 20( c )(5) is terminated.”.*** E.O. 12866 Review

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Page 426 of 773 (iv) A notice of delegation submitted under paragraph ( c )(5)(iii) of this section shall be effective, with regard to the authorized account representative or alternate authorized account representative identified in such notice, upon receipt of such notice by the Administrator and until receipt by the Administr ator 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 agen t, or eliminate entirely any delegation of authority. (v) Any electronic submission covered by the certification in paragraph ( c )(5)(iii)(D) of this section and made in accordance with a notice of delegation effective under paragraph ( c )(5)(iv) of this sec tion shall be deemed to be an electronic submission by the designated representative or alternate designated representative submitting such notice of delegation. (6) Closing a general account. (i) The authorized account representative or alternate authoriz ed 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 § 97.5 22 for any TR NOX Ozone Season allowances in the account to one or more other Allowance Management System accounts.*** E.O. 12866 Review

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Page 427 of 773 (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 30 days after the notice is sent. The account will be closed after the 30 - day period unless, before the end of the 30 - day period, the Administrator receives a correctly submitted TR NOX Ozone Season allowance transfer under § 97.5 22 to the account or a statement submitted by the authorized account representative or alternate authorized account representative demonstrating to the satisfact ion of the Administrator good cause as to why the account should not be closed. ( d ) Account identification . The Administrator will assign a unique identifying number to each account established under paragraph (a) , (b) , or (c) of this section. ( e ) Responsibilities of authorized account representative and alternate authorized account representative . After the establishment of a compliance account or general account , the Administrator will accept or act on a submission pertaining to the account, incl uding, 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,*** E.O. 12866 Review

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Page 428 of 773 signed, and certified in accordance with §§ 97.5 14(a) and 97.5 18 or paragraphs ( c )(2)(ii) and ( c )(5) of this section. § 97.521 Recordation of TR NOX Ozone Season allowance allocations and auction results. (a) By [INSERT DATE 90 DAYS FROM DATE OF PUBLICATION IN THE FEDERAL REGISTER] , the Administrator will record in each TR NOX Ozone Season sourc e's compliance account the TR NOX Ozone Season allowances allocated to the TR NOX Ozone Season units at the source in accordance with § 97.5 11(a) for the control period in 2012 . ( b ) By [INSERT DATE 90 DAYS FROM DATE OF PUBLICATION IN THE FEDERAL REGISTER] , the Administrator will record in each TR NOX Ozone Season source's compliance account the TR NOX Ozone Season allowances allocated to the TR NOX Ozone Season units at the source in accordance with § 97.5 11(a) for the control period in 2013, unless the State in which the source is located notifies the Administrator in writing by [INSERT DATE 70 DAYS FROM DATE OF PUBLICATION IN THE FEDERAL REGISTER] of the State’s intent to submit to the Administrator a complete SIP revision by April 1, 2012 meeting the requirements of § 52.38(b)(3)(i) through (iv) of this chapter .*** E.O. 12866 Review

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Page 429 of 773 (1) If, by April 1, 2012, the State does not submit to the Administrator such complete SIP revision, the Administrator will record by April 15, 2012 in each TR NOX Ozone Season source's compliance account the TR NOX Ozone Season allowances allocated to the TR NOX Ozone Season units at the source in accordance with § 97.5 11(a) for the control period in 2013. (2) If the State submits to the Administrator by April 1, 2012, and the Administrator approves by October 1, 2012, such complete SIP revision, the Administrator will record by October 1, 2012 in each TR NOX Ozone Season source's compliance account the TR NOX Ozone Season allowances allocated to the TR NOX Ozone Season units at the source as provided in such approved, complete SIP revision for the control period in 2013. (3) If the State submits to the Administrator by April 1, 2012, and the Administrator does not approve by October 1, 2012, such complete SIP revision, the Administrator will record by October 1, 2012 in each TR NOX Ozone Season source's compliance account the TR NOX Ozone Season allowances allocated to the TR NOX Ozone Season units at the source in accordance with § 97.5 11(a) for the contro l period in 2013. ( c ) By July 1, 201 3, the Administrator will record in each TR NOX Ozone Season source's compliance account the TR NOX Ozone Season*** E.O. 12866 Review

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Page 430 of 773 allowances allocated to the TR NOX Ozone Season units at the source , or in each appropriate Allowance Management System account the TR NOX Ozone Season allowances auctioned to TR NOX Ozone Season units , in accordance with § 97.5 11(a) , or with a SIP revision approved under § 52.38(b)(4) or (5) of this chapter, for the contro l period in 2014 and 2015. ( d ) By July 1, 201 4 , the Administrator will record in each TR NOX Ozone Season source's compliance account the TR NOX Ozone Season allowances allocated to the TR NOX Ozone Season units at the source , or in each appropriate Allowance Management System account the TR NOX Ozone Season allowances auctioned to TR NOX Ozone Season units , in accordance with § 97.5 11(a) , or with a SIP revision approved under § 52.38(b)(4) or (5) of this chapter, for the control period in 2016 and 2017. ( e ) By July 1, 201 5 , the Administrator will record in each TR NOX Ozone Season source's compliance account the TR NOX Ozone Season allowances allocated to the TR NOX Ozone Season units at the source , or in each appropriate Allowance Management System account the TR NOX Ozone Season allowances auctioned to TR NOX Ozone Season units , in accordance with § 97.5 11(a) , or with a SIP revision approved under § 52.38(b)(4) or (5) of this chapter, for the control period in 2018 and 2019.*** E.O. 12866 Review

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Page 431 of 773 ( f ) By July 1, 201 6 and July 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 to the TR NOX Ozone Season units at the source , or in each appropriate Allowance Management System account the TR NOX Ozone Season allowances auctioned to TR NOX Ozone Season units , in accordance with § 97.5 11(a) , or with a SIP revision approved under § 52.38(b)(4) or (5) of this chapter, for the contro l period in the fourth year after the year of the applicable recordation deadline under this paragraph. ( g ) By August 1, 2012 and August 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 to the TR NOX Ozone Season units at the source , or in each appropriate Allowance Management System account the TR NOX Ozone Season allowances auctioned to TR NOX Ozone Season units , in accordance with § 97.5 12 (a)(2) through (8) and (12), or with a SIP revision approved under § 52.38(b)(4) or (5) of this chapter, for the control period in the year of the applicable recordation deadline under this paragraph. ( h ) By August 1, 2012 and August 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*** E.O. 12866 Review

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Page 432 of 773 to the TR NOX Ozone Season units at the source in accordance with § 97.5 12 (b)(2) through (8) and (12) for the control period in the year of the applicable recordation deadline under this paragraph. (i) By November 15 , 201 2 and November 15 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 to the TR NOX Ozone Season units at the source in accordance with §97. 5 12 (a)(9) through (12), for the control period in the year of the applicable recordation deadline under this paragraph. (j) By the date on which any allocation or auction results , other than an allocation or auction results described in paragraphs (a) through (i) of this section, of TR NOX Ozone Season allowances to a recipient is made by or are submitted to the Administrator in accordance with § 97.511 or § 9 7.512 or with a SIP revision approved under § 52.38(b)(4) or (5) of this chapter, the Administrator will record such allocation or auction results in the appropriate Allowance Management System account. ( k ) When recording the allocation or auction of TR NOX Ozone Season allowances to a TR NOX Ozone Season unit or other entity*** E.O. 12866 Review

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Page 433 of 773 in an Allowance Management System 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 or auctioned . § 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 au thorized account representative of the transferor account and the date signed; and*** E.O. 12866 Review

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Page 434 of 773 (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 that is correctly submitted under § 97.5 22, the Administ rator 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 in the transfer . (b) A TR NOX Ozone Season allowance transfer to or from a complian ce account 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 from such compliance account under § 97.5 24 for the control period immediately before such allowance transfer deadline.*** E.O. 12866 Review

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Page 435 of 773 (c) Where a TR NOX Ozone Season allowance transfer is not correctly submitted under § 97 .5 22, 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 o f 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 § 97.5 22, the Administrator will notify the authorized account representatives of both accounts subject to the transfer of: (1) A decision not to record the transfer, and (2) The reasons for such non - recordation. § 97.524 Compliance with TR NOX Ozone Season emissions limitation. (a) Availability for deduction for compliance . TR NOX Ozone S eason 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:*** E.O. 12866 Review

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Page 436 of 773 (1) Were allocated for such control period or a control period in a prior year; and (2) Are held in the source’s compliance account as of the allowance transfer deadline for such control period. (b) Deductions for compliance . After the recordation, in accordance with § 97.5 23, of TR NOX Ozone Se ason allowance transfers submitted by the allowance transfer deadline for a control period in a given year , the Administrator will deduct from each source’s compliance account 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 equal s 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*** E.O. 12866 Review

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Page 437 of 773 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 a given year in accordance with paragraph (b) or (d) of this sect ion. 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 an d 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 accounting basis in the following order: (i) Any TR NOX Ozone Se ason 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*** E.O. 12866 Review

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Page 438 of 773 (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 S eason source has excess emissions, the Administrator will deduct from the source's compliance account an amount of TR NOX Ozone Season allowances, allocated for a control period in a prior year or the control period in the year of the excess emissions or i n 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 the owners and operators of a group of one or more TR NOX Ozone Season sources and units in a State (and Indian country*** E.O. 12866 Review

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Page 439 of 773 within the borders of such State) only if the TR NOX Ozone Season allowanc es: (1) Were allocated for a control period in a prior year or the control period in the given year or in the immediately following year ; and (2) Are held in the assurance account, established by the Administrator for such owners and operators of such group of TR NOX Ozone Season sources and units in such State (and Indian country within the borders of such State) under paragraph (b) (3) of this section, as of the deadline established in paragraph (b)( 4 ) of this section. (b) Deductions for compliance . The Administrator will deduct 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 pr ocedures: (1) By June 1, 201 3 and June 1 of each year thereafter, the Administrator will: (i) Calculate, for each State (and Indian country within the borders of such State) , the total NOX emissions from all TR NOX Ozone Season units at TR NOX Ozone Season sources in the State*** E.O. 12866 Review

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Page 440 of 773 (and Indian country within the borders of such State) during the control period in the year before the year of this calculation deadline and the amount, if any, by which such total NOX emissions exceed the State assurance level as described in § 97.5 06(c)(2)(iii); and (ii) Promulgate a notice of data availability of the results of the calculations required in paragraph (b)(1)(i) of this section, including separate calculations of the NOX emissions from each TR NOX Ozone Season source . ( 2 ) For each notice of data availability required in paragraph (b)( 1 )(ii) of this section and for any State (and Indian country within the borders of such State) identified in such notice as having TR NOX Ozone Season units with total NOX emissions exceeding the State assurance level for a control period in a given year , as described in § 97.5 06(c)(2)(iii): (i) By July 1 immediately after the promulgation of such notice, the designated representative of each TR NOX Ozone Season source in each such State (and Indian country within the borders of such State) shall submit a statement, in a format prescribed by the Administrator , providing for each TR NOX Ozone Season unit (if any) at the source that operates dur ing, but is not allocated an amount of TR NOX Ozone Season allowances for, such*** E.O. 12866 Review

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Page 441 of 77 3 control period, the unit’s allowable NOX emission rate for such control period and, if such rate is expressed in lb per mmBtu, the unit’s heat rate . (ii) By August 1 immediat ely after the promulgation of such notice, the Administrator will calculate, for each such State (and Indian country within the borders of such State) and such control period and each common designated representative for such control period for a group of one or more TR NOX Ozone Season sources and units in the State (and Indian country within the borders of such State) , the common designated representative’s share of the total NOX emissions from all TR NOX Ozone Season units at TR NOX Ozone Season sources in the State (and Indian country within the borders of such State) , the common designated representative’s assurance level, and the amount (if any) of TR NOX Ozone Season allowances that the owners and operators of such group of sources and units must hold in accordance with the calculation formula in § 97.5 06(c)(2)(i) and will promulgate a notice of data availability of the results of these calculations. (iii) The Administrator will provide an opportunity for submission of objections to the calculation s referenced by the notice of data availability required in paragraph (b)( 2 )(ii) of this section and the calculations referenced by the relevant*** E.O. 12866 Review

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Page 442 of 773 notice of data availability required in paragraph (b)(1)(i) of this section . (A) Objections shall be submitte d by the deadline specified in such notice and shall be limited to addressing whether the calculations referenced in the relevant notice required under paragraph (b)(1)(ii) of this section and referenced in the notice required under paragraph (b)(2)(ii) of this section are in accordance with § 97.5 06(c)(2)(iii) , §§ 97.5 06(b) and 97.5 30 through 97.5 35 , the definitions of “common designated representative”, “ common designated representative’s as surance level”, and “ common designated representative’s share” in § 97.5 02, and the calculation formula in § 97.5 06(c)(2)(i). (B) The Administrator will adjust the calculations to the extent necessary to ensure that they are in accordance with the provisions referenced in paragraph (b)( 2 )(iii)(A) of this section. By October 1 immediately after the promulgation of such notice, the Administrator will promulgate a notice of data 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 )(iii)(A) of this section.*** E.O. 12866 Review

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Page 443 of 773 (3) For any State (and Indian country within the borders of such State) referenced in each notice of data availability required in paragraph (b)( 2 )(ii i ) (B) of this section as having TR NOX Ozone Season units with total NOX emissions exceeding the State assurance level for a control period in a given year, the Administrator will establish one assurance account for each set of owners and operators referenced , in the notice of data availability required under paragraph (b)(2)(iii)(B) of this section, as all of the owners and operators of a group of TR NOX Ozone Season sources and units in the State (and Indian country within the border s of such State) having a common designated representative for such control period and as being required to hold TR NOX Ozone Season allowances . ( 4 )(i) As of midnight of November 1 immediately after the promulgation of each notice of data availability required in paragraph (b)( 2 )(iii)(B) of this section, the owners and operators described in paragraph (b)( 3) of this section shall hold in the assurance account established for the them and for the appropriate TR NOX Ozone Season sources, TR NOX Ozone Season units, and State (and Indian country within the borders of such State) under paragraph (b)( 3) of this section a total amount of TR NOX Ozone Season allowances, available for deducti on under paragraph (a) of this section, equal to the amount such owners*** E.O. 12866 Review

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Page 444 of 773 and operators are required to hold with regard to such sources, units and State (and Indian country within the borders of such State) as calculated by the Administrator and referenced in such notice. (ii) Notwithstanding the allowance - holding deadline specified in paragraph (b)( 4 )(i) of this section, if November 1 is not a business day, then such allowance - holding deadline shall be midnight of the first business day thereafter. ( 5 ) After November 1 (or the date described in paragraph (b)( 4) (ii) of this section) immediately after the promulgation of each notice of data availability required in paragraph (b)( 2 )(iii)(B) of this section and after the recordation, in accordance with § 97 .5 23, of TR NOX Ozone Season allowance transfers submitted by midnight of such date, the Administrator will determine whether the owners and operators described in paragraph (b)(3) of this section hold, in the assurance account for the appropriate TR NOX O zone Season sources, TR NOX Ozone Season units, and State (and Indian country within the borders of such State) established under paragraph (b)( 3) of this section, the amount of TR NOX Ozone Season allowances available under paragraph (a) of this section that the owners and operators are required to hold with regard to such sources, units, and State (and Indian country within the borders of such*** E.O. 12866 Review

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Page 445 of 773 State) as calculated by the Administrator and referenced in the notice required in paragraph (b)( 2 )(iii)(B) of th is section. ( 6 ) Notwithstanding any other provision of this subpart and any revision, made by or submitted to the Administrator after the promulgation of the notice of data availability required in paragraph (b)( 2 )(iii)(B) of this section for a control per iod in a given year , of any data used in making the calculations referenced in such notice, the amount s of TR NOX Ozone Season allowances that the owners and operators are required to hold in accordance with § 97.5 06(c)(2)(i) for such control period shall c ontinue to be such amount s as calculated by the Administrator and referenced in such notice required in paragraph (b)( 2 )(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 settl ement 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 and operators are required to hold in accordance with the calculation formula in § 97.5 06(c)(2)(i) for such control period with regard to the TR NOX Ozone Season*** E.O. 12866 Review

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Page 446 of 773 sources, TR NOX Ozone Season units, and State (and Indian country within the borders of such State) involved, provided that such litigation under part 78 of this chapter, or the proceeding under part 78 of this chapter that resulted in the decision appealed in such litigation under section 307 of the Clean Air Act, was initiated no later than 30 days after promulgation of such notice required in paragraph (b)(2) (iii)(B) of this section . (ii) If any such data are revised by the owners and operators of a TR NOX Ozone Season source and TR NOX Ozone Season unit whose designated representative submitted such data under paragraph (b)( 2 )(i) of this section, as a result of a decision in or settlement of litigation concerning such submission, then the Administ rator will use the data as so revised to recalculate the amounts of TR NOX Ozone Season allowances that owners and operators are required to hold in accordance with the calculation formula in § 97.5 06(c)(2)(i) for such control period with regard to the TR NOX Ozone Season sources, TR NOX Ozone Season units, and State (and Indian country within the borders of such State) involved, provided that such litigation was initiated no later than 30 days after promulgation of such notice required in paragraph (b)( 2 )(iii)(B) of this section.*** E.O. 12866 Review

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Page 447 of 773 (iii) If the revised data are used to recalculate, in accordance with paragraphs (b)( 6 )(i) and (ii) of this section, the amount of TR NOX Ozone Season allowances that the owners and operators are required to hold for such control period with regard to the TR NOX Ozone Season sources, TR NOX Ozone Season units, and State (and Indian country within the borders of such State) involved

— (A) Where the amount of TR NOX Ozone Season allowances that the owners and operators are required to hold increases as a result of the use of all such revised data, the Administrator will establish a new, reasonable deadline on which the owner s and operators shall hold the additional amount of TR NOX Ozone Season allowances in the assurance account est ablished by the Administrator for the appropriate TR NOX Ozone Season sources, TR NOX Ozone Season units, and State (and Indian country within the borders of such State) under paragraph ( b)( 3) of this section. The owner s’ and operators ’ failure to hold su ch additional amount, as required, before the new deadline shall not be a violation of the Clean Air Act. The owner s ’ and operators’ failure to hold such additional amount, as required, as of the new deadline shall be a violation of the Clean Air Act. Each TR NOX Ozone Season allowance that the owner s and operators fail to hold as required as of the new deadline, and each day in such*** E.O. 12866 Review

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Page 448 of 773 control period, shall be a separate violation of the Clean Air Act. (B) For the owners and operators 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
w ill record, in all accounts from which TR NOX Ozone Season allowances were transferred by such owners and operators for such control period to the assurance account established by the Administrator for the appropriate at TR NOX Ozone Season sources, TR NOX Ozone Season units, and State (and Indian country within the borders of such State) under paragraph (b) (3) of this section, a total amount of the TR NOX Ozone Season allowances held in such assurance account equal to the amount of the decrease. If TR NOX Ozone Season allowances were transferred to such assurance account from more than one account, the amount of TR NOX Ozone Season allowances recorded in each such transferor account will be in proportion to the percentage of the total amount of TR NOX Ozone Season allowances transferred to such assurance account for such control period from such transferor account. (C) Each TR NOX Ozone Season allowance held under paragraph (b)( 6 )(iii)(A) of this section as a result of recalculation of requirements un der the TR NOX Ozone Season assurance provisions*** E.O. 12866 Review

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Page 449 of 773 for such control period must be a TR NOX Ozone Season allowance allocated for a control period in a year before or the year immediately following, or in the same year as, the year of such control period . § 97.526 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 compli ance account or a general account will remain in such account unless and until the TR NOX Ozone Season allowance is deducted or transferred under § 97.5 11(c), § 97.5 23, § 97.5 24, § 97.5 25, 97.5 27, or 97.5 28. § 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.*** E.O. 12866 Review

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Page 450 of 773 (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 compliance account or an assurance account, based on the information in a submission, as adjusted under paragraph (a)(1) of this section, and record such deductions and transfers. § 97.5 29 [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 re fer to the terms “TR NOX Ozone Season unit,“ “designated representative,” and “continuous*** E.O. 12866 Review

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Page 451 of 773 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 Se ason 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, CO 2 or O 2 concentration, and fuel flow rate, as applicable, in accordance with §§75.71 and 75.72 of this chapter); (2) Successfully complete all certification tests required under §97.531 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 se ction; and*** E.O. 12866 Review

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Page 452 of 773 (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 and shall record, report, and quality- assure the data from the monitoring systems under paragraph (a)(1) of th is 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, May 1, 2012. (2) For the owner or operator of a TR NOX Ozone Season unit that commences c ommercial operation on or after July 1, 2011 and that reports on an annual basis under §97.534(d), by the later of the following : (i) 180 calendar days after the date on which the unit commences commercial operation; or (ii) May 1, 2012.*** E.O. 12866 Review

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Page 453 of 773 (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 following date: (i) 180 calendar days after the date on which the un it 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) 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) , (2) , or (3) of this section shall meet the requirements of §§75. 4(e)(1) through (e)(4) of this chapter, except that: (i) Such requirements shall apply to the monitoring systems required under § 97.530 through § 97.535, rather than the monitoring systems required under part 75 of this chapter;*** E.O. 12866 Review

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Page 454 of 773 (ii) NOX emission rate, NOX concentration, stack gas moisture content, stack gas volumetric flow rate, and O 2 or CO 2 concentration data shall be determined and reported, rather than the data listed in §75. 4(e)(2) of this chapter; and (iii) Any petition for another procedure under §75. 4(e)(2) of this chapter shall be submitted under § 97.535, rather than §75 .66. (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 NO X concentra tion, 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 an y other alternative to any*** E.O. 12866 Review

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Page 455 of 773 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 to the atmosphere without accounting for all such NOX 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 discharged into the atmosphere or heat input, e xcept 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 S eason 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:*** E.O. 12866 Review

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Page 456 of 773 (i) During the per iod 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 dat e 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 applicab le provisions of §75.4(d) of this chapter concerning units in long - term cold storage. § 97.531 Initial monitoring system certification and recertification procedures .*** E.O. 12866 Review

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Page 457 of 773 (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 pr ovisions of this section shall apply to a monitoring system under §97.530(a)(1) that is exempt from initial certification requirements under paragraph (a) of this section. (c) If the Administrator has previously approved a petition under §75.17(a) or (b) of this chapter for apportioning the 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*** E.O. 12866 Review

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Page 458 of 773 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 han dling 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*** E.O. 12866 Review

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Page 459 of 773 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 §97.530(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 quality- assuran ce 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 ma kes 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 exis ting continuous emission monitoring system, or change in location or orientation of the sampling probe or site. Any fuel flowmeter*** E.O. 12866 Review

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Page 460 of 773 system , 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*** E.O. 12866 Review

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Page 461 of 773 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 provisiona lly 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 wri tten notice of approval or disapproval of the certification application to the owner or*** E.O. 12866 Review

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Page 462 of 773 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 T rading 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 approva l 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 iss ue a notice of disapproval under paragraph (d)(3)(iv)(C) of this section.*** E.O. 12866 Review

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Page 463 of 773 (C) Disapproval notice. If the certi fication 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:*** E.O. 12866 Review

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Page 464 of 773 (A) The owner or operator shall substitute the following values, for each disapproved monitoring system, for each hour of unit operation du ring 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 CO 2 concentration or the minimum potential O 2 concentration (as applicable), as defined in sections 2.1.5, 2.1.3.1, and 2.1.3.2 of appendix A to part 75 of this chapter.*** E.O. 12866 Review

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Page 465 of 773 (4) For a disapproved fuel flowmeter system, the maximum potential fuel flow rate, as defined in section 2.4.2.1 of appendix D to part 75 of this chapter. (5) For a disapproved excepted NOX monitoring system under appendix E to part 75 of this chapter, the fuel - specific maximum potenti al 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*** E.O. 12866 Review

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Page 466 of 773 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 applicati on 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*** E.O. 12866 Review

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Page 467 of 773 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 s uch monitoring system. For the purposes of this paragraph, an audit shall be either a field audit or an audit of any information submitted to the Administrator or any State or permitting authority. By issuing the notice of disapproval, the Administrator revokes prospectively the certification status of the monitoring system. The data measured and recorded by the monitoring system shall not be considered valid quality- assured data from the date of issuance of the notification of the revoked certification sta tus 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 proc edures 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.*** E.O. 12866 Review

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Page 468 of 773 § 97.534 Recordkeeping and reporting. (a) General provisions . The designated representative shall comply with all recordkeeping and reporting requirements in paragraphs (b) through (e) of this section, the applicable recordkeeping and reporting requirements under §75.73 of this chapter, and the requirements of §97.514(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) Quar terly 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 r eport on an annual basis under this subpart, the designated representative shall meet the*** E.O. 12866 Review

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Page 469 of 773 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 emi ssions 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 qu arter covering May 1, 2012 through June 30, 2012; or (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 in itial 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 Seaso n 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*** E.O. 12866 Review

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Page 470 of 773 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; or (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 .*** E.O. 12866 Review

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Page 471 of 773 (3) The designated representative shall submit each quarterly report to the Administrator within 30 days after the end of the c alendar quarter covered by the report. Quarterly reports shall be submitted in the manner specified in §75.73(f) of this chapter.
(4) For TR NOX Ozone Season units that are also subject to the Acid Rain Program, TR NOX Annual Trading Program, TR SO 2 Group 1 Trading Program, or TR SO 2 Group 2 Trading Program, quarterly reports shall include the applicable data and information required by subparts F through H of part 75 of this chapter as applicable, in addition to the NOX mass emission data, heat input dat a, and other information required by this subpart.

( 5 ) The Administrator may review and conduct independent audits of any quarterly report in order to determine whether the quarterly report meets the requirements of this subpart and part 75 of this chapte r, 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*** E.O. 12866 Review

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Page 472 of 773 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 specif y 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. ( 6 ) Any resubmission of a quarterly report shall meet the requirements applicable to the submission of a quarterly report under this subpart and part 75 of this chapter, except for the deadline set forth in paragraph (d)( 3 ) of this se ction. (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*** E.O. 12866 Review

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Page 473 of 773 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 subpar t 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 emi ssion 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.*** E.O. 12866 Review

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Page 474 of 773 § 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 unde r §75.66 of this chapter to the Administrator, requesting approval to apply an alternative to any requirement of §§97.530 through 97.534. (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 des cription 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*** E.O. 12866 Review

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Page 475 of 773 (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. 76. Part 97 is amended by adding subpart CCCCC to read as follows: Subpart CCCCC—TR SO2 Group 1 Trading Program 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.*** E.O. 12866 Review

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Page 476 of 773 97.6 09 [Reserved] 97.610 State SO 2 Group 1 trading budgets, new unit set asides, Indian country new unit set - asides and variability limits. 97.611 Timing requirements fo r TR SO 2 Group 1 allowance allocations. 97.612 TR SO 2 Group 1 allowance allocations to 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 alt ernate designated representative. 97.618 Delegation by designated representative and alternate designated representative. 97.6 19 [Reserved]*** E.O. 12866 Review

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Page 477 of 773 97.620 Establishment of compliance accounts and general accounts. 97.621 Recordation of TR SO 2 Group 1 allowanc e allocations. 97.622 Submission of TR SO 2 Group 1 allowance transfers. 97.623 Recordation of TR SO 2 Group 1 allowance transfers. 97.624 Compliance with TR SO 2 Group 1 emissions limitation. 97.625 Compliance with TR SO 2 Group 1 assurance provisions. 97.626 Banking. 97.627 Account error. 97.628 Administrator’s action on submissions. 97.6 29 [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.*** E.O. 12866 Review

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Page 478 of 773 97.635 Petitions for alternatives to monitoring, recordkeeping, or reporting requirements. 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) SO 2 Group 1 Trading Program, under section 110 of the Clean Air Act and § 52.39 of this chapter, as a means of mitigating interstate transport of fine particulates and sulfur dioxide . § 97.602 Definitions. The terms used in this subpart shall have the meanings set forth in this section as follows: Acid Rain Program mean s a multi - state SO 2 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 Enviro nmental Protection Agency or the Director of the Clean Air Markets Division (or its successor determined by the Administrator ) of the United States Environmental Protection*** E.O. 12866 Review

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Page 479 of 773 Agency, the Administrator's duly authorized representative under this subpart. Allo cate or allocation means, with regard to TR SO 2 Group 1 allowances, the determination by the Administrator , State, or permitting authority , in accordance with this subpart and any SIP revision submitted by the State and approved by the Administrator under § 52.39 ( d) (e), or (f) of this chapter, of the amount of such TR SO 2 Group 1 allowances to be initially credited, at no cost to the recipient, to: (1) A TR SO 2 Group 1 unit; (2) A new unit set - aside; (3) An Indian country new unit set - aside; or (4) An entit y not listed in paragraphs (1) through (3) of this definition; (5) Provided that, if the Administrator , State, or permitting authority initially credits, to a TR SO 2 Group 1 unit qualifying for an initial credit, a credit in the amount of zero TR SO 2 Group 1 allowances, the TR SO 2 Group 1 unit will be treated as being allocated an amount (i.e., zero) of TR SO 2 Group 1 allowances.*** E.O. 12866 Review

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Page 480 of 773 Allowable SO 2 emission rate means, for a unit, the most stringent State or federal SO 2 emission rate limit (in lb/MWhr or, if in lb/mmBtu, converted to lb/MWhr by multiplying it by the unit’s heat rate in mmBtu/MWhr) 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 SO 2 Group 1 allowances under the TR SO 2 Group 1 Trading Program. Such allowances are allocated, recorded, held, deducted, or transferred only as whole allowan ces. 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 SO 2 Group 1 allowances. Allowance transfer deadl ine means, for a control period in a given year, 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 SO 2 Group 1 allowance transfer must be submitted for recordation in a TR SO 2 Group 1 source's compliance account in order to be available for use in complying with the*** E.O. 12866 Review

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Page 481 of 773 source's TR SO 2 Group 1 emissions limitation for such control period in accordance with §§ 97.6 06 and 97.6 24. Alternate designated representative means, for a TR SO 2 Group 1 source and each TR SO 2 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 SO 2 Group 1 Trading Program. If the TR SO 2 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 alternate designated repre sentative, as defined in the respective program.
Assurance account means an Allowance Management System account, established by the Administrator under § 97.6 25(b)(3) for certain owners and operators of a group of one or more TR SO 2 Group 1 sources and un its in a given State (and Indian country within the borders of such State) , in which are held TR SO 2 Group 1 allowances available for use for a control period in a given year in complying with the TR SO 2 Group 1 assurance provisions in accordance with §§ 97 .6 06 and 97.6 25.*** E.O. 12866 Review

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Page 482 of 773 Authorized account representative means, for a general account, the natural person who is authorized, in accordance with this subpart, to transfer and otherwise dispose of TR SO 2 Group 1 allowances held in the general account and, for a TR SO 2 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, di luent 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*** E.O. 12866 Review

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Page 483 of 773 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 hea t 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 en ergy application or process is then used for electricity production. Business day means a day that does not fall on a weekend or a federal holiday. Certifying official means a natural person who is:*** E.O. 12866 Review

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Page 484 of 773 (1) For a corporation, a president, secretary, treasurer, or vice -president o f 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 propr ietor respectively; or (3) For a local government entity or State, federal, or other public agency, a principal executive officer or ranking elected official. Clean Air Act means the Clean Air Act, 42 U.S.C. 7401, et seq. Coal means “coal” as defined in § 72.2 of this chapter. Coal - derived fuel means any fuel (whether in a solid, liquid, or gaseous state) produced by the mechanical, thermal, or chemical processing of coal. 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.*** E.O. 12866 Review

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Page 485 of 773 Cogeneration unit means a stationary, fossil - fuel - fired boiler or stationary, fossil - fuel - fired combustion turbine that is a topping - cycle unit or a bottoming - cycle unit: (1) Operating as part of a cogeneration system; and (2) Pr oducing on an annual average basis

— (i) For a topping - cycle unit, (A) Useful thermal energy not less than 5 percent of total energy output; and (B) Useful power that, when added to one - half of useful thermal energy produced, is not less than 42.5 percent of total energy input, if useful thermal energy produced is 15 percent or more of total energy output, or not less than 45 percent of total energy input, if useful thermal energy produced is less than 15 percent of total energy output. (ii) For a bottoming - cycle unit, useful power not less than 45 percent of total energy input; (3) Provided that the requirements in paragraph (2) of this definition shall not apply to a calendar year referenced in paragraph (2) of this definition during which the unit did not operate at all;*** E.O. 12866 Review

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Page 486 of 773 (4) Provided that the total energy input under paragraphs (2)(i)(B) and (2)(ii) of this definition shall equal the unit's total energy input from all fuel, except biomass if the unit is a boiler; and (5) Provided that, if, throughout its operation during the 12 - month period or a calendar year referenced in paragraph (2) of this definition, a unit is operated as part of a cogenerati on system and the cogeneration system meets on a system-wide basis the requirement in paragraph (2)(i)(B) or (2)(ii) of this definition, the unit shall be deemed to meet such requirement during that 12 -month period or calendar year. Combustion turbine means an enclosed device comprising: (1) If the device is simple cycle, a compressor, a combustor, and a turbine and in which the flue gas resulting from the combustion of fuel in the combustor passes through the turbine, rotating the turbine; and (2) If the device is combined cycle, the equipment described in paragraph (1) of this definition and any associated duct burner, heat recovery steam generator, and steam turbine. Commence commercial operation means, with regard to a unit:*** E.O. 12866 Review

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Page 487 of 773 (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 § 97.6 05. (i) For a unit that is a TR SO 2 Group 1 unit under § 97.6 04 on the later of January 1, 2005 or the date the unit commences commercial operation as defined in the introductory text of paragraph (1) of this definition and that subsequently undergoes a physical change or is moved to a new location or source, such date shall remain the date of commencement of commercial oper ation of the unit, which shall continue to be treated as the same unit. (ii) For a unit that is a TR SO 2 Group 1 unit under § 97.6 04 on the later of January 1, 2005 or the date the unit commences commercial operation as defined in the introductory text of p aragraph (1) of this definition and that is subsequently replaced by a unit at the same or a different source, such date shall remain the replaced unit's date of commencement of commercial operation, and the replacement unit shall be treated as a separate unit with a separate date for commencement of commercial operation as defined in paragraph (1) or (2) of this definition as appropriate.*** E.O. 12866 Review

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Page 488 of 773 (2) Notwithstanding paragraph (1) of this definition and except as provided in § 97.6 05, for a unit that is not a TR SO 2 Group 1 unit under § 97.6 04 on the later of January 1, 2005 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 SO 2 Group 1 unit under § 97.6 04. (i) For a unit with a date for commencement of commercial operation as defined in the introductory text of paragraph (2) of this definition and that subsequently undergoes a physical change or is moved to a different location or source, such date shall remain the date of commencement of commercial operation of the unit, which shall continue to be treated as the same unit. (ii) For a unit with a date for commencement of commercial operation as de fined in the introductory text of paragraph (2) of this definition and that is subsequently replaced by a unit at the same or a different source, such date shall remain the replaced unit's date of commencement of commercial operation, and the replacement unit shall be treated as a separate unit with a separate date for commencement of commercial operation as defined in paragraph (1) or (2) of this definition as appropriate.*** E.O. 12866 Review

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Page 489 of 773 Common designated representative means , with regard to a control period in a given year, a designated representative where , as of April 1 immediately after the allowance transfer deadline for such control period, the same natural person is authorized under §§ 97.6 13(a) and 97.6 15(a) as the designated representative for a group of one or mo re TR SO 2 Group 1 sources and units located in a State (and Indian country within the borders of such State) . Common designated representative’s assurance level means, with regard to a specific common designated representative and a State (and Indian country within the borders of such State) and control period in a given year for which the State assurance level is exceeded as described in § 97.6 06(c)(2)(iii), the common designated representative’s share of the State SO 2 Group 1 trading budge t with the variability limit for the State for such control period. Common designated representative’s share means, with regard to a specific common designated representative for a control period in a given year : (1) With regard to a total amount of SO 2 emissions from all TR SO 2 Group 1 units in a State (and Indian country within the borders of such State) during such control period, the total tonnage of SO 2 emissions during such control period from a group*** E.O. 12866 Review

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Page 490 of 773 of one or more TR SO 2 Group 1 units located in s uch State (and such Indian country) and having the common designated representative for such control period; (2) With regard to a State SO 2 Group 1 trading budget for such control period, the amount (rounded to the nearest allowance) equal to the sum of the total amount of TR SO 2 Group 1 allowances allocated for such control period to a group of one or more TR SO 2 Group 1 units located in the State (and Indian country within the borders of such State) and having the common designated representative for such control period and of the total amount of TR SO 2 Group 1 allowances purchased by an owner or operator of such TR SO 2 Group 1 units in an auction for such control period and submitted by the State or the permitting authority to the Administrator for recordation in the compliance accounts for such TR SO 2 Group 1 units in accordance with the TR SO 2 Group 1 allowance auction provisions in a SIP revision approved by the Administrator under § 52.39(e) or (f) of this chapter, multiplied by the sum of the State SO 2 Group 1 trading budget under § 97.6 10(a) and the State’s variability limit under § 97.6 10(b) for such control period and divided by such State SO 2 Group 1 trading budget; (3) Provided that, in the case of a unit that operates during , but has no amount of TR SO 2 Group 1 allowances allocated under*** E.O. 12866 Review

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Page 491 of 773 §§ 97.6 11 and 97.6 12 for, such 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 SO 2 Group 1 allowances for such control period equal to the unit’s allowable SO 2 emission rate applicable to such control period, multiplied by a capacity factor of 0. 85 (if the unit is a boiler combusting any amount of coal or coal - derived fuel during such contr ol period), 0. 24 (if the unit is a simple combustion turbine during such control period), 0. 67 (if the unit is a combined cycle turbine during such control period), 0. 74 (if the unit is an integrated coal gasification combined cycle unit during such control period), or 0. 36 (for any other unit), 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 . Common stack means a single flue through which emission s from 2 or more units are exhausted. Compliance account means an Allowance Management System account, established by the Administrator for a TR SO 2 Group 1 source under this subpart, in which any TR SO 2 Group 1 allowance allocations to the TR SO 2 Group 1 units at the source are recorded and in which are held any TR SO 2 Group 1 allowances available for use for a control period in a given year in*** E.O. 12866 Review

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Page 492 of 773 complying with the source's TR SO 2 Group 1 emissions limitation in accordance with §§ 97.6 06 and 97.6 24. 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 SO 2 emissions, stack gas volumetric flow rate, stack gas moisture content, and O 2 or CO 2 concentration (as applicable), in a manner consistent with part 75 of this chapter and §§ 97.6 30 through 97.6 35. The following systems are the p rincipal 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 SO 2 monitoring system, consisting of a SO 2 pollutant concentration monitor and an automated data acquisition and handling system and providing a permanent, continuous record of SO 2 emissions, in parts per million (ppm);*** E.O. 12866 Review

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Page 493 of 773 (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 H 2 O; (4) A CO 2 monitoring system, consisting of a CO 2 pollutant concentration monitor (or an O 2 monitor plus suitable mathematical equations from which the CO 2 concentration is derived) and an automated data acquisition and handling system and providing a permanent, con tinuous record of CO 2 emissions, in percent CO 2 ; and (5) An O 2 monitoring system, consisting of an O 2 concentration monitor and an automated data acquisition and handling system and providing a permanent, continuous record of O 2 , in percent O 2 . Control per iod means the period starting January 1 of a calendar year, except as provided in § 97.6 06(c)(3), and ending on December 31 of the same year, inclusive. Designated representative means, for a TR SO 2 Group 1 source and each TR SO 2 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 SO 2 Group 1 Trading Pro gram. If the TR SO 2*** E.O. 12866 Review

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Page 494 of 773 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 the respective program. Emissions means air pollutants exhausted from a unit or source into the atmosphere, as measured, recorded, and reported to the Administrator by the designated representative, and as modified by the Administrator: (1) In accordance with this subpart; and (2) With regard to a period before the unit or source is required to measure, record, and report such air pollutants in accordance with this subpart, in accordance with part 75 of this chapter. Excess emissions means any ton of emiss ions from the TR SO 2 Group 1 units at a TR SO 2 Group 1 source during a control period in a given year that exceeds the TR SO 2 Group 1 emissions limitation for the source for such control period. Fossil fuel means— (1) Natural gas, petroleum, coal, or any f orm of solid, liquid, or gaseous fuel derived from such material; or*** E.O. 12866 Review

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Page 495 of 773 (2) For purposes of applying the limitation on “average annual fuel consumption of fossil fuel” in §§ 97.6 04(b)(2)(i)(B) and (ii), natural gas, petroleum, coal, or any form of solid, liqui d, or gaseous fuel derived from such material for the purpose of creating useful heat. Fossil - fuel - fired means, with regard to a unit, combusting any amount of fossil fuel in 2005 or any calendar year thereafter. General account means an Allowance Manageme nt System account, established under this subpart, that is not a compliance account or an assurance account. Generator means a device that produces electricity. Gross electrical output means, for a unit, electricity made available for use, including any su ch 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, for a unit for a specified period of time, the product (in mmBtu/time) of the gross calorific value of the fuel (in mmBtu/lb) fed into the unit multiplied by the fuel feed rate (in lb of fuel/time), as measured, recorded, and reported to the Administrator by the designated representative and as modified*** E.O. 12866 Review

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Page 496 of 773 by the Administrator in accordance with this subpart and excluding the heat derived from preheated combustion air, recirculated flue gases, or exhaust. Heat input rate means, for a unit, the amount of heat input (in mmBtu) divided by unit oper ating time (in hr) or, for a unit and a specific fuel, the amount of heat input attributed to the fuel (in mmBtu) divided by the unit operating time (in hr) during which the unit combusts the fuel.
Heat rate means, for a unit, the unit’s maximum design he at input (in Btu/hr), divided by the product of 1,000,000 Btu/mmBtu and the unit’s maximum hourly load. Indian country means “Indian country” as defined in 18 U.S.C. 1151 . Life 

### - of - the - unit, firm power contractual arrangement means a unit participation power sales agreement under which a utility or industrial customer reserves, or is entitled to receive, a specified amount or percentage of nameplate capacity and associated energy generated by any specified unit and pays its proportional amount of such un it's total costs, pursuant to a contract: (1) For the life of the unit;*** E.O. 12866 Review

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Page 497 of 773 (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 ec onomic 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, for a unit, the maximum amount of fuel per hour (in Btu/hr) that the unit is capable of combusting on a steady state basis as of the initial installation of the unit as specified by the manufacturer of the unit. Monitoring system means any monitoring s ystem 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 inst allation of a generator, the maximum electrical generating output (in MWe, rounded to the nearest tenth) that the generator is capable of producing on a steady state basis and during continuous operation (when not restricted by seasonal or other deratings) as of such installation as specified by the manufacturer of the*** E.O. 12866 Review

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Page 498 of 773 generator or, starting from the completion of any subsequent physical change in the generator resulting in an increase in the maximum electrical generating output that the generator is capabl e of producing on a steady state basis and during continuous operation (when not restricted by seasonal or other deratings), such increased maximum amount (in MWe, rounded to the nearest tenth) as of such completion as specified by the person conducting the physical change. Natural gas means “natural gas” as defined in §72.2 of this chapter. Newly affected TR SO 2 Group 1 unit means a unit that was not a TR SO 2 Group 1 unit when it began operating but that thereafter becomes a TR SO 2 Group 1 unit. Operate or operation means, with regard to a unit, to combust fuel. Operator means, for a TR SO 2 Group 1 source or a TR SO 2 Group 1 unit at a source respectively, any person who operates, controls, or supervises a TR SO 2 Group 1 unit at the source or the TR SO 2 Group 1 unit and shall include, but not be limited to, any holding company, utility system, or plant manager of such source or unit.*** E.O. 12866 Review

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Page 499 of 773 Owner means, for a TR SO 2 Group 1 source or a TR SO 2 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 SO 2 Group 1 unit at the source or the TR SO 2 Group 1 unit; (2) Any holder of a leasehold interest in a TR SO 2 Group 1 unit at the source or the TR SO 2 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 SO 2 Group 1 unit; and ( 3) Any purchaser of power from a TR SO 2 Group 1 unit at the source or the TR SO 2 Group 1 unit under a life - of - the - unit, firm power contractual arrangement. Permanently retired means, with regard to a unit, a unit that is un available for service and that the unit’s owners and operators do not expect to return to service in the future. Permitting authority means “permitting authority” as defined in §§70.2 and 71.2 of this chapter. Potential electrical output capacity means, for a unit, 33 percent of the unit's maximum design heat input, divided by*** E.O. 12866 Review

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Page 500 of 773 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, info rmation, 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 SO 2 Group 1 allowances, the moving of TR SO 2 Group 1 allowances by the Administrator into, out of, or between Allowance Management System accounts, for purposes of allocation, auction, transfer, or deduction. Reference method means any direct test method of sampling and analyzing for an air pollutant as specified in §75.22 of this chapter. Replacement , replace , or replaced means, with regard to a unit, the demolishing of a unit, or the permanent ret irement 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).*** E.O. 12866 Review

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Page 501 of 773 Sequential use of energy means: (1) The use of reject heat from electricity pro duction in a useful thermal energy application or process; or (2) The use of reject heat from useful thermal energy application or process in electricity production. Serial number means, for a TR SO 2 Group 1 allowance, the unique identification number assigned to each TR SO 2 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 was te 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 definiti on 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.*** E.O. 12866 Review

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Page 502 of 773 State means one of the States that i s subject to the TR SO 2 Group 1 Trading Program pursuant to § 52.39(a),(b), (d), (e), and (f) 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, transmissi on, 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 u sed to provide useful thermal energy. Total energy input means, for a unit, total energy of all forms supplied to the unit, excluding energy produced by the unit.*** E.O. 12866 Review

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Page 503 of 773 Each form of energy supplied shall be measured by the lower heating value of that form of ene rgy 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, for a unit, 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 in accordance with subpart AAAAA of this part and § 52.3 8 (a) of this chapter (including such a program that is revised in a SIP revision approved by the Administrator under §52.38(a)(3) or (4) of this chapter or that is established in a SIP revision approved by the Administrator under §52.38(a)(5) of this chapter ) , as a means of mitigating interstate transport of fine particulates and NOX .*** E.O. 12866 Review

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Page 504 of 773 TR NOX Ozone Season Trading Program means a multi - state NOX air pollution control and emission reduction program established in accordance with subpart BBBBB of this part and § 52.3 8 (b) of this chapter (including such a program that is revised in a SIP revision approved by the Administrator under §52.38(b)(3) or (4 ) of this chapter or that is established in a SIP revision approved by the Administrator under §52.38(b)(5) of this chapter ) , as a means of mitigating interstate transport of ozone and NOX . TR SO 2 Group 1 allowance means a limited authorization issued and allocated or auctioned by the Administrator under this subpart , or by a State or permitting authority under a SIP revision approved by the Administrator under §52.39(d), (e), or (f) of this chapter, to emit one ton of SO 2 during a control period of the specified calendar year for which the authorization is allocated or auctioned or of any calendar year thereafter under the TR SO 2 Group 1 Trading Program.
TR SO 2 Group 1 allowance deduction or deduct TR SO 2 Group 1 allowances means the permanent withdrawal of TR SO 2 Group 1 allowances by the Administrator from a compliance account ( e.g. , in order to account for compliance with the TR SO 2 Group 1 emissions limitation ) or from an assurance account (e.g., in*** E.O. 12866 Review

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Page 505 of 773 order to account for compliance with the assurance provisions under §§97.606 and 97.625) . TR SO 2 Group 1 allowances held or hold TR SO 2 Group 1 allowances means the TR SO 2 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 no t yet recorded, TR SO 2 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 SO 2 Group 1 allowance transfer in accordance with this subpart.
TR SO 2 Group 1 emissions limitation means, for a TR SO 2 Group 1 source, the tonnage of SO 2 emissions authorized in a control period by the TR SO 2 Group 1 allowances available for deduction for the source under § 97.6 24(a) for such control period.
TR SO 2 Group 1 source means a source that includes one or more TR SO 2 Group 1 units.
TR SO 2 Group 1 Trading Program means a multi - state SO 2 air pollution control and emission reduction program established in*** E.O. 12866 Review

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Page 506 of 773 accordance with this subpart and §52.39 (a ) , (b), (d) through (f), (j), and ( k ) of this chapter (including such a program that is revised in a SIP revision approved by the Administrator under §52.39(d) or (e) of this chapter or that is established in a SIP revision approved by the Administrator under §52.39(f) of this chapter ) , as a means of mitigating interstate transport of fine particulates and SO 2 . TR SO 2 Group 1 unit means a unit that is subject to the TR SO 2 Group 1 Trading Program under § 97.6 04. Unit means a stationary, fossil - fuel - fired boiler, stationary, fossil - fuel - fired combustion turbine, or other stationary, fossil - fuel - fired combustion device. A unit that undergoes a physical change or is moved to a different location or source shall continue to be treated as the same unit. A unit (the replaced unit) that is replaced by another unit (the replacement unit) at the same or a different source shall continue to be treated as the same unit, and the replacement unit shall be treated as a separate uni t. Unit operating day means, with regard to a unit, a calendar day in which the unit combusts any fuel. Unit operating hour or hour of unit operation means, with regard to a unit, an hour in which the unit combusts any fuel.*** E.O. 12866 Review

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Page 507 of 773 Useful power means, with regard to a unit, electricity or mechanical energy that the unit makes available for use, excluding any such energy used in the power production process (which process includes, but is not limited to, any on - site processing or treatment of fuel combusted at the unit and any on - site emission controls). Useful thermal energy means thermal energy that is: (1) Made available to an industrial or commercial process (not a power production process), excluding any heat contained in condensate return or makeup water; (2) Used in a heating application ( e.g., space heating or domestic hot water heating); or (3) Used in a space cooling application ( i.e., in an absorption chiller). Utility power distribution system means the portion of an electricity grid owned or operated by a utility and dedicated to delivering electricity to customers. § 97.603 Measurements, abbreviations, and acronyms. Measurements, abbreviations, and acronyms used in this subpart are defined as follows:*** E.O. 12866 Review

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Page 508 of 773 Btu
—British thermal unit CO 2—carbon dioxide
H 2 O
—water hr
—hour kW
—kilowatt electrical kWh
—kilowatt hour lb
—pound
mmBtu
—million Btu
MWe
—megawatt electrical MWh
—megawatt hour NOX—nitrogen oxides
O 2—oxygen ppm—parts per million scfh
—standard cubic feet per hour SO 2—sulfur dioxide
yr—year*** E.O. 12866 Review

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Page 509 of 773 § 97.604 Applicability. (a) Except as provided in paragraph (b) of this section: (1) The following units in a State ( and Indian country within the borders of such State) shall be TR SO 2 Group 1 units, and any source that includes one or more such units shall be a TR SO 2 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, on or after January 1, 2005, a generator with nameplate capacity of more than 25 MWe producing electricity for sale. (2) If a stationary boiler or stationary combustion turbine that, under paragraph (a)(1) of this section, is not a TR SO 2 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 SO 2 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 ( and Indian country within the borders of such State) that otherwise is a TR SO 2 Group 1 unit under paragraph (a) of this section and that meets the requirements*** E.O. 12866 Review

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Page 510 of 773 set forth in paragraph (b)(1)(i) or (2)(i) of this section shall not be a TR SO 2 Group 1 unit: (1)(i) Any unit: (A) Qualifying as a cogeneration unit throughout the later of 2005 or the 12 -month period starting on the date the unit first produces electricity and continuing to qualify as a cogeneration unit throughout each calendar year ending after the later o f 2005 or such 12 -month period ; and (B) Not supplying in 2005 or any calendar year thereafter more than one - third of the unit's potential electric output capacity or 219,000 MWh, whichever is greater, to any utility power distribution system for sale. (ii) If, after qualifying under paragraph (b)(1)(i) of this section as not being a TR SO 2 Group 1 unit , a unit subsequently no longer meets all the requirements of paragraph (b)(1)(i) of this section , the unit shall become a TR SO 2 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 s ection. The unit shall thereafter continue to be a TR SO 2 Group 1 unit.*** E.O. 12866 Review

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Page 511 of 773 (2)(i) Any unit: (A) Qualifying as a solid waste incineration unit throughout the later of 2005 or the 12 -month period starting on the date the unit first produces electricity and continuing to qualify as a solid waste incineration unit throughout each calendar year ending after the later of 2005 or such 12 -month period ; and (B) With an average annual fuel consumption of fossil fuel for the first 3 consecutive calendar years of oper ation starting no earlier than 2005 of less than 20 percent (on a Btu basis) and an average annual fuel consumption of fossil fuel for any 3 consecutive calendar years thereafter of less than 20 percent (on a Btu basis). (ii) If, after qualifying under par agraph (b)(2)(i) of this section as not being a TR SO 2 Group 1 unit , a unit subsequently no longer meets all the requirements of paragraph (b)(1)(i) of this section , the unit shall become a TR SO 2 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 2005 for which the unit has an average annual fuel consumption of fossil fuel of 20 perc ent or*** E.O. 12866 Review

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Page 512 of 773 more. The unit shall thereafter continue to be a TR SO 2 Group 1 unit. (c) A certifying official of an owner or operator of any unit or other equipment may submit a petition (including any supporting documents) to the Administrator at any time for a determination concerning the applicability, under paragraphs (a) and (b) of this section or a SIP revision approved under § 52.39(e) or (f) of this chapter, of the TR SO 2 Group 1 Trading Program to the unit or other equipment. (1) Petition content. The pet ition 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 inclu de 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 sta tements and information are to the best of my knowledge and*** E.O. 12866 Review

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Page 513 of 773 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 SO 2 Group 1 Trading Program to the unit or other equipment shall be binding on any State or permitting authority unless the Administrator determines that the petition or other documents or information provided in connection with the petition contained significant, relevant errors or omissions. § 97.605 Retired unit exemption. (a)(1) Any TR SO 2 Group 1 unit that is permanently retired shall be exempt from § 97.6 06(b) and (c )(1), § 97.6 24, and §§ 97.6 30 through 97.6 35. (2) The exemption under paragraph (a)(1) of this section shall become effective the day on which the TR SO 2 Group 1 unit is permanently retired. Within 30 days of the unit's permanent retirement, the designated representative shall submit a*** E.O. 12866 Review

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Page 514 of 773 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 SO 2 , 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 en d 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 parag raph (a) of this section shall comply with the requirements of the TR SO 2 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.*** E.O. 12866 Review

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Page 515 of 773 (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 t o have a designated representative, and may have an alternate designated representative, in accordance with §§ 97.6 13 through 97.6 18. (b) Emissions monitoring, reporting, and recordkeeping requirements . (1) The owners and operators, and the designated representative, of each TR SO 2 Group 1 source and each TR SO 2 Group 1 unit at the source shall comply with the monitoring, reporting, and recordkeeping requirements of §§ 97.6 30 through 97.6 35. (2) The emissions data determined in accordance with §§ 97.6 30 through 97.6 35 shall be used to calculate allocations of TR SO 2 Group 1 allowances under §§ 97.6 11(a)(2) and (b) and 97.6 12 and to determine compliance with the TR SO 2 Group 1 emissions*** E.O. 12866 Review

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Page 516 of 773 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 §§ 97.6 30 through 97.6 35 and rounded to the nearest ton, with any fraction of a ton less than 0.50 being deemed to be zero. (c) SO 2 emissions requirements . (1) TR SO 2 Group 1 emissions limitation. (i) As of the allowance transfer deadline for a control period in a given year, the owners and operators of each TR SO 2 Group 1 source and each TR SO 2 Group 1 unit at the source shall hold, in the source's compliance account, TR SO 2 Group 1 allowances available for deduction for such control period under § 97.6 24(a) in an amount not less than the tons of total SO 2 emissions for such control period from all TR SO 2 Group 1 units at the source. (ii) If total SO 2 emissions during a control period in a given year from the TR SO 2 Group 1 units at a TR SO 2 Group 1 source are in excess of the TR SO 2 Group 1 emissions limitation set forth in paragraph (c)(1)(i) of this section, then:*** E.O. 12866 Review

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Page 517 of 773 (A) The owners and operators of the source and each TR SO 2 Group 1 unit at the source shall hold the TR SO 2 Group 1 allowances required for deduction under § 97.6 24(d); and (B) The owners and operators of the source and each TR SO 2 Group 1 unit at the source shall pay any fine, penalty, or assessment or comply with any other remedy imposed, for the same violations, under the Clean Air Act, and each ton of such excess emissions and each day of such control period shall constitute a separate violation of this subpart and the Clean Air Act. (2) TR SO 2 Group 1 assurance provisi ons. (i) If total SO 2 emissions during a control period in a given year from all TR SO 2 Group 1 units at TR SO 2 Group 1 sources in a State (and Indian country within the borders of such State) exceed the State assurance level, then the owners and operator s of such sources and units in each group of one or more sources and units having a common designated representative for such control period , where the common designated representative’s share of such SO 2 emissions during such control period exceeds the common designated representative’s assurance level for the State and such control period , shall hold ( in the assurance account established for the owners and operators of such group ) TR SO 2 Group 1 allowances available for deduction for such control period under § 97.6 25(a) in an amount equal to two times the*** E.O. 12866 Review

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Page 518 of 773 product (rounded to the nearest whole number), as determined by the Administrator in accordance with § 97.6 25(b), of multiplying

— (A) The quotient of the amount by which the common designated representative’s share of such SO 2 emissions exceeds the common designated representative’s assurance level divided by the sum of the amounts, determined for all common designated representatives for such sources and units in the State (and Indian country within the bo rders of such State) for such control period, by which each common designated representative’s share of such SO 2 emissions exceeds the respective common designated representative’s assurance level; and (B) The amount by which total SO 2 emissions from all TR SO 2 Group 1 units at TR SO 2 Group 1 sources in the State (and Indian country within the borders of such State) for such control period exceed the State assurance level. (ii) The owners and operators shall hold the TR SO 2 Group 1 all owances 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) Total SO 2 emissions from all TR SO 2 Group 1 units at TR SO 2 Group 1 sources in a State (and Indian country within the*** E.O. 12866 Review

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Page 519 of 773 borders of such State) during a control period in a given year exceed the State assurance level if such total SO 2 emissions exceed the sum, for such control period, of the State SO 2 Group 1 trading budget under § 97.6 10(a) and the State’s variability limit under § 97.6 10(b). (iv) It shall not be a violation of this subpart or of the Clean Air Act if total SO 2 emissions from all TR SO 2 Group 1 units at TR SO 2 Group 1 sources in a State (and Indian country within the borders of such State) during a control period exceed the State assurance level or if a common designated representative’s share of total SO 2 emissions from the TR SO 2 Group 1 units at TR SO 2 Group 1 sources in a State (and Indian country within the borders of such State) during a control period exceeds the common designated representative’s assurance level. (v) To the extent the owners and operators fail to hold TR SO 2 Group 1 all owances for a control period in a given year in accordance with paragraphs (c)(2)(i) through (iii) of this section, (A) The owners and operators shall pay any fine, penalty, or assessment or comply with any other remedy imposed under the Clean Air Act; an d*** E.O. 12866 Review

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Page 520 of 773 (B) Each TR SO 2 Group 1 allowance that the owners and operators fail to hold for such control period in accordance with paragraphs (c)(2)(i) through (iii) of this section and each day of such control period shall constitute a separate violation of this s ubpart and the Clean Air Act. (3) Compliance periods. A TR SO 2 Group 1 unit shall be subject to the requirements under paragraphs (c)(1) and (c)(2) 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 § 97.6 30(b) and for each control period thereafter. (4) Vintage of allowances held for compliance . (i) A TR SO 2 Group 1 allowance held for compliance with the requirements under paragraph (c)(1) (i) of this section for a control period in a given year must be a TR SO 2 Group 1 allowance that was allocated for such control period or a control period in a prior year . (ii) A TR SO 2 Group 1 allowance held for compliance with the requirements under paragraphs (c)(1) (ii)(A) and (2) (i) through (iii) of this section for a control period in a given year must be a TR SO 2 Group 1 allowance that was allocated for a control*** E.O. 12866 Review

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Page 521 of 773 period in a prior year or the control period in the given year or in the immediately followi ng year . (5) Allowance Management System requirements. Each TR SO 2 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. A TR SO 2 Group 1 allowance is a limited authorization to emit one ton of SO 2 during the control period in one year. Such authorization is limited in its use and duration as follows: (i) Such authorization shall only be used in accordance with the TR SO 2 Group 1 Trading Program; and (ii) Notwithstanding any other provision of this subpart, the Administrator has the authority to terminate or limit the use and duration of such authorization to the extent the Administrator determines is necessary or appropri ate to implement any provision of the Clean Air Act. (7) Property right. A TR SO 2 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, dedu ction, or*** E.O. 12866 Review

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Page 522 of 773 transfer of TR SO 2 Group 1 allowances in accordance with this subpart. (2) A description of whether a unit is required to monitor and report SO 2 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 a ccordance with §§ 97.6 30 through 97.6 35 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 mo nitoring 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 r ecordkeeping and reporting requirements . (1) Unless otherwise provided, the owners and operators of each TR SO 2 Group 1 source and each TR SO 2 Group 1 unit at the source shall keep on site at the source each of the following documents*** E.O. 12866 Review

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Page 523 of 773 (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 § 97.6 16 for the designated representative for the source and each TR SO 2 Group 1 unit at the source and all documents that demonstrate the truth of the statemen ts in the certificate of representation; provided that the certificate and documents shall be retained on site at the source beyond such 5 - year period until such certificate of representation and documents are superseded because of the submission of a new certificate of representation under § 97.6 16 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 ma de or required under, or to demonstrate compliance with the requirements of, the TR SO 2 Group 1 Trading Program. (2) The designated representative of a TR SO 2 Group 1 source and each TR SO 2 Group 1 unit at the source shall make all submissions required under the TR SO 2 Group 1 Trading Program , except as*** E.O. 12866 Review

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Page 524 of 773 provided in § 97.6 1 8 . This requirement does not change, create an exemption from, or 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 SO 2 Group 1 Trading Program that applies to a TR SO 2 Group 1 source or the designated representative of a TR SO 2 Group 1 source shall also apply to the owners and operators of such source and of the TR SO 2 Group 1 units at the source. (2) Any provision of the TR SO 2 Group 1 Trading Program that applies to a TR SO 2 Group 1 unit or the designated representative of a TR SO 2 Group 1 un it shall also apply to the owners and operators of such unit. (g) Effect on other authorities . No provision of the TR SO 2 Group 1 Trading Program or exemption under § 97.6 05 shall be construed as exempting or excluding the owners and operators, and the designated representative, of a TR SO 2 Group 1 source or TR SO 2 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 .*** E.O. 12866 Review

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Page 525 of 773 (a) Unless otherwise stated, any time period scheduled, under the TR SO 2 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 SO 2 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 SO 2 Group 1 Trading Program, is not a business day, 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 SO 2 Group 1 Trading Program are set forth in part 78 of this chapter. § 97.6 09 [Reserved] § 97.610 State SO2 Group 1 trading budgets, new unit set- asides, Indian country new unit set- aside, and variability limits. (a) The State SO 2 Group 1 trading budgets, new unit set - asides, and Indian country new unit set - asides for allocations of TR SO 2*** E.O. 12866 Review

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Page 526 of 773 Group 1 allowances for the control periods in 2012 and thereafter are as follows:

State SO 2 Group 1 trading

budget (tons)* for 2012 and 2013 New unit se t aside (tons) for 2012 and 2013 Indian country

new unit set aside (tons) for 2012 and 2013 Illinois 234,889 11,744 --- Indiana 285,424 8,563 --- Iowa 107,085 2,035 107 Kentucky 232,662 13,960 --- Maryland 30,120 602 --- Michigan 229,303 4,357 229 Missouri 207,466 4,149 --- New Jersey 5,574 111 --- New York 27,325 520 27 North Carolina 136,881 10, 813 137 Ohio 310,230 6,205 --- Pennsylvania 278,651 5,573 --- Tennessee 148,150 2,963 --- Virginia 70,820 2,833 --- West Virginia 146,174 10,232 --- Wisconsin 79,480 3, 894 80

State SO 2 Group 1

trading budget (tons)* for 2014 and thereafter New unit set aside (tons) for 2014 and thereafter Indian country

new unit set aside (tons) for 2014 and thereafter Illinois 124,123 6,206 --- Indiana 161,111 4,833 --- Iowa 75,184 1, 429 75 Kentucky 106,284 6,377 ---*** E.O. 12866 Review

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Page 5 27 of 773 Maryland 28,203 564 --- Michigan 143,995 2,736 144 Missouri 165,941 3,319 --- New Jersey 5,574 111 --- New York 18,585 353 19 North Carolina 57,620 4,552 58 Ohio 137,077 2,742 --- Pennsylvania 112,021 2,240 --- Tennessee 58,833 1,177 --- Virginia 35,057 1,402 --- West Virginia 75,668 5,297 --- Wisconsin 40,126 1,966 40 * Each trading budget includes the new unit set - aside and, where applicable, the Indian country new unit set - aside and does not include the variability limit. (b) The States’ variability limits for the State SO 2 Group 1 trading budgets for the control periods in 2012 and thereafter are as follows:

State Variability limits

for 2012 and 2013 Variability limits for 2014 and thereafter Illinois 42,280 22,342 Indiana 51,376 29,000 Iowa 19,275 13,533 Kentucky 41,879 19,131 Maryland 5,422 5,077 Michigan 41,275 25,919 Missouri 37,344 29,869 New Jersey 1,003 1,003 New York 4,919 3,345 North 24,639 10,372*** E.O. 12866 Review

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Page 528 of 773 Carolina Ohio 55,841 24,674 Pennsylvania 50,157 20,164 Tennessee 26,667 10,590 Virginia 12,748 6,310 West Virginia 26,311 13,620 Wisconsin 14,306 7,223

§ 97.611 Timing requirements for TR SO2 Group 1 allowance allocations. (a) Existing units . (1) TR SO 2 Group 1 allowances are allocated, for the control periods in 2012 and each year thereafter, as provided in a notice of data availability issued by the Administrator. Providing an allocation to a unit in such notice does not constitute a determination that the unit is a TR SO 2 Group 1 unit, and not providing an allocation to a unit in such notice does not constitute a determination that the unit is not a TR SO 2 Group 1 unit. (2) Notwithstanding paragraph (a)(1) of this section, if a unit provided an allocation in the notice of data availability issued under paragraph (a)(1) of this section does not operate, starting after 2011, during the control period in two consecutive years, such unit will n ot be allocated the TR SO 2 Group 1 allowances provided in such notice for the unit for the*** E.O. 12866 Review

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Page 529 of 773 control periods in the fifth year after the first such year and in each year after that fifth year. All TR SO 2 Group 1 allowances that would otherwise have been all ocated to such unit will be allocated to the new unit set - aside for the State where such unit is located and for the respective years involved. If such unit resumes operation, the Administrator will allocate TR SO 2 Group 1 allowances to the unit in accordance with paragraph (b) of this section. (b) New units . (1) New unit set - asides. (i) By June 1, 2012 and June 1 of each year thereafter, the Administrator will calculate the TR SO 2 Group 1 allowance allocation to each TR SO 2 Group 1 unit in a State , in accordance with § 97.6 12(a)( 2 ) through ( 7 ) and (12) , for the control period in the year of the applicable calculation deadline under this paragraph and will promulgate a notice of data availability of the results of the calculations. (ii) For each notice of data availability required in paragraph (b)(1)(i) of this section, the Administrator will provide an opportunity for submission of objections to the calculations referenced in such notice. (A) Objections shall be submitted by the deadline specified in e ach notice of data availability required in paragraph (b)(1)(i)*** E.O. 12866 Review

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Page 530 of 773 of this section and shall be limited to addressing whether the calculations (including the identification of the TR SO 2 Group 1 units) are in accordance with § 97.6 12(a)( 2 ) through ( 7 ) and (12) and §§ 97.6 06(b)(2) and 97.6 30 through 97.6 35. (B) The Administrator will adjust the calculations to the extent necessary to ensure that they are in accordance with the provisions referenced in paragraph (b)(1)(ii)(A) of this section. By August 1 immediately after the promulgation of each notice of da ta availability required in paragraph (b)(1)(i) of this section, the Administrator will promulgate a notice of data availability of any adjustments that the Administrator determines to be necessary with regard to allocations under § 97.6 12(a)( 2 ) through ( 7 ) and (12) and the reasons for accepting or rejecting any objections submitted in accordance with paragraph (b)(1)(ii)(A) of this section. (iii) If the new unit set - aside for such control period contains any TR SO 2 Group 1 allowances that have not been al located in the applicable notice of data availability required in paragraph (b)(1)(ii) of this section, the Administrator will promulgate, by December 15 immediately after such notice, a notice of data availability that identifies any TR SO 2 Group 1 units that commenced commercial operation during the period starting*** E.O. 12866 Review

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Page 531 of 773 January 1 of the year before the year of such control period and ending November 30 of year of such control period. (iv) For each notice of data availability required in paragraph (b)(1)(iii) o f this section, the Administrator will provide an opportunity for submission of objections to the identification of TR SO 2 annual units in such notice. (A) Objections shall be submitted by the deadline specified in each notice of data availability require d in paragraph (b)(1)(iii) of this section and shall be limited to addressing whether the identification of TR SO 2 annual units in such notice is in accordance with paragraph (b)(1)(iii) of this section. (B) The Administrator will adjust the identificati on of TR SO 2 Group 1 units in the each notice of data availability required in paragraph (b)(1)(iii) of this section to the extent necessary to ensure that it is in accordance with paragraph (b)(1)(iii) of this section and will calculate the TR SO 2 Group 1 allowance allocation to each TR SO 2 Group 1 unit in accordance with § 97.6 12(a)(9) , (10) , and (12) and §§ 97.6 06(b)(2) and 97.6 30 through 97.6 35. By February 15 immediately after the promulgation of each notice of data availability required in paragraph (b )(1)(iii) of this section, the Administrator will promulgate a notice of data availability of any adjustments of*** E.O. 12866 Review

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Page 532 of 773 the identification of TR SO 2 Group 1 units that the Administrator determines to be necessary, the reasons for accepting or rejecting any object ions submitted in accordance with paragraph (b)(1)(iv)(A) of this section, and the results of such calculations. (v) To the extent any TR SO 2 Group 1 allowances are added to the new unit set - aside after promulgation of each notice of data availability requ ired in paragraph (b)(1)(iv) of this section, the Administrator will promulgate additional notices of data availability, as deemed appropriate, of the allocation of such TR SO 2 Group 1 allowances in accordance with §97. 6 12 (a)(10). ( 2) Indian country new unit set - asides. (i) By June 1, 2012 and June 1 of each year thereafter, the Administrator will calculate the TR SO 2 Group 1 allowance allocation to each TR SO 2 Group 1 unit in Indian country within the borders of a State , in accordance with § 97.6 12(b)( 2 ) through ( 7 ) and (12) , for the control period in the year of the applicable calculation deadline under this paragraph and will promulgate a notice of data availability of the results of the calculations. (ii) For each notice of data availability required i n paragraph (b)(2)(i) of this section, the Administrator will provide an*** E.O. 12866 Review

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Page 533 of 773 opportunity for submission of objections to the calculations referenced in such notice. (A) Objections shall be submitted by the deadline specified in each notice of data availabili ty required in paragraph (b)(2)(i) of this section and shall be limited to addressing whether the calculations (including the identification of the TR SO 2 Group 1 units) are in accordance with § 97.6 12(b)( 2 ) through ( 7 ) and (12) and §§ 97.6 06(b)(2) and 97.6 30 through 97.6 35. (B) The Administrator will adjust the calculations to the extent necessary to ensure that they are in accordance with the provisions referenced in paragraph (b)(2)(ii)(A) of this section. By August 1 immediately after the promulgation of each notice of data availability required in paragraph (b)(2)(i) of this section, the Administrator will promulgate a notice of data availability of any adjustments that the Administrator determines to be necessary with regard to allocations under § 97.6 12(b)( 2 ) through ( 7 ) and (12) and the reasons for accepting or rejecting any objections submitted in accordance with paragraph (b)(2)(ii)(A) of this section. (iii) If the Indian country new unit set - aside for such control period contains any TR SO 2 Group 1 allowances that have not been allocated in the applicable notice of data availability required*** E.O. 12866 Review

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Page 534 of 773 in paragraph (b)(2)(ii) of this section, the Administrator will promulgate, by December 15 immediately after such notice, a notice of data availability that i dentifies any TR SO 2 Group 1 units that commenced commercial operation during the period starting January 1 of the year before the year of such control period and ending November 30 of year of such control period. (iv) For each notice of data availability required in paragraph (b)(2)(iii) of this section, the Administrator will provide an opportunity for submission of objections to the identification of TR SO 2 annual units in such notice. (A) Objections shall be submitted by the deadline specified in each notice of data availability required in paragraph (b)(2)(iii) of this section and shall be limited to addressing whether the identification of TR SO 2 annual units in such notice is in accordance with paragraph (b)(2)(iii) of this section. (B) The Adminis trator will adjust the identification of TR SO 2 Group 1 units in the each notice of data availability required in paragraph (b)(2)(iii) of this section to the extent necessary to ensure that it is in accordance with paragraph (b)(2)(iii) of this section an d will calculate the TR SO 2 Group 1 allowance allocation to each TR SO 2 Group 1 unit in accordance with § 97.6 12(b)(9) , (10) , and (12) and §§ 97.6 06(b)(2) and 97.6 30*** E.O. 12866 Review

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Page 535 of 773 through 97.6 35. By February 15 immediately after the promulgation of each notice of data availability required in paragraph (b)(2)(iii) of this section, the Administrator will promulgate a notice of data availability of any adjustments of the identification of TR SO 2 Group 1 units that the Administrator determines to be necessary, the reasons for accepting or rejecting any objections submitted in accordance with paragraph (b)(2)(iv)(A) of this section, and the results of such calculations. (v) To the extent any TR SO 2 Group 1 allowances are added to the Indian country new unit set - aside after promulgation of each notice of data availability required in paragraph (b)(2)(iv) of this section, the Administrator will promulgate additional notices of data availability, as deemed appropriate, of the allocation of such TR NOX Annual allowances in acco rdance with §97. 6 12 (b)(10). (c) Units incorrectly allocated TR SO 2 Group 1 allowances . (1) For each control period in 2012 and thereafter, if the Administrator determines that TR SO 2 Group 1 allowances were allocated under paragraph (a) of this section, or under a provision of a SIP revision approved under § 52.39 ( d), (e), or (f) of this chapter, where such control period and the recipient are covered by the provisions of paragraph (c)(1)(i) o f this*** E.O. 12866 Review

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Page 536 of 773 section or were allocated under § 97.6 12 (a)(2) through (7), (9), and (12) and (b)(2) through (7), (9), and (12) , or under a provision of a SIP revision approved under § 52.39(e) or (f) of this chapter, where such control period and the recipient are c overed by the provisions of paragraph (c)(1)(ii) of this section, then the Administrator will notify the designated representative of the recipient and will act in accordance with the procedures set forth in paragraphs (c)(2) through (5) of this section: ( i)(A) The recipient is not actually a TR SO 2 Group 1 unit under § 97.6 04 as of January 1, 2012 and is allocated TR SO 2 Group 1 allowances for such control period or, in the case of an allocation under a provision of a SIP revision approved under § 52.39(d), (e), or (f) of this chapter, the recipient is not actually a TR SO 2 Group 1 unit as of January 1, 2012 and is allocated TR SO 2 Group 1 allowances for such control period that the SIP revision provides should be allocated only to recipients that are TR SO 2 Group 1 units as of January 1, 2012; or (B) The recipient is not located as of January 1 of the control period in the State from whose SO 2 Group 1 trading budget the TR SO 2 Group 1 allowances allocated under paragraph (a) of this section, or under a provision of a SIP revision approved under*** E.O. 12866 Review

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Page 537 of 773 § 52.39(d), (e), or (f) of this chapter, were allocated for such control period. (ii) The recipient is not actually a TR SO 2 Group 1 unit under § 97.6 04 as of January 1 of such control period and is allocated TR SO 2 Group 1 allowances for such control period or, in the case of an allocation under a provision of a SIP revision approved under § 52.39(d), (e), or (f) of this chapter, the recipient is not actually a TR SO 2 Group 1 unit as of January 1 of such control period and is allocated TR SO 2 Group 1 allowances for such control period that the SIP revision provides should be allocated only to recipients that are TR SO 2 Group 1 units as of January 1 of such control period. (2) Except as provided in paragraph (c)(3) or (4) of this section, the Administrator will not record such TR SO 2 Group 1 allowances under § 97.6 21. (3) If the Administrator already recorded such TR SO 2 Group 1 allowances under § 97. 6 21 and if the Administrator makes the determination under paragraph (c)(1) of this section before making deductions for the source that includes such recipient under § 97.6 24(b) for such control period, then the Administrator will deduct from the account i n which such TR SO 2 Group 1 allowances were recorded an amount of TR SO 2 Group 1 allowances*** E.O. 12866 Review

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Page 538 of 773 allocated for the same or a prior control period equal to the amount of such already recorded TR SO 2 Group 1 allowances. The authorized account representative shall ensure that there are sufficient TR SO 2 Group 1 allowances in such account for completion of the deduction. (4) If the Administrator already recorded such TR SO 2 Group 1 allowances under § 97.6 21 and if the Administrator makes the determination under parag raph (c)(1) of this section after making deductions for the source that includes such recipient under § 97.6 24(b) for such control period, then the Administrator will not make any deduction to take account of such already recorded TR SO 2 Group 1 allowances. (5 ) (i) With regard to the TR SO 2 Group 1 allowances that are not recorded, or that are deducted as an incorrect allocation , in accordance with paragraphs (c)( 2 ) and ( 3 ) of this section for a recipient under paragraph (c)(1)(i) of this section, the Administrator will: (A) Transfer such TR SO 2 Group 1 allowances to the new unit set aside for such control period for the State from whose SO 2 Group 1 trading budget the TR SO 2 Group 1 allowances were allocated; or (B) If the State has a SIP revision approved under § 52.39(e) or (f) covering such control period, include such TR SO 2 Group 1*** E.O. 12866 Review

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Page 539 of 773 allowances in the portion of the State SO 2 Group 1 trading budget that may be allocated for such control period in accordance with such SIP revision. (ii) With regard t o the TR SO 2 Group 1 allowances that were not allocated from the Indian country new unit set - aside for such control period and that are not recorded, or that are deducted as an incorrect allocation , in accordance with paragraphs (c)( 2 ) and ( 3 ) of this sect ion for a recipient under paragraph (c)(1)(ii) of this paragraph, the Administrator will: (A) Transfer such TR SO 2 Group 1 a llowances to the new unit set aside for such control period; or (B) If the State has a SIP revision approved under § 52.39(e) or (f) covering such control period, include such TR SO 2 Group 1 allowances in the portion of the State SO 2 Group 1 trading budget that may be allocated for such control period in accordance with such SIP revision. (iii) With regard to the TR S O 2 Group 1 allowances that were allocated from the Indian country new unit set - aside for such control period and that are not recorded, or that are deducted as an incorrect allocation , in accordance with paragraphs (c)( 2 ) and ( 3 ) of this section for a recipient under paragraph (c)(1)(ii) of this paragraph, the Administrator will transfer*** E.O. 12866 Review

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Page 540 of 773 such TR SO 2 Group 1 allowances to the Indian country new unit set - aside for such control period. § 97.612 TR SO2 Group 1 allowance allocations to new units. (a) For each c ontrol period in 2012 and thereafter and for the TR SO 2 Group 1 units in each State, the Administrator will allocate TR SO 2 Group 1 allowances to the TR SO 2 Group 1 units as follows: (1) The TR SO 2 Group 1 allowances will be allocated to the following TR SO 2 Group 1 units, except as provided in paragraph (a)(10) of this section: (i) TR SO 2 Group 1 units that are not allocated an amount of TR SO 2 Group 1 allowances in the notice of data availability issued under § 97.6 11(a)(1); (ii) TR SO 2 Group 1 units whose allocation of an amount of TR SO 2 Group 1 allowances for such control period in the notice of data availability issued under § 97.6 11(a)(1) is covere d by § 97.6 11(c)(2) or (3); (iii) TR SO 2 Group 1 units that are allocated an amount of TR SO 2 Group 1 allowances for such control period in the notice of data availability issued under § 97.6 11(a)(1), which allocation is terminated for such control period pu rsuant to § 97.6 11(a)(2),*** E.O. 12866 Review

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Page 541 of 773 and that operate during the control period immediately preceding such control period; or (iv) For purposes of paragraph (a)(9) of this section, TR SO 2 Group 1 units under § 97.6 11(c)(1)(ii) whose allocation of an amount of TR SO 2 Gr oup 1 allowances for such control period in the notice of data availability issued under § 97.6 11(b)(1)(ii)(B) is covered by § 97.6 11(c)(2) or (3). (2) The Administrator will establish a separate new unit set aside for the State for each such control period . Each such new unit set - aside will be allocated TR SO 2 Group 1 allowances in an amount equal to the applicable amount of tons of SO 2 emissions as set forth in § 97.6 10(a) and will be allocated additional TR SO 2 Group 1 allowances (if any) in accordance with §§ 97.6 11(a)(2) and (c)(5) and paragraph (b)(10) of this section. (3) The Administrator will determine, for each TR SO 2 Group 1 unit described in paragraph (a)(1) of this section, an allocation of TR SO 2 Group 1 allowances for the later of the following control periods and for each subsequent control period: (i) The control period in 2012;*** E.O. 12866 Review

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Page 542 of 773 (ii) The first control period after the control period in which the TR SO 2 Group 1 unit commences commercial operation; (iii ) For a unit described in paragraph (a)(1)(ii) of this section, the first control period in which the TR SO 2 Group 1 unit operates in the State after operating in another jurisdiction and for which the unit is not already allocated one or more TR SO 2 Group 1 allowances; and (iv) For a unit described in paragraph (a)(1)(iii) of this section, the first control period after the control period in which the unit resumes operation. (4)(i) The allocation to each TR SO 2 annual unit described in paragraph (a)(1) (i) through (iii) of this section and for each control period described in paragraph (a)(3) of this section will be an amount equal to the unit’s total tons of SO 2 emissions during the immediately preceding control period. (ii) The Administrator will adjust the allocation amount in paragraph (a)(4)(i) in accordance with paragraphs (a)(5) through ( 7 ) and (12) of this section. (5) The Administrator will calculate the sum of the TR SO 2 Group 1 allowances determined for all such TR SO 2 Group 1 units under*** E.O. 12866 Review

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Page 543 of 773 paragraph (a)(4)(i) of this section in the State for such control period. (6) If the amount of TR SO 2 Group 1 allowances in the new unit set - aside for the State for such control period is greater than or equal to the sum under paragraph (a)(5) of this section, the n the Administrator will allocate the amount of TR SO 2 Group 1 allowances determined for each such TR SO 2 Group 1 unit under paragraph (a)(4)(i) of this section. (7) If the amount of TR SO 2 Group 1 allowances in the new unit set - aside for the State for such control period is less than the sum under paragraph (a)(5) of this section, then the Administrator will allocate to each such TR SO 2 Group 1 unit the amount of the TR SO 2 Group 1 allowances determined under paragraph (a)(4)(i) of this section for the uni t, multiplied by the amount of TR SO 2 Group 1 allowances in the new unit set - aside for such control period, divided by the sum under paragraph (a)(5) of this section, and rounded to the nearest allowance. (8) The Administrator will notify the public, throu gh the promulgation of the notices of data availability described in § 97.6 11(b)(1)(i) and (ii), of the amount of TR SO 2 Group 1 allowances allocated under paragraphs (a)( 2 ) through ( 7 ) and*** E.O. 12866 Review

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Page 544 of 773 (12) of this section for such control period to each TR SO 2 Group 1 unit eligible for such allocation. (9) If, after completion of the procedures under paragraphs (a)(5) through (8) of this section for such control period, any unallocated TR SO 2 Group 1 allowances remain in the new unit set aside for the State for such co ntrol period, the Administrator will allocate such TR SO 2 Group 1 allowances as follows -- (i) The Administrator will determine, for each unit described in paragraph (a)(1) of this section that commenced commercial operation during the period starting Janua ry 1 of the year before the year of such control period and ending November 30 of year of such control period, the positive difference (if any) between the unit’s emissions during such control period and the amount of TR SO 2 Group 1 allowances referenced i n the notice of data availability required under § 97.6 11(b)(1)(ii) for the unit for such control period; (ii) The Administrator will determine the sum of the positive differences determined under paragraph (a)(9)(i) of this section; (iii) If the amount of unallocated TR SO 2 Group 1 allowances remaining in the new unit set - aside for the State for such control period is greater than or equal to the sum determined*** E.O. 12866 Review

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Page 545 of 773 under paragraph (a)(9)(ii) of this section, then the Administrator will allocate the amount of TR SO 2 Group 1 allowances determined for each such TR SO 2 Group 1 unit under paragraph (a)(9)(i) of this section ; and (iv) If the amount of unallocated TR SO 2 Group 1 allowances remaining in the new unit set - aside for the State for such control period is les s than the sum under paragraph (a)(9)(ii) of this section, then the Administrator will allocate to each such TR SO 2 Group 1 unit the amount of the TR SO 2 Group 1 allowances determined under paragraph (a)(9)(i) of this section for the unit, multiplied by the amount of unallocated TR SO 2 Group 1 allowances remaining in the new unit set - aside for such control period, divided by the sum under paragraph (a)(9)(ii) of this section, and rounded to the nearest allowance. (10) If, after completion of the procedures under paragraph s (a)(9) and (12) of this section for such control period, any unallocated TR SO 2 Group 1 allowances remain in the new unit set aside for the State for such control period, the Administrator will allocate to each TR SO 2 Group 1 unit that is in the State, is allocated an amount of TR SO 2 Group 1 allowances in the notice of data availability issued under § 97.6 11(a)(1), and continues to be allocated TR SO 2 Group 1 allowances for such control period in accordance with § 97.6 11(a)(2), an amount of TR SO 2 Group 1*** E.O. 12866 Review

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Page 546 of 773 allowances equal to the following: the total amount of such remaining unallocated TR SO 2 Group 1 allowances in such new unit set - aside, multiplied by the unit's allocation under § 97.6 11(a) for such control period, divided by the remainder of the amount of tons in the applicable State SO 2 Group 1 trading budget minus the sum of the amounts of tons in such new unit set - aside and the Indian country new unit set - aside for the State for such control period, and rounded to the nearest allowance. (1 1) The Administrator will notify the public, through the promulgation of the notices of data availability described in § 97.6 11( b )(1)(iii) , (iv), and (v), of the amount of TR SO 2 Group 1 allowances allocated under paragraphs (a)(9), (10), and (12) of this s ection for such control period to each TR SO 2 Group 1 unit eligible for such allocation. (12)(i) Notwithstanding the requirements of paragraphs (a)(2) through (11) of this section, if the calculations of allocations of a new unit set - aside for a control pe riod in a given year under paragraph (a)(7) of this section, paragraphs (a)(6) and (9)(iv) of this section, or paragraphs (a)(6), (9)(iii), and (10) of this section would otherwise result in total allocations of such new unit set - aside exceeding the total amount of such new unit set - aside, then the Administrator will adjust the results of the calculations under paragraph (a)(7), (9)(iv), or*** E.O. 12866 Review

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Page 547 of 773 (10) of this section, as applicable, as follows. The Administrator will list the TR SO 2 Group 1 units in descending o rder based on the amount of such units’ allocations under paragraph (a)(7), (9)(iv), or (10) of this section, as applicable, and, in cases of equal allocation amounts, in alphabetical order of the relevant source’s name and numerical order of the relevant unit’s identification number, and will reduce each unit’s allocation under paragraph (a)(7), (9)(iv), or (10) of this section, as applicable, by one TR SO 2 Group 1 allowance (but not below zero) in the order in which the units are listed and will repeat th is reduction process as necessary, until the total allocations of such new unit set - aside equal the total amount of such new unit set - aside. (ii) Notwithstanding the requirements of paragraphs (a)(10) and (11) of this section, if the calculations of allo cations of a new unit set - aside for a control period in a given year under paragraphs (a)(6), (9)(iii), and (10) of this section would otherwise result in a total allocations of such new unit set aside less than the total amount of such new unit set - aside, then the Administrator will adjust the results of the calculations under paragraph (a)(10) of this section, as follows. The Administrator will list the TR SO 2 Group 1 units in descending order based on the amount of such units’ allocations*** E.O. 12866 Review

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Page 548 of 773 under paragraph (a)(10) of this section and, in cases of equal allocation amounts, in alphabetical order of the relevant source’s name and numerical order of the relevant unit’s identification number, and will increase each unit’s allocation under paragraph (a)(10) of this section by one TR SO 2 Group 1 allowance in the order in which the units are listed and will repeat this increase process as necessary, until the total allocations of such new unit set - aside equal the total amount of such new unit set - aside. (b) For e ach control period in 2012 and thereafter and for the TR SO 2 Group 1 units located in Indian country within the borders of each State, the Administrator will allocate TR SO 2 Group 1 allowances to the TR SO 2 Group 1 units as follows: (1) The TR SO 2 Group 1 allowances will be allocated to the following TR SO 2 Group 1 units, except as provided in paragraph (b)(10) of this section: (i) TR SO 2 Group 1 units that are not allocated an amount of TR SO 2 Group 1 allowances in the notice of data availability issued under § 97.6 11(a)(1); or (i i ) For purposes of paragraph (b)(9) of this section, TR SO 2 Group 1 units under § 97.6 11(c)(1)(ii) whose allocation of an amount of TR SO 2 Group 1 allowances for such control period in*** E.O. 12866 Review

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Page 549 of 773 the notice of data availability issued under § 97.6 11(b)(2)(ii)(B) is covered by § 97.6 11(c)(2) or (3). (2) The Administrator will establish a separate Indian country new unit set - aside for the State for each such cont rol period. Each such Indian country new unit set - aside will be allocated TR SO 2 Group 1 allowances in an amount equal to the applicable amount of tons of SO 2 emissions as set forth in § 97.6 10(a) and will be allocated additional TR SO 2 Group 1 allowances ( if any) in accordance with § 97.6 11(c)(5). (3) The Administrator will determine, for each TR SO 2 Group 1 unit described in paragraph (b)(1) of this section, an allocation of TR SO 2 Group 1 allowances for the later of the following control periods and for ea ch subsequent control period: (i) The control period in 2012; and (ii) The first control period after the control period in which the TR SO 2 Group 1 unit commences commercial operation . (4)(i) The allocation t o each TR SO 2 annual unit described in paragraph (b)(1) (i) of this section and for each control period described in paragraph (b)(3) of this section will be an amount*** E.O. 12866 Review

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Page 550 of 773 equal to the unit’s total tons of SO 2 emissions during the immediately preceding control period. (ii) The Administrator will adjust the allocation amount in paragraph (b)(4)(i) in accordance with paragraphs (b)(5) through ( 7 ) and (12) of this section. (5) The Administrator will calculate the sum of the TR SO 2 Group 1 allowances determined for all such TR SO 2 Group 1 units under paragraph (b)(4)(i) of this section in Indian country within the borders of the State for such control period. (6) If the amount of TR SO 2 Group 1 allowances in the Indian country new unit set - aside for the State for such control period is greater than or equal to the sum under paragraph (b)(5) of this section, then the Administrator will allocate the amount of TR SO 2 Group 1 allowances determined for each such TR SO 2 Group 1 unit under paragraph (b)(4)(i) of this section. (7) If the amount of TR SO 2 Group 1 allowances in the Indian country new unit set - aside for the State for such control period is less than the sum under paragraph (b)(5) of this section, then the Administrator will allocate to each such TR SO 2 Group 1 unit the amount of the TR SO 2 Group 1 a llowances determined under paragraph (b)(4)(i) of this section for the unit, multiplied by the amount of TR SO 2 Group 1 allowances in the Indian country new*** E.O. 12866 Review

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Page 551 of 773 unit set - aside for such control period, divided by the sum under paragraph (b)(5) of this section, and rounded to the nearest allowance. (8) The Administrator will notify the public, through the promulgation of the notices of data availability described in § 97.6 11(b)(2)(i) and (ii), of the amount of TR SO 2 Group 1 allowances allocated under paragraphs ( b)( 2 ) through ( 7 ) and (12) of this section for such control period to each TR SO 2 Group 1 unit eligible for such allocation. (9) If, after completion of the procedures under paragraphs (b)(5) through (8) of this section for such control period, any unalloc ated TR SO 2 Group 1 allowances remain in the Indian country new unit set - aside for the State for such control period, the Administrator will allocate such TR SO 2 Group 1 allowances as follows -- (i) The Administrator will determine, for each unit described in paragraph (b)(1) of this section that commenced commercial operation during the period starting January 1 of the year before the year of such control period and ending November 30 of year of such control period, the positive difference (if any) between the unit’s emissions during such control period and the amount of TR SO 2 Group 1 allowances referenced in the notice of*** E.O. 12866 Review

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Page 552 of 773 data availability required under § 97.6 11(b)(2)(ii) for the unit for such control period; (ii) The Administrator will determine the sum o f the positive differences determined under paragraph (b)(9)(i) of this section; (iii) If the amount of unallocated TR SO 2 Group 1 allowances remaining in the Indian country new unit set - aside for the State for such control period is greater than or equal to the sum determined under paragraph (b)(9)(ii) of this section, then the Administrator will allocate the amount of TR SO 2 Group 1 allowances determined for each such TR SO 2 Group 1 unit under paragraph (b)(9)(i) of this section ; and (iv) If the amount of unallocated TR SO 2 Group 1 allowances remaining in the Indian country new unit set - aside for the State for such control period is less than the sum under paragraph (b)(9)(ii) of this section, then the Administrator will allocate to each such TR SO 2 Group 1 unit the amount of the TR SO 2 Group 1 allowances determined under paragraph (b)(9)(i) of this section for the unit, multiplied by the amount of unallocated TR SO 2 Group 1 allowances remaining in the Indian country new unit set aside for such control peri od, divided by the sum under*** E.O. 12866 Review

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Page 553 of 773 paragraph (b)(9)(ii) of this section, and rounded to the nearest allowance. (10) If, after completion of the procedures under paragraph s (b)(9) and (12) of this section for such control period, any unallocated TR SO 2 Group 1 al lowances remain in the Indian country new unit set - aside for the State for such control period, the Administrator will: (i) Transfer such unallocated TR SO 2 Group 1 allowances to the new unit set - aside for the State for such control period; or (ii) If the State has a SIP revision approved under § 52.39(d), (e), or (f) of this chapter covering such control period , include such unallocated TR SO 2 Group 1 allowances in the portion of the State SO 2 Group 1 trading budget that may be allocated for such control period in accordance with such SIP revision. (11) The Administrator will notify the public, through the promulgation of the notices of data availability described in § 97.6 11(b)(2)(iii) , (iv), and (v), of the amount of TR SO 2 Group 1 allowances allocated under paragraphs (b)(9), (10), and (12) for such control period to each TR SO 2 Group 1 unit eligible for such allocation.*** E.O. 12866 Review

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Page 554 of 773 (12)(i) Notwithstanding the requirements of paragraphs (b)(2) through (11) of this section, if the calculations of allocations of an Indian country new unit set - aside for a control period in a given year under paragraph (b)(7) of this section, paragraphs (b)(6) and (9)(iv) of this section, or paragraphs (b)(6), (9)(iii), and (10) of this section would otherwise result in total allocatio ns of such Indian country new unit set - aside exceeding the total amount of such Indian country new unit set aside, then the Administrator will adjust the results of the calculations under paragraph (b)(7), (9)(iv), or (10) of this section, as applicable, a s follows. The Administrator will list the TR SO 2 Group 1 units in descending order based on the amount of such units’ allocations under paragraph (b)(7), (9)(iv), or (10) of this section, as applicable, and, in cases of equal allocation amounts, in alphabetical order of the relevant source’s name and numerical order of the relevant unit’s identification number, and will reduce each unit’s allocation under paragraph (b)(7), (9)(iv), or (10) of this section, as applicable, by one TR SO 2 Group 1 allowance (but not below zero) in the order in which the units are listed and will repeat this reduction process as necessary, until the total allocations of such Indian country new unit set - aside equal the total amount of such Indian country new unit set - aside.*** E.O. 12866 Review

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Page 555 of 773 (ii ) Notwithstanding the requirements of paragraphs (b)(10) and (11) of this section, if the calculations of allocations of an Indian country new unit set - aside for a control period in a given year under paragraphs (b)(6), (9)(iii), and (10) of this section would otherwise result in a total allocations of such Indian country new unit set - aside less than the total amount of such Indian country new unit set - aside, then the Administrator will adjust the results of the calculations under paragraph (b)(10) of this section, as follows. The Administrator will list the TR SO 2 Group 1 units in descending order based on the amount of such units’ allocations under paragraph (b)(10) of this section and, in cases of equal allocation amounts, in alphabetical order of the r elevant source’s name and numerical order of the relevant unit’s identification number, and will increase each unit’s allocation under paragraph (b)(10) of this section by one TR SO 2 Group 1 allowance in the order in which the units are listed and will rep eat this increase process as necessary, until the total allocations of such Indian country new unit set - aside equal the total amount of such Indian country new unit set - aside. § 97.613 Authorization of designated representative and alternate designated representative.*** E.O. 12866 Review

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Page 556 of 773 (a) Except as provided under § 97.6 15, each TR SO 2 Group 1 source, including all TR SO 2 Group 1 units at the source, shall have one and only one designated representative, with regard to all matters under the TR SO 2 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 SO 2 Group 1 units at the source and shall act in accordance with the certification statement in § 97.6 16(a)(4)(iii). (2) Upon an d after receipt by the Administrator of a complete certificate of representation under § 97.6 16: (i) The designated representative shall be authorized and shall represent and, by his or her representations, actions, inactions, or submissions, legally bind e ach owner and operator of the source and each TR SO 2 Group 1 unit at the source in all matters pertaining to the TR SO 2 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 SO 2 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.*** E.O. 12866 Review

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Page 557 of 773 (b) Except as provided under § 97.6 15, each TR SO 2 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 auth orizing 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 SO 2 Group 1 units at the source and shall act in accordance with the certification statement in § 97.6 16(a)(4)(iii). (2) Upon and after receipt by the Administrator of a complete certificate of representation under § 97.6 16, (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 SO 2 Group 1 unit at the source shall be bound by any decision or*** E.O. 12866 Review

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Page 558 of 773 order issued to the alternate designated representative by the Administrator regarding the source or any such unit. (c) Except in this section, § 97.6 02, and §§ 97.6 14 through 97.6 18, whenever the term “designated representative” (as distinguished from the term “common designated representative”) is used in this subpart, the term shall be construed to include the designated representative or any alternate designated rep resentative. § 97.614 Responsibilities of designated representative and alternate designated representative. (a) Except as provided under § 97.6 18 concerning delegation of authority to make submissions, each submission under the TR SO 2 Group 1 Trading Prog ram shall be made, signed, and certified by the designated representative or alternate designated representative for each TR SO 2 Group 1 source and TR SO 2 Group 1 unit for which the submission is made. Each such submission shall include the following certi fication 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 l aw that I have personally examined, and am familiar with, the*** E.O. 12866 Review

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Page 559 of 773 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, includi ng the possibility of fine or imprisonment.” (b) The Administrator will accept or act on a submission made for a TR SO 2 Group 1 source or a TR SO 2 Group 1 unit only if the submission has been made, signed, and certified in accordance with paragraph (a) of this section and § 97.6 18. § 97.615 Changing designated representative and alternate designated representative; changes in owners and operators; changes in units at the source. (a) Changing designated representative . The designated representative may be changed at any time upon receipt by the Administrator of a superseding complete certificate of representation under § 97.6 16. Notwithstanding any such chan ge, all representations, actions, inactions, and submissions by the previous designated representative before the time and date when the Administrator receives the superseding certificate of*** E.O. 12866 Review

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Page 560 of 773 representation shall be binding on the new designated representat ive and the owners and operators of the TR SO 2 Group 1 source and the TR SO 2 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 Administrato r of a superseding complete certificate of representation under § 97.6 16. Notwithstanding any such change, all representations, actions, inactions, and submissions by the previous alternate designated representative before the time and date when the Admini strator 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 SO 2 Group 1 source and the TR SO 2 Group 1 units at the sou rce. (c) Changes in owners and operators . (1) In the event an owner or operator of a TR SO 2 Group 1 source or a TR SO 2 Group 1 unit at the source is not included in the list of owners and operators in the certificate of representation under § 97.6 16, 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*** E.O. 12866 Review

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Page 561 of 773 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 SO 2 Group 1 source or a TR SO 2 Group 1 unit at the source, including the addition or removal of an owner or operator, the designated representative or any alternate designated representative shall submit a revision to the certificate of representation under § 97.6 16 amending the list of owners and operators to reflect the change. (d) Changes in units at the source . Within 30 days of any change in which units are located at a TR SO 2 Group 1 source (including the addition or removal of a unit), the designated representative or any alternate designated representative shall submit a certificate of representation under § 97.6 16 amending the list of units to reflect the change. (1) If the change is the addition of a unit that operated (other than for purposes of testing by the manufacturer before ini tial installation) before being located at the source, then the certificate of representation shall identify, in a format prescribed by the Administrator, the entity from whom the unit was purchased or otherwise obtained (including name, address, telephone number, and facsimile number (if any)), the date on*** E.O. 12866 Review

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Page 562 of 773 which the unit was purchased or otherwise obtained, and the date on which the unit became located at the source. (2) If the change is the removal of a unit, then the certificate of representation shall i dentify, in a format prescribed by the Administrator, the entity to which the unit was sold or that otherwise obtained the unit (including name, address, telephone number, and facsimile number (if any)), the date on which the unit was sold or otherwise obt ained, and the date on which the unit became no longer located at the source. § 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 SO 2 Group 1 source, and each TR SO 2 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 ge nerator served by each such unit, actual or*** E.O. 12866 Review

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Page 563 of 773 projected date of commencement of commercial operation , and a statement of whether such source is located in Indian Country. If a projected date of commencement of commercial operation is provided, the actual da te of commencement of commercial operation shall be provided when such information becomes available. (2) The name, address, e -mail address (if any), telephone number, and facsimile transmission number (if any) of the designated representative and any alte rnate designated representative. (3) A list of the owners and operators of the TR SO 2 Group 1 source and of each TR SO 2 Group 1 unit at the source. (4) The following certification statements by the designated representative and any alternate designated rep resentative

— (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 SO 2 Group 1 unit at the source.” (ii) “I c ertify that I have all the necessary authority to carry out my duties and responsibilities under the TR SO 2 Group 1 Trading Program on behalf of the owners and operators of the*** E.O. 12866 Review

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Page 564 of 773 source and of each TR SO 2 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 decision or order issued to me by the Administrator regarding the source or unit.” (iii) “Where there are multiple holders of a legal or equitable title to, or a leasehold interest in, a TR SO 2 Group 1 unit, or where a utility or industrial customer purchases power from a TR SO 2 Group 1 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 wa s selected to each owner and operator of the source and of each TR SO 2 Group 1 unit at the source; and TR SO 2 Group 1 allowances and proceeds of transactions involving TR SO 2 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 SO 2 Group 1 allowances by contract, TR SO 2 Group 1 allowances and proceeds of transactions involving TR SO 2 Group 1 allowances will be deemed to be held or distributed in accordance with the contract.”*** E.O. 12866 Review

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Page 565 of 773 (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 § 97.6 16 has been submitted and received, the Administrator will rely on the cer tificate of representation unless and until a superseding complete certificate of representation under § 97.6 16 is received by the Administrator. (b) Except as provided in paragraph (a) of this section, no objection or other communication submitted to the Administrator concerning the authorization, or any representation, action, inaction, or submission, of a designated representative or alternate designated representative shall affect any representation, action, inaction, or submission of the designated repr esentative or alternate designated representative*** E.O. 12866 Review

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Page 566 of 773 or the finality of any decision or order by the Administrator under the TR SO 2 Group 1 Trading Program. (c) The Administrator will not adjudicate any private legal dispute concerning the authorization or an y representation, action, inaction, or submission of any designated representative or alternate designated representative, including private legal disputes concerning the proceeds of TR SO 2 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 a natural per son to make an electronic submission to the Administrator in accordance with paragraph (a) or (b) of this section, the designated*** E.O. 12866 Review

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Page 567 of 773 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 in this section as an “agent”); (3) For each such natural person, a list of the type or types of electronic submissions under paragraph (a) or (b) of this section for which authority is delegated to him or her; and (4) The following certification statements by such designated representative or alternate designated representative: (i) “I agree that any electronic submission to the Administrator that is made by an agent identified in this notice of delegation and of a type listed for such agent in this notice of delegation and that is made when I am a designated representative or alternate designated representative, as appropriate, and before this notice of delegation is superseded by another notice of*** E.O. 12866 Review

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Page 568 of 773 delegation under 40 CFR 97.6 18(d) shall be deemed to be an electronic submission by me.” (ii) “Until this notice of delegation is superseded by another notice of delegati on under 40 CFR 97.6 18(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 97.6 18 is terminated.”. (d) A notice of delegation submitt ed 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 Administrato r 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 enti rely 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 el ectronic submission by the*** E.O. 12866 Review

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Page 569 of 77 3 designated representative or alternate designated representative submitting such notice of delegation. § 97.6 19 [Reserved] § 97.620 Establishment of compliance accounts, assurance accounts, and general accounts. (a) Compliance accounts . Upon receipt of a complete certificate of representation under § 97.6 16, the Administrator will establish a compliance account for the TR SO 2 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) Assurance accounts. The Administrator will establish assurance accounts for certain owners and operators and States in accordance with § 97.6 25(b)( 3). (c) General accounts . (1) Application for general account. (i) Any person may apply to open a general account, for the purpose of holding and transferring TR SO 2 Group 1 allowances, by submitting to the Administrator a complete application for a*** E.O. 12866 Review

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Page 570 of 773 general account. Such application shall designate one and only one authorized account representative and may de signate 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 agreemen t binding on the persons who have an ownership interest with respect to TR SO 2 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;*** E.O. 12866 Review

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Page 571 of 773 (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 SO 2 Group 1 allowances held in the general account; (D) The fo llowing 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 app licable, by an agreement that is binding on all persons who have an ownership interest with respect to TR SO 2 Group 1 allowances held in the general account. I certify that I have all the necessary authority to carry out my duties and responsibilities unde r the TR SO 2 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 decision or order issued to me by the Administrator regarding the general acc ount.” (E) The signature of the authorized account representative and any alternate authorized account representative and the dates signed.*** E.O. 12866 Review

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Page 572 of 773 (iii) Unless otherwise required by the Administrator, documents of agreement referred to in the application for a ge neral 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 autho rized 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 applicat ion 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, legall y bind each person who has an ownership interest with respect to TR SO 2 Group 1 allowances held in the general account in all matters pertaining to the TR SO 2 Group 1 Trading Program, notwithstanding any agreement between the authorized account representat ive and such person. (B) Any alternate authorized account representative shall be authorized, and any representation, action, inaction, or*** E.O. 12866 Review

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Page 573 of 773 submission by any alternate authorized account representative shall be deemed to be a representation, action, inacti on, or submission by the authorized account representative. (C) Each person who has an ownership interest with respect to TR SO 2 Group 1 allowances held in the general account shall be bound by any decision or order issued to the authorized account represe ntative or alternate authorized account representative by the Administrator regarding the general account. (ii) Except as provided in paragraph (c)(5) of this section concerning delegation of authority to make submissions, each submission concerning the general account shall be made, signed, and certified by the authorized account representative or any alternate authorized account representative for the persons having an ownership interest with respect to TR SO 2 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 SO 2 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. B ased on my*** E.O. 12866 Review

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Page 574 of 773 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 (c)(1) of this section. Notw ithstanding 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*** E.O. 12866 Review

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Page 575 of 773 persons with an ownership interest with respect to the TR SO 2 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 (c)(1) of this section. Notwithstanding any such change, all representations, actions, inactions, and submissions by the previous altern ate 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 SO 2 Group 1 allowances in the general account. (iii)(A) In the event a person having an ownership interest with respect to TR SO 2 Group 1 allowances in the general account is not included i n 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 represen tative and any alternate authorized account representative of the account, and the decisions and*** E.O. 12866 Review

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Page 576 of 773 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 SO 2 Group 1 allowances in the general account, including the addition or removal of a person, the authorized account representative or any alternate authorized account representative shall submit a revision to the application for a general account amending the list of persons having an ownership interest with respect to the TR SO 2 Group 1 allowances in the general account to include the change. (4) Objections concerning authorized account representative and alternate authorized account representa tive. (i) Once a complete application for a general account under paragraph (c)(1) of this section has been submitted and received, the Administrator will rely on the application unless and until a superseding complete application for a general account un der paragraph (b)(1) of this section is received by the Administrator. (ii) Except as provided in paragraph (c)(4)(i) of this section, no objection or other communication submitted to the Administrator concerning the authorization, or any representation, a ction, inaction, or submission of the*** E.O. 12866 Review

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Page 577 of 773 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 SO 2 Group 1 Trading Program. (iii) The Administrator will not adjudicate any private legal dispute concerning the authorization or any r epresentation, 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 SO 2 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*** E.O. 12866 Review

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Page 578 of 773 authority to make an electronic submission to the Administrator provided for or required under this subpart. (iii) In order to delegate authority to a natural person to make an electronic submission to the Administrator in accordance with paragraph (c)(5)(i) or (ii) of this section, the authorized account representative or alternate authorized account representative, as appropriate, must submit to the Administrator a notice of delegation, in a format prescribed by the Administrator, that includes the following elements: (A) The name, address, 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 in this section as an “agent”); (C) For each such natural person, a list of the type or types of electronic submissions under paragraph (c)(5)(i) or (ii) of this section for which authority is delegated to him or her; (D) The following certification statement by such authorized account representative or alternate authorized account*** E.O. 12866 Review

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Page 579 of 773 representative: “I agree that any electronic submission to the Administrator that is made by an agent identified in this notice of delegati on 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 97.6 20(c)(5)(iv) shall be deemed to be an electronic submission by me.”; and (E) The following certification statement by such authorized account representative or alternate authorized account representative: “Until this notice of delegation is superseded by another notice of delegation under 40 CFR 97.6 20(c)(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 4 0 CFR 97.6 20(c)(5) is terminated.”. (iv) A notice of delegation submitted under paragraph (c)(5)(iii) of this section shall be effective, with regard to the authorized account representative or alternate authorized account representative identified in such notice, upon receipt of such notice by the Administrator and until receipt by the Administrator of a superseding notice of delegation submitted by such authorized account representative or alternate authorized*** E.O. 12866 Review

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Page 580 of 773 account representative, as appropriate. The superseding notice of delegation may replace any previously identified agent, add a new agent, or eliminate entirely any delegation of authority. (v) Any electronic submission covered by the certification in paragraph (c)(5)(iii)(D) of this section and made in accordance with a notice of delegation effective under paragraph (c)(5)(iv) of this section shall be deemed to be an electronic submission by the designated representative or alternate designated representative submitting such notice of delegation. (6) Closing a general account. (i) The authorized account representative or alternate authorized account representative of a general account may submit to the Administrator a request to close the account. Such request shall include a correctly submitted TR SO 2 Group 1 allowance transfer under § 97.6 22 for any TR SO 2 Group 1 allowances in the account to one or more other Allowance Management System accounts. (ii) If a general account has no TR SO 2 Group 1 allowance transfers to or from the account for a 12 -month period or longer and does not contain any TR SO 2 Group 1 allowances, the Administrator may notify the authorized account representative for the account that the account will be closed after 30 days after the notice is sent. The account will be closed after the*** E.O. 12866 Review

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Page 581 of 773 30 - day period unless, before the end of the 30 - day period, the Administrator receives a correctly submitted TR SO 2 Group 1 allowance transfer under § 97.6 22 to the account or a statement submitted by the authorized account representative or alternate authorized account representative demonstrating to the s atisfaction of the Administrator good cause as to why the account should not be closed. (d) Account identification . The Administrator will assign a unique identifying number to each account established under paragraph (a), (b), or (c) of this section. ( e ) Responsibilities of authorized account representative and alternate authorized account representative . After the establishment of a compliance account or general account, the Administrator will accept or act on a submission pertaining to the account, inc luding, but not limited to, submissions concerning the deduction or transfer of TR SO 2 Group 1 allowances in the account, only if the submission has been made, signed, and certified in accordance with §§ 97.6 14(a) and 97.6 18 or paragraphs (c)(2)(ii) and (c) (5) of this section. § 97.621 Recordation of TR SO2 Group 1 allowance allocations and auction results.*** E.O. 12866 Review

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Page 582 of 773 (a) By [INSERT DATE 90 DAYS FROM DATE OF PUBLICATION IN THE FEDERAL REGISTER], the Administrator will record in each TR SO 2 Group 1 source's compliance account the TR SO 2 Group 1 allowances allocated to the TR SO 2 Group 1 units at the source in accordance with § 97.6 11(a) for the control period in 2012. (b) By [INSERT DATE 90 DAYS FROM DATE OF PUBLICATION IN THE FEDERAL REGISTER], the Administrator will r ecord in each TR SO 2 Group 1 source's compliance account the TR SO 2 Group 1 allowances allocated to the TR SO 2 Group 1 units at the source in accordance with § 97.6 11(a) for the control period in 2013, unless the State in which the source is located notifies the Administrator in writing by [INSERT DATE 70 DAYS FROM DATE OF PUBLICATION IN THE FEDERAL REGISTER] of the State’s intent to submit to the Administrator a complete SIP revision by April 1, 2012 meeting the requirements of § 52.39(d)(1) through ( 4) of this chapter. (1) If, by April 1, 2012, the State does not submit to the Administrator such complete SIP revision, the Administrator will record by April 15, 2012 in each TR SO 2 Group 1 source's compliance account the TR SO 2 Group 1 allowances alloca ted to the TR SO 2 Group 1 units at the source in accordance with § 97.6 11(a) for the control period in 2013.*** E.O. 12866 Review

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Page 583 of 773 (2) If the State submits to the Administrator by April 1, 2012, and the Administrator approves by October 1, 2012, such complete SIP revision, the Administrator will record by October 1, 2012 in each TR SO 2 Group 1 source's compliance account the TR SO 2 Group 1 allowances allocated to the TR SO 2 Group 1 units at the source as provided in such approved, complete SIP revision for the control period in 2 013. (3) If the State submits to the Administrator by April 1, 2012, and the Administrator does not approve by October 1, 2012, such complete SIP revision, the Administrator will record by October 1, 2012 in each TR SO 2 Group 1 source's compliance account the TR SO 2 Group 1 allowances allocated to the TR SO 2 Group 1 units at the source in accordance with § 97.6 11(a) for the control period in 2013. (c) By July 1, 2013, the Administrator will record in each TR SO 2 Group 1 source's compliance account the TR SO 2 Group 1 allowances allocated to the TR SO 2 Group 1 units at the source , or in each appropriate Allowance Management System account the TR SO 2 Group 1 allowances auctioned to TR SO 2 Group 1 units , in accordance with § 97.6 11(a), or with a SIP revision approved under § 52.39(e) or (f) of this chapter, for the control period in 2014 and 2015.*** E.O. 12866 Review

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Page 584 of 773 (d) By July 1, 2014, the Administrator will record in each TR SO 2 Group 1 source's compliance account the TR SO 2 Group 1 allowances allocated to the TR SO 2 Group 1 un its at the source , or in each appropriate Allowance Management System account the TR SO 2 Group 1 allowances auctioned to TR SO 2 Group 1 units , in accordance with § 97.6 11(a), or with a SIP revision approved under § 52.39(e) or (f) of this chapter, for the co ntrol period in 2016 and 2017. (e) By July 1, 2015, the Administrator will record in each TR SO 2 Group 1 source's compliance account the TR SO 2 Group 1 allowances allocated to the TR SO 2 Group 1 units at the source , or in each appropriate Allowance Management System account the TR SO 2 Group 1 allowances auctioned to TR SO 2 Group 1 units , in accordance with § 97.6 11(a), or with a SIP revision approved under § 52.39(e) or (f) of this chapter, for the control period in 2018 and 2019. (f) By July 1, 2016 and July 1 of each year thereafter, the Administrator will record in each TR SO 2 Group 1 source's compliance account the TR SO 2 Group 1 allowances allocated to the TR SO 2 Group 1 units at the source , or in each appropriate Allowance Management System account the TR SO 2 Group 1 allowances auctioned to TR SO 2 Group 1 units , in accordance with § 97.6 11(a), or with a SIP revision approved under § 52.39(e) and (f) of this chapter, for the control period in the fourth year after the*** E.O. 12866 Review

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Page 585 of 773 year of the applicable recordation deadl ine under this paragraph. (g) By August 1, 2012 and August 1 of each year thereafter, the Administrator will record in each TR SO 2 Group 1 source's compliance account the TR SO 2 Group 1 allowances allocated to the TR SO 2 Group 1 units at the source , or in each appropriate Allowance Management System account the TR SO 2 Group 1 allowances auctioned to TR SO 2 Group 1 units , in accordance with § 97.6 12(a) (2) through (8) and (12) , or with a SIP revision approved under § 52.39(e) and (f) of this chapter, for the co ntrol period in the year of the applicable recordation deadline under this paragraph. (h) By August 1, 2012 and August 1 of each year thereafter, the Administrator will record in each TR SO 2 Group 1 source's compliance account the TR SO 2 Group 1 allowances allocated to the TR SO 2 Group 1 units at the source in accordance with § 97.6 12(b) (2) through (8) and (12) for the control period in the year of the applicable recordation deadline under this paragraph. (i) By February 15 , 201 3 and February 15 o f each year thereafter, the Administrator will record in each TR SO 2 Group 1 source's compliance account the TR SO 2 Group 1 allowances*** E.O. 12866 Review

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Page 586 of 773 allocated to the TR SO 2 Group 1 units at the source in accordance with §97. 6 12 (a)(9) through (12), for the control per iod in the year before the year of the applicable recordation deadline under this paragraph. ( j ) By the date on which any allocation or auction results , other than an allocation or auction results described in paragraphs (a) through ( i ) of this section, of TR SO 2 Group 1 allowances to a recipient is made by or are submitted to the Administrator in accordance with § 97.6 11 or § 97.6 12 or with a SIP revision approved under § 52.39(e) or (f) of this chapter, the Administrator will record such allocation or auction results in the appropriate Allowance Management System account. ( k ) When recording the allocation or auction of TR SO 2 Group 1 allowances to a TR SO 2 Group 1 unit or other entity in an Allowance Management System account, the Administrator will assign each TR SO 2 Group 1 allowance a unique identification number that will include digits identifying the year of the control period for which the TR SO 2 Group 1 allowance is allocated or auctioned . § 97.622 Submission of TR SO2 Group 1 allowance trans fers.*** E.O. 12866 Review

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Page 587 of 773 (a) An authorized account representative seeking recordation of a TR SO 2 Group 1 allowance transfer shall submit the transfer to the Administrator. (b) A TR SO 2 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 SO 2 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 SO 2 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 SO 2 Group 1 allowance tr ansfer*** E.O. 12866 Review

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Page 588 of 773 that is correctly submitted under § 97.6 22, the Administrator will record a TR SO 2 Group 1 allowance transfer by moving each TR SO 2 Group 1 allowance from the transferor account to the transferee account as specified in the transfer. (b) A TR SO 2 Group 1 allowance transfer to or from a compliance account that is submitted for recordation after the allowance transfer deadline for a control period and that includes any TR SO 2 Group 1 allowances allocated for any control period before such allowance tr ansfer deadline will not be recorded until after the Administrator completes the deductions from such compliance account under § 97.6 24 for the control period immediately before such allowance transfer deadline. (c) Where a TR SO 2 Group 1 allowance transfer is not correctly submitted under § 97.6 22, the Administrator will not record such transfer. (d) Within 5 business days of recordation of a TR SO 2 Group 1 allowance transfer under paragraphs (a) and (b) of the section, the Administrator will notify the auth orized account representatives of both the transferor and transferee accounts. (e) Within 10 business days of receipt of a TR SO 2 Group 1 allowance transfer that is not correctly submitted under*** E.O. 12866 Review

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Page 589 of 773 § 97.6 22, the Administrator will notify the authorized account representatives of both accounts subject to the transfer of: (1) A decision not to record the transfer, and (2) The reasons for such non - recordation. § 97.624 Compliance with TR SO2 Group 1 emissions limitation. (a) Availability for deduction for compliance . TR SO 2 Group 1 allowances are available to be deducted for compliance with a source's TR SO 2 Group 1 emissions limitation for a control period in a given year only if the TR SO 2 Group 1 allowances: (1) Were allocated for such control period or a control period in a prior year; and (2) Are held in the source’s compliance account as of the allowance transfer deadline for such control period. (b) Deductions for compliance . After the recordation, in accordance with § 97.6 23, of TR SO 2 Group 1 allowance transfers submitted by the allowance transfer deadline for a control period in a given year, the Administrator will deduct from each source’s compliance account TR SO 2 Group 1 allowances available under paragraph (a) of this section in order to determine*** E.O. 12866 Review

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Page 590 of 773 whether the source meets the TR SO 2 Group 1 emissions limitation for such control period, as follows: (1) Until the amount of TR SO 2 Group 1 allowances deducted equals the number of tons of total SO 2 emissions from all TR SO 2 Group 1 units at the sourc e for such control period; or (2) If there are insufficient TR SO 2 Group 1 allowances to complete the deductions in paragraph (b)(1) of this section, until no more TR SO 2 Group 1 allowances available under paragraph (a) of this section remain in the compli ance account. (c)(1) Identification of TR SO 2 Group 1 allowances by serial number . The authorized account representative for a source's compliance account may request that specific TR SO 2 Group 1 allowances, identified by serial number, in the compliance account be deducted for emissions or excess emissions for a control period in a given year in accordance with paragraph (b) or (d) of this section. In order to be complete, such request shall be submitted to the Administrator by the allowance transfer deadline for such control period and include, in a format prescribed by the Administrator, the identification of the TR SO 2 Group 1 source and the appropriate serial numbers. (2) First - in, first - out . The Administrator will deduct TR SO 2 Group 1 allowances under paragraph (b) or (d) of this section*** E.O. 12866 Review

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Page 591 of 773 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 SO 2 Group 1 allowances in such request, on a first - in, first - out accounting basis in the following order: (i) Any TR SO 2 Group 1 allowances that were allocated to the units at the source and not tr ansferred out of the compliance account, in the order of recordation; and then (ii) Any TR SO 2 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 recordatio n. (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 SO 2 Group 1 source has excess emissions, the Administrator will deduct from the source's compliance account an amount of TR SO 2 Group 1 allowances, allocated for a control period in a prior year or the control period in the year of the excess emissions or in the immediately following year , equal to two times the number of tons of the source's excess emissions.*** E.O. 12866 Review

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Page 592 of 773 (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 provi sions. (a) Availability for deduction . TR SO 2 Group 1 allowances are available to be deducted for compliance with the TR SO 2 Group 1 assurance provisions for a control period in a given year by the owners and operators of a group of one or more TR SO 2 Group 1 sources and units in a State (and Indian country within the borders of such State) only if the TR SO 2 Group 1 allowances: (1) Were allocated for a control period in a prior year or the control period in the given year or in the immediately following year ; and (2) Are held in the assurance account, established by the Administrator for such owners and operators of such group of TR SO 2 Group 1 sources and units in such State (and Indian country within the borders of such State) under paragraph (b)(3) of this section, as of the deadline established in paragraph (b)( 4 ) of this section. (b) Deductions for compliance . The Administrator will deduct TR SO 2 Group 1 allowances available under paragraph (a) of this*** E.O. 12866 Review

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Page 593 of 773 section for compliance with the TR SO 2 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, 2013 and June 1 of each year thereafter, the Administrator will: (i) Calculate, for each State (and Indian country within the borders of such State) , the total SO 2 emissions from all TR SO 2 Group 1 units at TR SO 2 Group 1 sources in the State (and Indian country within the borders of such State) during the control period in the year before the year of this calculation deadline and the amount, if any, by which such total SO 2 emissions exceed the State assurance level as described in § 97.6 06(c)(2)(iii); and (ii) Promulgate a notice of data availability of the results of the calculations required in pa ragraph (b)(1)(i) of this section, including separate calculations of the SO 2 emissions from each TR SO 2 Group 1 source. (2) For each notice of data availability required in paragraph (b)(1)(ii) of this section and for any State (and Indian country withi n the borders of such State) identified in such notice as having TR SO 2 Group 1 units with total SO 2 emissions exceeding*** E.O. 12866 Review

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Page 594 of 773 the State assurance level for a control period in a given year, as described in § 97.6 06(c)(2)(iii): (i) By July 1 immediately after the promulgation of such notice, the designated representative of each TR SO 2 Group 1 source in each such State (and Indian country within the borders of such State) shall submit a statement, in a format prescribed by the Administrator, providing for each TR SO 2 Group 1 unit (if any) at the source that operates during, but is not allocated an amount of TR SO 2 Group 1 allowances for, such control period, the unit’s allowable SO 2 emission rate for such control period and, if such rate is expressed in lb per mmBtu, the unit’s heat rate. (ii) By August 1 immediately after the promulgation of such notice, the Administrator will calculate, for each such State (and Indian country within the borders of such State) and such control period and each common designated representative for such control period for a group of one or more TR SO 2 Group 1 sources and units in the State (and Indian country within the borders of such State), the common designated representative’s share of the total SO 2 emissions from all TR SO 2 Group 1 units at TR SO 2 Group 1 sources in the State (and Indian country within the borders of such State) , the common designated representative’s assurance level, and the amount (if any) of TR SO 2 Group 1 allowances that the owners and operators of such*** E.O. 12866 Review

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Page 595 of 773 group of sources and units must hold in accordance with the calculation formula in § 97.6 06(c)(2)(i) and will promulgate a notice of data 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)(2)(ii) of this section and the calculations referenced by the relevant notice of da ta availability required in paragraph (b)(1)(i) of this section. (A) Objections shall be submitted by the deadline specified in such notice and shall be limited to addressing whether the calculations referenced in the relevant notice required under parag raph (b)(1)(ii) of this section and referenced in the notice required under paragraph (b)(2)(ii) of this section are in accordance with § 97.6 06(c)(2)(iii), §§ 97.6 06(b) and 97.6 30 through 97.6 35, the definitions of “common designated representative”, “commo n designated representative’s assurance level”, and “common designated representative’s share” in § 97.6 02, and the calculation formula in § 97.6 06(c)(2)(i). (B) The Administrator will adjust the calculations to the extent necessary to ensure that they are i n accordance with the*** E.O. 12866 Review

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Page 596 of 773 provisions referenced in paragraph (b)(2)(iii)(A) of this section. By October 1 immediately after the promulgation of such notice, the Administrator will promulgate a notice of data availability of any adjustments that the Administra tor determines to be necessary and the reasons for accepting or rejecting any objections submitted in accordance with paragraph (b)(2)(iii)(A) of this section. (3) For any State (and Indian country within the borders of such State) referenced in each notic e of data availability required in paragraph (b)(2)(iii)(B) of this section as having TR SO 2 Group 1 units with total SO 2 emissions exceeding the State assurance level for a control period in a given year, the Administrator will establish one assurance acc ount for each set of owners and operators referenced , in the notice of data availability required under paragraph (b)(2)(iii)(B) of this section, as all of the owners and operators of a group of TR SO 2 Group 1 sources and units in the State (and Indian country within the borders of such State) having a common designated representative for such control period and as being required to hold TR SO 2 Group 1 allowances. (4)(i) As of midnight of November 1 immediately after the promulgation of each notice of data availability required in paragraph (b)(2)(iii)(B) of this section, the owners and*** E.O. 12866 Review

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Page 597 of 773 operators described in paragraph (b)(3) of this section shall hold in the assurance account established for the them and for the appropriate TR SO 2 Group 1 sources, TR S O 2 Group 1 units, and State (and Indian country within the borders of such State) under paragraph (b)(3) of this section a total amount of TR SO 2 Group 1 allowances, available for deduction under paragraph (a) of this section, equal to the amount such owne rs and operators are required to hold with regard to such sources, units and State (and Indian country within the borders of such State) as calculated by the Administrator and referenced in such notice. (ii) Notwithstanding the allowance - holding deadline specified in paragraph (b)(4)(i) of this section, if November 1 is not a business day, then such allowance - holding deadline shall be midnight of the first business day thereafter. (5) After November 1 (or the date described in paragraph (b)(4)(ii) of this section) immediately after the promulgation of each notice of data availability required in paragraph (b)(2)(iii)(B) of this section and after the recordation, in accordance with § 97.6 23, of TR SO 2 Group 1 allowance transfers submitted by midnight of such date, the Administrator will determine whether the owners and operators described in paragraph (b)(3) of this section hold, in the assurance account for the appropriate TR SO 2 Group 1 sources, TR SO 2 Group 1 units,*** E.O. 12866 Review

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Page 598 of 773 and State (and Indian country within the borders of such State) established under paragraph (b)(3) of this section, the amount of TR SO 2 Group 1 allowances available under paragraph (a) of this section that the owners and operators are required to hold with regard t o such sources, units, and State (and Indian country within the borders of such State) as calculated by the Administrator and referenced in the notice required in paragraph (b)(2)(iii)(B) of this section. (6) Notwithstanding any other provision of this subpart and any revision, made by or submitted to the Administrator after the promulgation of the notice of data availability required in paragraph (b)(2)(iii)(B) of this section for a control period in a given year, of any data used in making the calculation s referenced in such notice, the amounts of TR SO 2 Group 1 allowances that the owners and operators are required to hold in accordance with § 97.6 06(c)(2)(i) for such control period shall continue to be such amounts as calculated by the Administrator and re ferenced in such notice required in paragraph (b)(2)(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*** E.O. 12866 Review

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Page 599 of 773 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 SO 2 Group 1 allowances that owners and operators are required to hold in accordance with the calculation formula in § 97.6 06(c)(2)(i) for such control period with regard to the TR SO 2 Group 1 sources, TR SO 2 Group 1 units, and State (and Indian country within the b orders of such State) involved, provided that such litigation under part 78 of this chapter, or the proceeding under part 78 of this chapter that resulted in the decision appealed in such litigation under section 307 of the Clean Air Act, was initiated no later than 30 days after promulgation of such notice required in paragraph (b)(2)(iii)(B) of this section. (ii) If any such data are revised by the owners and operators of a TR SO 2 Group 1 source and TR SO 2 Group 1 unit whose designated representative submitted such data under paragraph (b)(2)(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 SO 2 Group 1 allowances that owners and operators are required to hold in accordance with the calculation formula in § 97.6 06(c)(2)(i) for such control period with regard to the TR SO 2 Group 1 sources, TR SO 2 Group 1 units, and State (and Indian*** E.O. 12866 Review

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Page 600 of 773 country within the borders of such S tate) involved, provided that such litigation was initiated no later than 30 days after promulgation of such notice required in paragraph (b)(2)(iii)(B) of this section. (iii) If the revised data are used to recalculate, in accordance with paragraphs (b)(6 )(i) and (ii) of this section, the amount of TR SO 2 Group 1 allowances that the owners and operators are required to hold for such control period with regard to the TR SO 2 Group 1 sources, TR SO 2 Group 1 units, and State (and Indian country within the borders of such State) involved

— (A) Where the amount of TR SO 2 Group 1 allowances that the owners and operators are required to hold increases as a result of the use of all such revised data, the Administrator will establish a new, reasonable deadline on whi ch the owners and operators shall hold the additional amount of TR SO 2 Group 1 allowances in the assurance account established by the Administrator for the appropriate TR SO 2 Group 1 sources, TR SO 2 Group 1 units, and State (and Indian country within the borders of such State) under paragraph (b)(3) of this section. The owners’ and operat o rs’ 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’ and operators’ failure to hold such additional amount, as required, as of the new deadline shall be*** E.O. 12866 Review

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Page 601 of 773 a violation of the Clean Air Act. Each TR SO 2 Group 1 allowance that the owners and operators fail to hold as required as of the new deadline, and each day in such control period, shall be a separate violation of the Clean Air Act. (B) For the owners and operators for which the amount of TR SO 2 Group 1 allowances required to be held decreases as a result of the use of all such revised data, the Administ rator will record, in all accounts from which TR SO 2 Group 1 allowances were transferred by such owners and operators for such control period to the assurance account established by the Administrator for the appropriate at TR SO 2 Group 1 sources, TR SO 2 Gr oup 1 units, and State (and Indian country within the borders of such State) under paragraph (b)(3) of this section, a total amount of the TR SO 2 Group 1 allowances held in such assurance account equal to the amount of the decrease. If TR SO 2 Group 1 allowances were transferred to such assurance account from more than one account, the amount of TR SO 2 Group 1 allowances recorded in each such transferor account will be in proportion to the percentage of the total amount of TR SO 2 Group 1 allowances transferr ed to such assurance account for such control period from such transferor account. (C) Each TR SO 2 Group 1 allowance held under paragraph (b)(6)(iii)(A) of this section as a result of recalculation of*** E.O. 12866 Review

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Page 602 of 773 requirements under the TR SO 2 Group 1 assurance provi sions for such control period must be a TR SO 2 Group 1 allowance allocated for a control period in a year before or the year immediately following, or in the same year as, the year of such control period . § 97.626 Banking. (a) A TR SO 2 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 SO 2 Group 1 allowance that is held in a compliance account or a general account will remain in such account unless and until the TR SO 2 Group 1 allowance is deducted or transferred under § 97.6 11(c), § 97.6 23, § 97.6 24, § 97.6 25, 97.6 27, or 97.6 28. § 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.*** E.O. 12866 Review

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Page 603 of 773 (a) The Administrator may review and conduct independent audits concerning any submission under the TR SO 2 Group 1 Trading Program and make appropriate adjustments of the information in the submission. (b) The Administrator may deduct TR SO 2 Group 1 allowances from or transfer TR SO 2 Group 1 allowances to a compliance account or an assurance 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 [RESER

VED] § 97.630 General monitoring, recordkeeping, and reporting requirements. The owners and operators, and to the extent applicable, the designated representative, of a TR SO 2 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 § 97.6 02 and in §72.2 of this chap ter 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 SO 2 Group 1 unit,“ “designated representative,” and “conti nuous*** E.O. 12866 Review

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Page 604 of 773 emission monitoring system” (or “CEMS”) respectively as defined in § 97.6 02, and the term “newly affected unit” shall be deemed to mean “newly affected TR SO 2 Group 1 unit”. The owner or operator of a unit that is not a TR SO 2 Group 1 unit but that i s monitored under §75.16(b)(2) of this chapter shall comply with the same monitoring, recordkeeping, and reporting requirements as a TR SO 2 Group 1 unit. (a) Requirements for installation, certification, and data accounting . The owner or operator of each TR SO 2 Group 1 unit shall: (1) Install all monitoring systems required under this subpart for monitoring SO 2 mass emissions and individual unit heat input (including all systems required to monitor SO 2 concentration, stack gas moisture content, stack gas flow rate, CO 2 or O 2 concentration, and fuel flow rate, as applicable, in accordance with §§75.11 and 75.16 of this chapter); (2) Successfully complete all certification tests required under § 97.6 31 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*** E.O. 12866 Review

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Page 605 of 773 (3) Record, report, and quality- assure the data from the monitoring systems under paragraph (a)(1) of this section.
(b) Compliance deadlines . Except as p rovided 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 and 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 SO 2 Group 1 unit that commences commercial operation before July 1, 2011, Janua ry 1, 2012. (2) For the owner or operator of a TR SO 2 Group 1 unit that commences commercial operation on or after July 1, 2011, by the later of the following : (i) January 1, 2012; or (ii) 180 calendar days after the date on which the unit commences commercial operation.*** E.O. 12866 Review

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Page 606 of 773 (3) The owner or operator of a TR SO 2 Group 1 unit for which construction of a new stack or flue or installation of add- on SO 2 emission controls is completed after the applicable deadline under paragraph (b)(1) or (2) of this section shall meet the requirements of §§75. 4(e)(1) through (e)(4) of this chapter, except that: (i) Such requirements shall apply to the monitoring systems required under § 97.630 through § 97.635, rather than the monitoring systems required under part 75 of this chapter; (ii) SO 2 concentration, stack gas moisture content, stack gas volumetric flow rate, and O 2 or CO 2 concentration data shall be determined and reported, rather than the data listed in §75. 4(e)(2) of this chapter; and (iii) Any petition for another procedure under §75. 4(e)(2) of this chapter shall be submitted under § 97.635, rather than §75 .66. (c) Reporting data . The owner or operator of a TR SO 2 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 SO 2 concentration,*** E.O. 12866 Review

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Page 607 of 773 stack gas flow rate, stack gas moisture content, fuel flow rate, and any other parameters required to determine SO 2 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 SO 2 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 SO 2 Group 1 unit shall operate the unit so as to discharge, or allow to be discharged, SO 2 to the atmosphere without accounting for all such SO 2 in accordance with the applicable provisions of this subpart and part 75 of this chapter. (3) No owner or operator of a TR SO 2 Group 1 unit shall disrupt the continuous emission monitoring system, any portion thereof, or any other approved emission monit oring method, and thereby avoid monitoring and recording SO 2 mass discharged into the atmosphere or heat input, except for periods of recertification or periods when calibration, quality assurance testing, or*** E.O. 12866 Review

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Page 608 of 773 maintenance is performed in accordanc e with the applicable provisions of this subpart and part 75 of this chapter. (4) No owner or operator of a TR SO 2 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 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.O. 12866 Review

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Page 609 of 773 (e) Long - term cold storage . The owner or operator of a TR SO 2 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 SO 2 Group 1 unit shall be exempt from the initial certification requirements of this section for a monitoring system under § 97.6 30(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 § 97.6 30(a)(1) that is exempt from initial certification requirements under paragraph (a ) of this section.*** E.O. 12866 Review

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Page 610 of 773 (c) [Reserved] (d) Except as provided in paragraph (a) of this section, the owner or operator of a TR SO 2 Group 1 unit shall comply with the following initial certification and recertification procedures, for a continuous monitoring sy stem (i.e., a continuous emission monitoring system and an excepted monitoring system under appendix D to part 75 of this chapter) under § 97.6 30(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 cer tification. The owner or operator shall ensure that each continuous monitoring system under § 97.6 30(a)(1) (including the automated data acquisition and handling system) successfully completes all of the initial certification testing required under §75.20 o f this chapter by the applicable deadline in § 97.6 30(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*** E.O. 12866 Review

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Page 611 of 773 cert ification 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 § 97.6 30(a)(1) that may significantly affect the ability of the system to accurately measure or record SO 2 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 chapt er, 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 pr obe or site. Any fuel flowmeter system under § 97.6 30(a)(1) is subject to the recertification*** E.O. 12866 Review

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Page 612 of 773 requirements in §75.20(g)(6) of this chapter. (3) Approval process for initial certification and recertification. For initial certification of a continuous moni toring system under § 97.6 30(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 § 97.6 33. (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 specif ied in §75.63 of*** E.O. 12866 Review

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Page 613 of 773 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 SO 2 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 doe s 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 wi ll 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*** E.O. 12866 Review

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Page 614 of 773 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 SO 2 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 dat e 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 Administ rator may issue a notice of disapproval under paragraph (d)(3)(iv)(C) of this section.*** E.O. 12866 Review

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Page 615 of 773 (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) o f 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 Adminis trator may issue a notice of disapproval of the certification status of a monitor in accordance with § 97.6 32(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:*** E.O. 12866 Review

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Page 616 of 773 (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 SO 2 pollutant concentration monitor and disapproved flow monitor, respectively, the maximum potential concentration of SO 2 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) Fo r a disapproved moisture monitoring system and disapproved diluent gas monitoring system, respectively, the minimum potential moisture percentage and either the maximum potential CO 2 concentration or the minimum potential O 2 concentration (as applicable), as defined in sections 2.1.5, 2.1.3.1, and 2.1.3.2 of appendix A to part 75 of this chapter. (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.*** E.O. 12866 Review

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Page 617 of 773 (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 o ther 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 quali fied 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 elec ts 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 o r operator intends to use an alternative monitoring system approved by the Administrator under subpart E of part 75*** E.O. 12866 Review

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Page 618 of 773 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 appl icable 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 monito ring system should not have been certified or recertified because it did not meet a particular performance specification or other requirement under § 97.6 31 or the applicable provisions of part 75 of this chapter, both at the time of the initial certificati on 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 audi t or an audit of any information submitted to the Administrator or any State or permitting authority. By issuing*** E.O. 12866 Review

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Page 619 of 773 the notice of disapproval, the Administrator revokes prospectively the certification status of the monitoring system. The data measured and r ecorded 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 § 97.6 31 for each disapproved monitoring system. § 97.633 Notifications concerning monitoring. The designated representative of a TR SO 2 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 sha ll comply with all recordkeeping and reporting requirements in paragraphs (b) through (e) of 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 SO 2 Group 1*** E.O. 12866 Review

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Page 620 of 773 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 af ter 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 SO 2 mass emissions data and heat input data for the TR SO 2 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; or (ii) For a unit that commences commercial operation on or after July 1, 2011, the calendar quarter corresponding to the e arlier of the date of provisional certification or the applicable deadline for initial certification under §97.630(b), unless that*** E.O. 12866 Review

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Page 621 of 773 quarter is the third or fourth quarter of 2011, in which case reporting shall commence in the quarter covering January 1, 201 2 through March 31, 2012. (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 SO 2 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 SO 2 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 repor t 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.*** E.O. 12866 Review

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Page 622 of 773 (i) The Administrator will notify the designated representative of any determinatio n 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*** E.O. 12866 Review

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Page 623 of 773 a fo rmat 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 sta te 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 SO 2 emissio n controls and for all hours where SO 2 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 SO 2 emissions. § 97.635 Petitions for alternatives to monitoring, recordkeeping, or reporting requirements. (a) The designated representative of a TR SO 2 Group 1 unit may submit a petition under §75.66 of this chapter to the*** E.O. 12866 Review

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Page 624 of 773 Administrator, requesting approval to apply an alternative to any requirement of §§ 97.6 30 through 97.6 34. (b) A petition submitted under paragraph (a) of this section shall include sufficie nt 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 lie u 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 propo sed 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*** E.O. 12866 Review

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Page 625 of 773 only to the extent that the petition is approved in writing by the Administrator and that such use is in accordance with such approval. 77. Part 97 is amended by adding subpart DDDDD to read as follows: Subpart DDDDD—TR SO2 Group 2 Trading Program 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 SO 2 Group 2 trading budgets, new unit set asides, Indian country new unit set - asides and variability limits.*** E.O. 12866 Review

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Page 626 of 773 97.711 Timing requirements for TR SO 2 Group 2 allowance allocations. 97.712 TR SO 2 Group 2 allowance allocations to new units. 97.713 Authorization of designated representative and alternate designated representative. 97.714 Responsibilities of designa ted 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 compliance accounts and general accounts. 97.721 Recordation of TR SO 2 Group 2 allowance allocations. 97.722 Submission of TR SO 2 Group 2 allowance transfers.*** E.O. 12866 Review

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Page 627 of 773 97.723 Recordation of TR SO 2 Group 2 allowance transfers. 97.724 Compliance with TR SO 2 Group 2 emissions limitation. 97.725 Compliance with TR SO 2 Group 2 a ssurance 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 recert ification 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. Subpart DDDDD—TR SO2 Group 2 Trading Program § 97.701 Purpose.*** E.O. 12866 Review

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Page 628 of 773 This subpart sets forth the general, designated representative, allowance, and monitoring provisions for the Transport Rule (TR) SO 2 Group 2 Trading Program, under section 11 0 of the Clean Air Act and § 52.39 of this chapter, as a means of mitigating interstate transport of fine particulates and sulfur dioxide. § 97.702 Definitions. The terms used in this subpart shall have the meanings set forth in this section as follows:
Ac id Rain Program means a multi - state SO 2 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 determined by the Administrator ) of the United States Environmental Protection Agency, the Administrator's duly authorized representative unde r this subpart. Allocate or allocation means, with regard to TR SO 2 Group 2 allowances, the determination by the Administrator , State, or permitting authority , in accordance with this subpart and any*** E.O. 12866 Review

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Page 629 of 773 SIP revision submitted by the State and approved by the Administrator under § 52.39 ( g ) , (h), or (i) of this chapter, of the amount of such TR SO 2 Group 2 allowances to be initially credited, at no cost to the recipient, to: (1) A TR SO 2 Group 2 unit; (2) A new unit set - aside; (3) An Indian country new unit set - a side; or (4) An entity not listed in paragraphs (1) through (3) of this definition; (5) Provided that, if the Administrator , State , or permitting authority initially credits, to a TR SO 2 Group 2 unit qualifying for an initial credit, a credit in the amount of zero TR SO 2 Group 2 allowances, the TR SO 2 Group 2 unit will be treated as being allocated an amount (i.e., zero) of TR SO 2 Group 2 allowances. Allowable SO 2 emission rate means, for a unit, the most stringent State or federal SO 2 emission rate limit (in lb/MWhr or, if in lb/mmBtu, converted to lb/MWhr by multiplying it by the unit’s heat rate in mmBtu/MWhr) that is applicable to the unit and covers the longest averaging period not exceeding one year.*** E.O. 12866 Review

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Page 630 of 773 Allowance Management System means the system by which the Administrator records allocations, deductions, and transfers of TR SO 2 Group 2 allowances under the TR SO 2 Group 2 Trading Program. Such allowances are allocated, recorded, held, deducted, or transferred only as whole allowan ces. 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 SO 2 Group 2 allowances. Allowance transfer deadl ine means, for a control period in a given year, 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 SO 2 Group 2 allowance transfer must be submitted for recordation in a TR SO 2 Group 2 source's compliance account in order to be available for use in complying with the source's TR SO 2 Group 2 emissions limitation for such control period in accordance with §§ 97.706 and 97.724. Alternate designated representative means, for a TR SO 2 Group 2 source and each TR SO 2 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*** E.O. 12866 Review

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Page 631 of 773 subpart, to act on behalf of the designated representative in matters pertaining to the TR SO 2 Group 2 Trading Program. If the TR SO 2 Group 2 source is also subject to the Acid Rain Program, TR NOX Annual Trading Program, or TR NOX Ozone Se ason Trading Program, then this natural person shall be the same natural person as the alternate designated representative, as defined in the respective program.
Assurance account means an Allowance Management System account, established by the Administrator under §97.725(b)(3) for certain owners and operators of a group of one or more TR SO 2 Group 2 sources and units in a given State (and Indian country within the borders of such State) , in which are held TR SO 2 Group 2 allowances available for use for a control period in a given year in complying with the TR SO 2 Group 2 assurance provisions in accordance with §§97.706 and 97.725. Authorized account representative means, for a ge neral account, the natural person who is authorized, in accordance with this subpart, to transfer and otherwise dispose of TR SO 2 Group 2 allowances held in the general account and, for a TR SO 2 Group 2 source’s compliance account, the designated represent ative of the source.*** E.O. 12866 Review

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Page 632 of 773 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 indivi dual 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*** E.O. 12866 Review

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Page 633 of 773 (ii) A wood material, including pallets, crates, dunnage, manufacturing and construction materials (other than pressure treated, chemically- treated, or painted wood products), and landscape or right - of -way tree trimmings. Boiler means an enclosed fossil - or other - fuel - fired combustion device used to produce heat and to transfer heat to recirculating water, steam, or other medium. Bottoming - cycle unit means a unit in which the energy input to the unit is first used to produce useful thermal energy, where at least some of the reject heat from the useful thermal energy application or process is then used for electricity production. Business day means a day that does not fall on a weekend or a federal holiday. Certifying official means a natu ral person who is: (1) For a corporation, a president, secretary, treasurer, or vice -president o f 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*** E.O. 12866 Review

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Page 634 of 773 (3) For a local government entity or State, federal, or other public agency, a principal executive officer or ranking elected official. Clean Air Act means the Clean Air Act, 42 U.S.C. 7401, et seq. Coal means “coal” as defined in §72.2 of this chapter. Coal - derived fuel means any fuel (whether in a solid, liquid, or gaseous state) produced by the mechanical, thermal, or chemical processing of coal. 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 elect ricity through the sequential use of energy. Cogeneration unit means a stationary, fossil - fuel - fired boiler or stationary, fossil - fuel - fired combustion turbine that is a topping - cycle unit or a bottoming - cycle unit: (1) Operating as part of a cogeneration system; and (2) Producing on an annual average basis

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Page 635 of 773 (A) Useful thermal energy not less than 5 percent of total energy output; and (B) Useful power that, when added to one - half of useful thermal energy produced, is not less than 42.5 percent of total energy input, if useful thermal energy produced is 15 percent or more of total energy output, or not less than 45 percent of total energy input, if useful thermal energy produced is less than 15 percent of total energy output. ( ii) For a bottoming - cycle unit, useful power not less than 45 percent of total energy input; (3) Provided that the requirements in paragraph (2) of this definition shall not apply to a calendar year referenced in paragraph (2) of this definition during whi ch the unit did not operate at all; (4) Provided that the total energy input under paragraphs (2)(i)(B) and (2)(ii) of this definition shall equal the unit's total energy input from all fuel, except biomass if the unit is a boiler; and (5) Provided that, i f, throughout its operation during the 12 - month period or a calendar year referenced in paragraph (2) of this definition, a unit is operated as part of a cogeneration*** E.O. 12866 Review

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Page 636 of 773 system and the cogeneration system meets on a system-wide basis the requirement in paragr aph (2)(i)(B) or (2)(ii) of this definition, the unit shall be deemed to meet such requirement during that 12 -month period or calendar year. Combustion turbine means an enclosed device comprising: (1) If the device is simple cycle, a compressor, a combust or, 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 an y 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 §97.705. (i) For a unit that is a TR SO 2 Group 2 unit under §97.704 on the later of January 1, 2005 or the date the unit commences commercial operation as defined in the introductory text of paragraph (1) of this defi nition and that subsequently undergoes a physical change or is moved to a new location or source, such*** E.O. 12866 Review

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Page 637 of 773 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 SO 2 Group 2 unit under §97.704 on the later of January 1, 2005 or the date the unit commences commercial operation as defined in the introductory text of paragraph (1) of this definition and that is subsequently replaced by a unit at the same or a different source, such date shall remain the replaced unit's date of commencement of commercial operation, and the replacement unit shall be treated as a separate unit with a separate date for commencement of commercial operation as defined in paragraph ( 1) or (2) of this definition as appropriate. (2) Notwithstanding paragraph (1) of this definition and except as provided in §97.705, for a unit that is not a TR SO 2 Group 2 unit under §97.704 on the later of January 1, 2005 or the date the unit commences c ommercial 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 SO 2 Group 2 unit under §97.704.*** E.O. 12866 Review

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Page 638 of 773 (i) For a unit with a date fo r commencement of commercial operation as defined in the introductory text of paragraph (2) of this definition and that subsequently undergoes a physical change or is moved to a different location or source, such date shall remain the date of commencement of commercial operation of the unit, which shall continue to be treated as the same unit. (ii) For a unit with a date for commencement of commercial operation as defined in the introductory text of paragraph (2) of this definition and that is subsequently replaced by a unit at the same or a different source, such date shall remain the replaced unit's date of commencement of commercial operation, and the replacement unit shall be treated as a separate unit with a separate date for commencement of commercial operation as defined in paragraph (1) or (2) of this definition as appropriate. Common designated representative means , with regard to a control period in a given year, a designated representative where , as of April 1 immediately after the allowance transf er deadline for such control period, the same natural person is authorized under §§97.713(a) and 97.715(a) as the designated representative for a group of one or more TR SO 2 Group 2 sources and units located in a State (and Indian country within the borders of such State) .*** E.O. 12866 Review

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Page 639 of 773 Common designated representative’s assurance level means, with regard to a specific common designated representative and a State (and Indian country within the borders of such State) and control perio d in a given year for which the State assurance level is exceeded as described in §97.706(c)(2)(iii), the common designated representative’s share of the State SO 2 Group 2 trading budget with the variability limit for the State for such control period. C ommon designated representative’s share means, with regard to a specific common designated representative for a control period in a given year : (1) With regard to a total amount of SO 2 emissions from all TR SO 2 Group 2 units in a State (and Indian country within the borders of such State) during such control period, the total tonnage of SO 2 emissions during such control period from a group of one or more TR SO 2 Group 2 units located in such State (and such Indian country) and having the common designated representative for such control period; (2) With regard to a State SO 2 Group 2 trading budget for such control period, the amount (rounded to the nearest allowance) equal to the sum of the total amount of TR SO 2 Group 2 allowances allocated for such control period to a group of one or more TR*** E.O. 12866 Review

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Page 640 of 773 SO 2 Group 2 units located in the State (and Indian country within the borders of such State) and having the common designated representative for such control period and of the total amount of TR SO 2 Group 2 allowances purchased by an owner or operator of such TR SO 2 Group 2 units in an auction for such control period and submitted by the State or the permitting authority to the Administrator for recordation in the compliance accounts for such TR SO 2 Group 2 units in accordance with the TR SO 2 Group 2 allowance auction provisions in a SIP revision approved by the Administrator under § 52.39(h) or (i) of this chapter, multiplied by the sum of the State SO 2 Group 2 trading budget under §97.710(a) and the State’s variability limit under §97.710(b) for such control period and divided by such State SO 2 Group 2 trading budget; (3) Provided that, in the case of a unit that operates during, but has no amount of TR SO 2 Group 2 allowances allocated under §§97.711 and 97.712 for, such 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 SO 2 Group 2 allowances for such control period equal to the unit’s allowable SO 2 emission rate applicable to such control period, multiplied by a capacity factor of 0. 85 (if the unit is a boiler combusting any amount of coal or coal - derived fuel during such*** E.O. 12866 Review

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Page 641 of 773 control period), 0. 2 4 (if the unit is a simple combustion turbine duri ng such control period), 0. 67 (if the unit is a combined cycle turbine during such control period), 0. 74 (if the unit is an integrated coal gasification combined cycle unit during such control period), or 0. 36 (for any other unit), 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 . 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 SO 2 Group 2 source under this subpart, in which any TR SO 2 Group 2 allowance allocations to the TR SO 2 Group 2 units at the source are recorded and in which are held any TR SO 2 Group 2 allowances available for use for a control period in a given year in complying with the source's TR SO 2 Group 2 emissions limitation in accordance with §§97.706 and 97.724. Continuous emission monitoring system or CEMS means the equipment require d 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*** E.O. 12866 Review

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Page 642 of 773 and handling system (DAHS), a permanent record of SO 2 emissions, stack gas volumetric flow r ate, stack gas moisture content, and O 2 or CO 2 concentration (as applicable), in a manner consistent with part 75 of this chapter and §§97.730 through 97.735. The following systems are the principal types of continuous emission monitoring systems: (1) A f low 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 SO 2 monitoring system, consisting of a SO 2 pollutant concentration monitor and an automated data acquisition and handling system and providing a permanent, continuous record of SO 2 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 H 2 O; (4) A CO 2 monitoring system, consisting of a CO 2 pollutant concentration monitor (or an O 2 monitor plus suitable mathematical equati ons from which the CO 2 concentration is derived) and an automated data acquisition and handling system*** E.O. 12866 Review

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Page 643 of 773 and providing a permanent, continuous record of CO 2 emissions, in percent CO 2 ; and (5) An O 2 monitoring system, consisting of an O 2 concentration monitor and an automated data acquisition and handling system and providing a permanent, continuous record of O 2 , in percent O 2 . Control period means the period starting January 1 of a calendar year, except as provided in §97.706(c)(3), and ending on December 31 of the same year, inclusive. Designated representative means, for a TR SO 2 Group 2 source and each TR SO 2 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 SO 2 Group 2 Trading Program. If the TR SO 2 Group 2 source is also subject to the Acid Rain Program, TR NO X 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 the respective program. Emissions means air pollutants exhausted from a unit or source into the atmosphere, as measured , recorded, and reported to the*** E.O. 12866 Review

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Page 644 of 773 Administrator by the designated representative, and as modified by the Administrator: (1) In accordance with this subpart; and (2) With regard to a period before the unit or source is required to measure, record, and report such air pollutants in accordance with this subpart, in accordance with part 75 of this chapter. Excess emissions means any ton of emissions from the TR SO 2 Group 2 units at a TR SO 2 Group 2 source during a control period in a given year that exceeds the TR SO 2 Group 2 emissions limitation for the source for such control period. Fossil fuel means— (1) Natural gas, petroleum, coal, or any form of solid, liquid, or gaseous fuel derived from such material; or (2) For purposes of applying the limitation on “ave rage annual fuel consumption of fossil fuel” in §§97.704(b)(2)(i)(B) and (ii), natural gas, petroleum, coal, or any form of solid, liquid, or gaseous fuel derived from such material for the purpose of creating useful heat.*** E.O. 12866 Review

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Page 645 of 773 Fossil - fuel - fired means, with regard to a unit, combusting any amount of fossil fuel in 2005 or any calendar year thereafter. General account means an Allowance Management System account, established under this subpart, that is not a compliance account or an assurance account. Generator means a device that produces electricity. Gross electrical output means, for 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 processi ng or treatment of fuel combusted at the unit and any on - site emission controls). Heat input means, for a unit for a specified period of time, the product (in mmBtu/time) of the gross calorific value of the fuel (in mmBtu/lb) fed into the unit multiplied b y the fuel feed rate (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 combusti on air, recirculated flue gases, or exhaust. Heat input rate means, for a unit, the amount of heat input (in mmBtu) divided by unit operating time (in hr) or, for a unit and*** E.O. 12866 Review

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Page 646 of 773 a specific fuel, the amount of heat input attributed to the fuel (in mmBtu) divide d by the unit operating time (in hr) during which the unit combusts the fuel.
Heat rate means, for a unit, the unit’s maximum design heat input (in Btu/hr), divided by the product of 1,000,000 Btu/mmBtu and the unit’s maximum hourly load. Indian country me ans “Indian country” as defined in 18 U.S.C. 1151 . Life 

### - of - the - unit, firm power contractual arrangement means a unit participation power sales agreement under which a utility or industrial customer reserves, or is entitled to receive, a specified amount or percentage of nameplate capacity and associated energy generated by any specified unit and pays its proportional amount of such unit's total costs, pursuant to a contract: (1) For the life of the unit; (2) For a cumulative term of no less than 30 years, including contracts that permit an election for early termination; or (3) For a period no less than 25 years or 70 percent of the economic useful life of the unit determined as of the time the unit is built, with option rights to purchase or release some*** E.O. 12866 Review

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Page 647 of 773 p ortion of the nameplate capacity and associated energy generated by the unit at the end of the period. Maximum design heat input means, for a unit, the maximum amount of fuel per hour (in Btu/hr) that the unit is capable of combusting on a steady state bas is 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 monitor ing system, or an excepted monitoring system under part 75 of this chapter. Nameplate capacity means, starting from the initial installation of a generator, the maximum electrical generating output (in MWe, rounded to the nearest tenth) that the generator is capable of producing on a steady state basis and during continuous operation (when not restricted by seasonal or other deratings) as of such installation as specified by the manufacturer of the generator or, starting from the completion of any subsequen t physical change in the generator resulting in an increase in the maximum electrical generating output that the generator is capable of producing on a steady state basis and during continuous operation (when not restricted by seasonal or other*** E.O. 12866 Review

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Page 648 of 773 deratings), such increased maximum amount (in MWe, rounded to the nearest tenth) as of such completion as specified by the person conducting the physical change. Natural gas means “natural gas” as defined in §72.2 of this chapter. Newly affected TR SO 2 Group 2 unit means a unit that was not a TR SO 2 Group 2 unit when it began operating but that thereafter becomes a TR SO 2 Group 2 unit. Operate or operation means, with regard to a unit, to combust fuel. Operator means, for a TR SO 2 Group 2 source or a TR SO 2 Group 2 unit at a source respectively, any person who operates, controls, or supervises a TR SO 2 Group 2 unit at the source or the TR SO 2 Group 2 unit and shall include, but not be limited to, any holding company, utility system, or plant manager of such source or unit . Owner means, for a TR SO 2 Group 2 source or a TR SO 2 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 SO 2 Group 2 unit at the source or the TR SO 2 Group 2 unit;*** E.O. 12866 Review

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Page 649 of 773 (2) Any holder of a leasehold interest in a TR SO 2 Group 2 unit at the source or the TR SO 2 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 e quitable interest through such lessor, whose rental payments are not based (either directly or indirectly) on the revenues or income from such TR SO 2 Group 2 unit; and (3) Any purchaser of power from a TR SO 2 Group 2 unit at the source or the TR SO 2 Group 2 unit under a life - of - the - unit, firm power contractual arrangement. Permanently retired means, with regard to a unit, a unit that is unavailable for service and that the unit’s owners and operators do not expect to return to service in the future . Permitting authority means “permitting authority” as defined in §§70.2 and 71.2 of this chapter. Potential electrical output capacity means, for a unit, 33 percent of the 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,*** E.O. 12866 Review

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Page 650 of 773 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 SO 2 Group 2 allowances, the moving of TR SO 2 Group 2 allowances by the Administrator into, out of, or between Allowance Management System accounts, for purposes of allocation, auction, transfer, or deduction. Reference method means any direct test method of sampling and analyzing for an air pollutan t as specified in §75.22 of this chapter. Replacement , replace , or replaced means, with regard to a unit, the demolishing of a unit, or the permanent retirement and permanent disabling of a unit, and the construction of another unit (the replacement unit) to be used instead of the demolished or retired unit (the replaced unit). Sequential use of energy means: (1) The use of reject heat from electricity production in a useful thermal energy application or process; or*** E.O. 12866 Review

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Page 651 of 773 (2) The use of reject heat from useful thermal energy application or process in electricity production. Serial number means, for a TR SO 2 Group 2 allowance, the unique identification number assigned to each TR SO 2 Group 2 allowance by the Administrator. Solid waste incineration unit means a stati onary, 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”, “stationar y source”, or “source” as set forth and implemented in a title V operating permit program or any other program under the Clean Air Act.
State means one of the States that is subject to the TR SO 2 Group 2 Trading Program pursuant to § 52.39(a),(c), (g), (h) , and (i) of this chapter .*** E.O. 12866 Review

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Page 652 of 773 Submit or serve means to send or transmit a document, information, or correspondence to the person specified in accordance with the applicable regulation: (1) In person; (2) By United States Postal Service; or (3) By other means of dispatch or transmission and delivery; (4) Provided that compliance with any “submission” or “service” deadline shall be determined by the date of dispatch, transmission, or mailing and not the date of receipt. Topping - cycle unit means a unit in which the energy input to the unit is first used to produce useful power, including electricity, where at least some of the reject heat from the electricity production is then used to provide useful thermal energy. Total energy input means, for a unit, tota l energy of all forms supplied to the unit, excluding energy produced by the unit. Each form of energy supplied shall be measured by the lower heating value of that form of energy calculated as follows:
LHV = HHV − 10.55(W + 9H) Where:*** E.O. 12866 Review

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Page 653 of 773 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, for a unit, 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 in accordance with subpart AAAAA of this part and § 52.3 8 (a) of this chapter (including such a program that is revised in a SIP revision approved by the Administrator under §52.38(a)(3) or (4) of this chapter or that is established in a SIP revision approved by the Administrator under §52.38(a)(5) of this chapter ) , as a means of mitigating interstate transport of fine particulates and NOX . TR NOX Ozone Season Trading Program means a multi - state NOX air pollution control and emission reduction program established in accordance with subpart BBBBB of this part and § 52.3 8 (b) of this chapter (including such a program that is revised in a SIP revision approved by the Administrator under §52.38(b)(3) or (4) of this chapter or that is established in a SIP revision*** E.O. 12866 Review

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Page 654 of 773 approved by the Administrator under §52.38(b)(5) of this chapter ) , as a means of mitigating interstate transport of ozone and NOX . TR SO 2 Group 2 allowance means a limited authorization issued and allocated or auctioned by the Administrator under this subpart , or by a State or permitting authority under a SIP revision approved by the Administrator under §52.39(g), (h), or (i) of this chapter, to emit one ton of SO 2 during a control period of the specified calendar year for which the authorization is allocated or auctioned or of any calendar year thereafter under the TR SO 2 Group 2 Trading Program.
TR SO 2 Group 2 allowance deduction or deduct TR SO 2 Group 2 allowances means the permanent withdrawal of TR SO 2 Group 2 allowances by the Administrator from a compliance account (e.g., in order to account for compliance with the TR SO 2 Group 2 emissions limitation ) or from an assurance account (e.g., in order to account for compliance with the assurance provisions under §§97.706 and 97.725) . TR SO 2 Group 2 allowances held or hold TR SO 2 Group 2 allowances means the TR SO 2 Group 2 allowances treated as included in an Allowance Management System account as of a specified point in time because at that time they:*** E.O. 12866 Review

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Page 6 55 of 773 (1) Have been recorded by the Administrator in the account or transferred into the account by a cor rectly submitted, but not yet recorded, TR SO 2 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 SO 2 Group 2 allowance transfer in accordance with this subpart.
TR SO 2 Group 2 emissions limitation means, for a TR SO 2 Group 2 source, the tonnage of SO 2 emissions authorized in a control period by the TR SO 2 Group 2 allowances available for deduction for the source under §97.724(a) for such control period.
TR SO 2 Group 2 source means a source that includes one or more TR SO 2 Group 2 units. TR SO 2 Group 2 Trading Program means a multi - state SO 2 air pollution control and emission reduction program established in accordance with th is subpart and §52.39 (a ) , (c), and ( g) through (k ) of this chapter (including such a program that is revised in a SIP revision approved by the Administrator under §52.39(g) or (h) of this chapter or that is established in a SIP revision approved by the Administrator under §52.39(i) of this chapter ) , as a means of mitigating interstate transport of fine particulates and SO 2 .*** E.O. 12866 Review

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Page 656 of 773 TR SO 2 Group 2 unit means a unit that is subject to the TR SO 2 Group 2 Trading Program under §97.704. Unit means a stationary, fossil - fuel - fired boiler, stationary, fossil - fuel - fired combustion turbine, or other stationary, fossil - fuel - fired combustion device. A unit that undergoes a physical change or is moved to a different location or source shall continue to be treated as the same unit. A unit (the replaced unit) that is replaced by another unit (the replacement unit) at the same or a different source shall continue to be treated as the same unit, and the replac ement unit shall be treated as a separate unit. Unit operating day means, with regard to a unit, a calendar day in which the unit combusts any fuel. Unit operating hour or hour of unit operation means, with regard to a unit, an hour in which the unit combu sts any fuel. Useful power means, with regard to a unit, electricity or mechanical energy that the unit makes available for use, excluding any such energy used in the power production process (which process includes, but is not limited to, any on - site processing or treatment of fuel combusted at the unit and any on - site emission controls).*** E.O. 12866 Review

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Page 657 of 773 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 con tained 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 por tion 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 CO 2—carbon dioxide
H 2 O
—water hr
—hour*** E.O. 12866 Review

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Page 658 of 773 kW
—kilowatt electrical kWh
—kilowatt hour lb
—pound
mmBtu
—million Btu
MWe
—megawatt electrical MWh
—megawatt hour NOX—nitrogen oxides
O 2—oxygen ppm—parts per million scfh
—standard cubic feet per hour S O 2—sulfur dioxide
yr—year § 97.704 Applicability. (a) Except as provided in paragraph (b) of this section: (1) The following units in a State ( and Indian country within the borders of such State) shall be TR SO 2 Group 2 units, and any source that includes one or more such units shall be a TR SO 2*** E.O. 12866 Review

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Page 659 of 773 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, on or after January 1, 2005, a generato r 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 SO 2 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 SO 2 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 ( and Indian country within the borders of such State) that otherwise is a TR SO 2 Group 2 unit under paragraph (a) of this section and that meets the requirements set for th in paragraph (b)(1)(i) or ( 2)(i) of this section shall not be a TR SO 2 Group 2 unit: (1)(i) Any unit: (A) Qualifying as a cogeneration unit throughout the later of 2005 or the 12 -month period starting on the date the unit first produces electricity and continuing to qualify as a cogeneration*** E.O. 12866 Review

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Page 660 of 773 unit throughout each calendar year ending after the later of 2005 or such 12 -month period ; and (B) Not supplying in 2005 or any calendar year thereafter more than one - third of the unit's potential electric output capacity or 219,000 MWh, whichever is greater, to any utility power distribution system for sale. (ii) If, after qualifying under paragraph (b)(1)(i) of this section as not being a TR SO 2 Group 2 unit , a unit subsequently no longer meets all the requiremen ts of paragraph (b)(1)(i) of this section , the unit shall become a TR SO 2 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 ca lendar year during which the unit no longer meets the requirements of paragraph (b)(1)(i)(B) of this section. The unit shall thereafter continue to be a TR SO 2 Group 2 unit. (2)(i) Any unit: (A) Qualifying as a solid waste incineration unit throughout the later of 2005 or the 12 -month period starting on the date the unit first produces electricity and continuing to qualify as a solid waste incineration unit throughout each calendar year ending after the later of 2005 or such 12 -month period ; and*** E.O. 12866 Review

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Page 661 of 773 (B) With an average annual fuel consumption of fossil fuel for the first 3 consecutive calendar years of operation starting no earlier than 2005 of less than 20 percent (on a Btu basis) and an average annual fuel consumption of fossil fuel for any 3 consecutive cale ndar years thereafter of less than 20 percent (on a Btu basis). (ii) If, after qualifying under paragraph (b)(2)(i) of this section as not being a TR SO 2 Group 2 unit , a unit subsequently no longer meets all the requirements of paragraph (b)(1)(i) of this section , the unit shall become a TR SO 2 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 2005 for which the unit has an average annual fuel consumption of fossil fuel of 20 percent or more. The unit shall thereafter continue to be a TR SO 2 Group 2 unit. (c) A certifying official of an owner or operator of any unit or other equipmen t may submit a petition (including any supporting documents) to the Administrator at any time for a determination concerning the applicability, under paragraphs (a) and (b) of this section or a SIP revision approved under § 52.39(h) or (i)*** E.O. 12866 Review

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Page 662 of 773 of this chapter , of the TR SO 2 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 petitio n 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 o f 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 submitti ng 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*** E.O. 12866 Review

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Page 663 of 773 Administrator's determination concerning the applicability, under paragraphs (a) and (b) of this section, of the TR SO 2 Group 2 Trading Program to the unit or other equipment shall be bin ding on any State or permitting authority unless the Administrator determines that the petition or other documents or information provided in connection with the petition contained significant, relevant errors or omissions. § 97.705 Retired unit exemption. (a)(1) Any TR SO 2 Group 2 unit that is permanently retired 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 SO 2 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 SO 2 , starting on the date that the exempti on takes effect.*** E.O. 12866 Review

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Page 664 of 773 (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 SO 2 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 shal l 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.*** E.O. 12866 Review

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Page 665 of 773 (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 SO 2 Group 2 source and each TR SO 2 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 SO 2 Group 2 allowances under §§97.711(a)(2) and (b) and 97.712 and to determine compliance wi th the TR SO 2 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.*** E.O. 12866 Review

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Page 666 of 773 (c) SO 2 emissions requirements . (1) TR SO 2 Group 2 emissions limitation. (i) As of the allowance transfer deadline for a control period in a given year, the owners and operators of each TR SO 2 Group 2 source and each TR SO 2 Group 2 unit at the source shall hold, in the source's compliance account, TR SO 2 Group 2 allowances available for deduction for such control period under §97.724(a) in an amount not less than the tons of total SO 2 emissions for such control period from all TR SO 2 Group 2 units at the source. ( ii) If total SO 2 emissions during a control period in a given year from the TR SO 2 Group 2 units at a TR SO 2 Group 2 source are in excess of the TR SO 2 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 SO 2 Group 2 unit at the source shall hold the TR SO 2 Group 2 allowances required for deduction under §97.724(d); and (B) The owners and operators of the source and each TR SO 2 Group 2 unit at the source shall pay any fine, penalty, or assessment or comply with any other remedy imposed, for the same violations, under the Clean Air Act, and each ton of such excess emissions and each day of such control period shall constitute a separate violation of this subpart and the Clean Air Act.*** E.O. 12866 Review

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Page 667 of 773 (2) TR SO 2 Group 2 assurance provisions. (i) If total SO 2 emissions during a control period in a given year from all TR SO 2 Group 2 units at TR SO 2 Group 2 sources in a State (and Indian country wi thin the borders of such State) exceed the State assurance level, then the owners and operators of such sources and units in each group of one or more sources and units having a common designated representative for such control period , where the common des ignated representative’s share of such SO 2 emissions during such control period exceeds the common designated representative’s assurance level for the State and such control period , shall hold ( in the assurance account established for the owners and operat ors of such group ) TR SO 2 Group 2 allowances available for deduction for such control period under §97.725(a) in an amount equal to two times the product (rounded to the nearest whole number), as determined by the Administrator in accordance with §97.725(b ), of multiplying

— (A) The quotient of the amount by which the common designated representative’s share of such SO 2 emissions exceeds the common designated representative’s assurance level divided by the sum of the amounts, determined for all common design ated representatives for such sources and units in the State (and Indian country within the borders of such State) for such control period, by which each common designated representative’s*** E.O. 12866 Review

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Page 668 of 773 share of such SO 2 emissions exceeds the respective common designated representative’s assurance level; and (B) The amount by which total SO 2 emissions from all TR SO 2 Group 2 units at TR SO 2 Group 2 sources in the State (and Indian country within the borders of such State) for such control period exceed the State assurance level. (ii) The owners and operators shall hold the TR SO 2 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) Total SO 2 emissions from all TR SO 2 Group 2 units at TR SO 2 Group 2 sources in a State (and Indian country within the borders of such Stat e) during a control period in a given year exceed the State assurance level if such total SO 2 emissions exceed the sum, for such control period, of the State SO 2 Group 2 trading budget under §97.710(a) and the State’s variability limit under §97.710(b). (iv) It shall not be a violation of this subpart or of the Clean Air Act if total SO 2 emissions from all TR SO 2 Group 2 units at TR SO 2 Group 2 sources in a State (and Indian country within the borders of such State) during a control period exceed the State*** E.O. 12866 Review

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Page 669 of 773 assurance level or if a common designated representative’s share of total SO 2 emissions from the TR SO 2 Group 2 units at TR SO 2 Group 2 sources in a State (and Indian country within the borders of such State) during a control period exceeds the common desi gnated representative’s assurance level. (v) To the extent the owners and operators fail to hold TR SO 2 Group 2 allowances for a control period in a given year in accordance with paragraphs (c)(2)(i) through (iii) of this section, (A) The owners and ope rators shall pay any fine, penalty, or assessment or comply with any other remedy imposed under the Clean Air Act; and (B) Each TR SO 2 Group 2 allowance that the owners and operators fail to hold for such control period in accordance with paragraphs (c)(2) (i) through (iii) o f 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 SO 2 Group 2 unit shall be subject to the requirements under paragraphs (c)(1) and (c)(2) of this section for the control period starting on the later of January 1, 2012 or the deadline for meeting the unit's monitor*** E.O. 12866 Review

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Page 670 of 773 certification requirements under §97.730(b) and for each control period thereafter. (4) Vintage of allowances held for compliance . (i) A TR SO 2 Group 2 allowance held for compliance with the requirements under paragraph (c)(1) (i) of this section for a control period in a given year must be a TR SO 2 Group 2 allowance that was allocated for such control period or a control period in a prior year . (ii) A TR SO 2 Group 2 allowance held for compliance with the requirements under paragraphs (c)(1) (ii)(A) and (2) (i) through (iii) of this section for a control period in a given year must be a TR SO 2 Group 2 allowance that was allocated for a control period in a prior year or the control period in the given year or in the immediately following year . (5) Allowance Management System requirements. Each TR SO 2 Group 2 allowance shall be held in, dedu cted from, or transferred into, out of, or between Allowance Management System accounts in accordance with this subpart. (6) Limited authorization. A TR SO 2 Group 2 allowance is a limited authorization to emit one ton of SO 2 during the control period in on e year. Such authorization is limited in its use and duration as follows:*** E.O. 12866 Review

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Page 671 of 773 (i) Such authorization shall only be used in accordance with the TR SO 2 Group 2 Trading Program; and (ii) Notwithstanding any other provision of this subpart, the Administrator has the authority to terminate or limit the use and duration of such authorization to the extent the Administrator determines is necessary or appropriate to implement any provision of the Clean Air Act. (7) Property right. A TR SO 2 Group 2 allowance does no t 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 SO 2 Group 2 allowances in accordance with this subpart. (2) A description of whether a unit is required to monitor and report SO 2 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 ex cepted 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 mo dification*** E.O. 12866 Review

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Page 672 of 773 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 SO 2 Group 2 source and each TR SO 2 Group 2 unit at the source shall keep on site at the source each of the following documents (in hardcopy or electronic format) for a period of 5 years from the date the document is created. This period may be extended for cause, at any time before the end of 5 years, in writing by the Administrator. (i) The certificate of representation under §97.716 for the designated representative for the source and each TR SO 2 Group 2 unit at the source and all documents that demonstrate the truth of the statements in the certificate of representation; provided that the certificate and documents shall be retained on site at the source beyond such 5 - year period until such certificate of representation and documents are superseded because of the*** E.O. 12866 Review

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Page 673 of 773 submission of a new certi ficate 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 SO 2 Group 2 Trading Program. (2) The designated representative of a TR SO 2 Group 2 source and each TR SO 2 Group 2 unit at the source shall make all submissions required under the TR SO 2 Group 2 Trading Program , except as provided in § 97.7 1 8 . This requirement does not change, create an exemption from, or or otherwise affect the responsible official submission requirements under a title V operating permit program in parts 70 and 7 1 of this chapter. (f) Liability . (1) Any provision of the TR SO 2 Group 2 Trading Program that applies to a TR SO 2 Group 2 source or the designated representative of a TR SO 2 Group 2 source shall also apply to the owners and operators of such source and of the TR SO 2 Group 2 units at the source.*** E.O. 12866 Review

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Page 674 of 773 (2) Any provision of the TR SO 2 Group 2 Trading Program that applies to a TR SO 2 Group 2 unit or the designated representative of a TR SO 2 Group 2 unit shall also apply to the owners and operators of such unit. (g) Effect on other authorities . No provision of the TR SO 2 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 SO 2 Group 2 source or TR SO 2 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 SO 2 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 SO 2 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 SO 2 Group 2 Trading Program, is not a*** E.O. 12866 Review

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Page 675 of 773 business day, the time period sha ll be extended to the next business day. § 97.708 Administrative appeal procedures. The administrative appeal procedures for decisions of the Administrator under the TR SO 2 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, Indian country new unit set- aside, and variability limits. (a) The State SO 2 Group 2 trading budgets, new unit set - asides, and Indian country new unit set - asides for allocations of TR SO 2 Group 2 allowances for the control periods in 2012 and thereafter are as follows:

State SO 2 Group 2 trading

budget (tons)* for 2012 and 2013 New unit set aside (tons) for 2012 and 2013 Indian country

new unit set aside (tons) for 2012 and 2013 Alabama 216,033 4,321 --- Georgia 158,527 3,171 --- Kansas 41,528 789 42 Minnesota 41,981 798 42 Nebraska 65,052 2,537 65 South Carolina 88,620 1, 683 89*** E.O. 12866 Review

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Page 676 of 773 Texas 243,954 11,954 244

State SO 2 Group 2

trading budget (tons)* for 2014 and thereafter New unit set aside (tons) for 2014 and thereafter Indian country

new unit set aside (tons) for 2014 and thereafter Alabama 213,258 4,265 --- Georgia 95,231 1,905 --- Kansas 41,528 789 42 Minnesota 41,981 798 42 Nebraska 65,052 2,537 65 South Carolina 88,620 1, 683 89 Texas 243,954 11,954 244 * Each trading budget includes the new unit set - aside and, where applicable, the Indian country new unit set - aside and does not include the variability limit. (b) The States’ variability limits for the State SO 2 Group 2 trading budgets for the control periods in 2012 and thereafter are as follows:

State Variability limits

for 2012 and 2013 Variability limits for 2014 and thereafter Alabama 38,886 38,386 Georgia 28,535 17,142 Kansas 7,475 7,475 Minnesota 7,557 7,557 Nebraska 11,709 11,709 South 15,952 15,952*** E.O. 12866 Review

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Page 677 of 773 Carolina Texas 43,912 43,912

§ 97.711 Timing requirements for TR SO2 Group 2 allowance allocations. (a) Existing units . (1) TR SO 2 Group 2 allowances are allocated, for the control periods in 2012 and each year thereafter, as provided in a notice of data availability issued by the Administrator. Providing an allocation to a unit in such notice does not constitute a determination that the unit is a TR SO 2 Group 2 unit, and not providing an allocation to a unit in such notice does not constitute a determination that the unit is not a TR SO 2 Group 2 unit. (2) Notwithstanding paragraph (a)(1) of this section, if a unit provided an alloca tion in the notice of data availability issued under paragraph (a)(1) of this section does not operate, starting after 2011, during the control period in two consecutive years, such unit will not be allocated the TR SO 2 Group 2 allowances provided in such notice for the unit for the control periods in the fifth year after the first such year and in each year after that fifth year. All TR SO 2 Group 2 allowances that would otherwise have been allocated to such unit will be allocated to the new unit set - aside for the State where*** E.O. 12866 Review

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Page 678 of 773 such unit is located and for the respective years involved. If such unit resumes operation, the Administrator will allocate TR SO 2 Group 2 allowances to the unit in accordance with paragraph (b) of this section. (b) New units . (1) New unit set - asides. (i) By June 1, 2012 and June 1 of each year thereafter, the Administrator will calculate the TR SO 2 Group 2 allowance allocation to each TR SO 2 Group 2 unit in a State , in accordance with §97.712(a)( 2 ) through ( 7 ) and (12) , for the con trol period in the year of the applicable calculation deadline under this paragraph and will promulgate a notice of data availability of the results of the calculations. (ii) For each notice of data availability required in paragraph (b)(1)(i) of this sect ion, the Administrator will provide an opportunity for submission of objections to the calculations referenced in such notice. (A) Objections shall be submitted by the deadline specified in each notice of data availability required in paragraph (b)(1)(i) of this section and shall be limited to addressing whether the calculations (including the identification of the TR SO 2 Group 2 units) are in accordance with §97.712(a)( 2 ) through ( 7 ) and (12) and §§97.706(b)(2) and 97.730 through 97.735.*** E.O. 12866 Review

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Page 679 of 773 (B) The Adminis trator will adjust the calculations to the extent necessary to ensure that they are in accordance with the provisions referenced in paragraph (b)(1)(ii)(A) of this section. By August 1 immediately after the promulgation of each notice of data availability required in paragraph (b)(1)(i) of this section, the Administrator will promulgate a notice of data availability of any adjustments that the Administrator determines to be necessary with regard to allocations under §97.712(a)( 2 ) through ( 7 ) and (12) and the reasons for accepting or rejecting any objections submitted in accordance with paragraph (b)(1)(ii)(A) of this section. (iii) If the new unit set - aside for such control period contains any TR SO 2 Group 2 allowances that have not been allocated i n the applicable notice of data availability required in paragraph (b)(1)(ii) of this section, the Administrator will promulgate, by December 15 immediately after such notice, a notice of data availability that identifies any TR SO 2 Group 2 units that commenced commercial operation during the period starting January 1 of the year before the year of such control period and ending November 30 of year of such control period. (iv) For each notice of data availability required in paragraph (b)(1)(iii) of this se ction, the Administrator will provide an*** E.O. 12866 Review

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Page 680 of 773 opportunity for submission of objections to the identification of TR SO 2 annual units in such notice. (A) Objections shall be submitted by the deadline specified in each notice of data availability required in para graph (b)(1)(iii) of this section and shall be limited to addressing whether the identification of TR SO 2 annual units in such notice is in accordance with paragraph (b)(1)(iii) of this section. (B) The Administrator will adjust the identification of TR SO 2 Group 2 units in the each notice of data availability required in paragraph (b)(1)(iii) of this section to the extent necessary to ensure that it is in accordance with paragraph (b)(1)(iii) of this section and will calculate the TR SO 2 Group 2 allowanc e allocation to each TR SO 2 Group 2 unit in accordance with §97.712(a)(9) , (10) , and (12) and §§97.706(b)(2) and 97.730 through 97.735. By February 15 immediately after the promulgation of each notice of data availability required in paragraph (b)(1)(iii) of this section, the Administrator will promulgate a notice of data availability of any adjustments of the identification of TR SO 2 Group 2 units that the Administrator determines to be necessary, the reasons for accepting or rejecting any objections submitted in accordance with paragraph (b)(1)(iv)(A) of this section, and the results of such calculations.*** E.O. 12866 Review

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Page 681 of 773 (v) To the extent any TR SO 2 Group 2 allowances are added to the new unit set - aside after promulgation of each notice of data availability required in p aragraph (b)(1)(iv) of this section, the Administrator will promulgate additional notices of data availability, as deemed appropriate, of the allocation of such TR SO 2 Group 2 allowances in accordance with §97. 7 12 (a)(10). (2) Indian country new unit set - asides. (i) By June 1, 2012 and June 1 of each year thereafter, the Administrator will calculate the TR SO 2 Group 2 allowance allocation to each TR SO 2 Group 2 unit in Indian country within the borders of a State , in accordance with §97.712(b)( 2 ) through ( 7 ) and (12) , for the control period in the year of the applicable calculation deadline under this paragraph and will promulgate a notice of data availability of the results of the calculations. (ii) For each notice of data availability required in par agraph (b)(2)(i) of this section, the Administrator will provide an opportunity for submission of objections to the calculations referenced in such notice. (A) Objections shall be submitted by the deadline specified in each notice of data availability re quired in paragraph (b)(2)(i) of this section and shall be limited to addressing whether the calculations (including the identification of the TR SO 2 Group 2*** E.O. 12866 Review

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Page 682 of 773 units) are in accordance with §97.712(b)( 2 ) through ( 7 ) and (12) and §§97.706(b)(2) and 97.730 th rough 97.735. (B) The Administrator will adjust the calculations to the extent necessary to ensure that they are in accordance with the provisions referenced in paragraph (b)(2)(ii)(A) of this section. By August 1 immediately after the promulgation of ea ch notice of data availability required in paragraph (b)(2)(i) of this section, the Administrator will promulgate a notice of data availability of any adjustments that the Administrator determines to be necessary with regard to allocations under §97.712(b) ( 2 ) through ( 7 ) and (12) and the reasons for accepting or rejecting any objections submitted in accordance with paragraph (b)(2)(ii)(A) of this section. (iii) If the Indian country new unit set - aside for such control period contains any TR SO 2 Group 2 allowances that have not been allocated in the applicable notice of data availability required in paragraph (b)(2)(ii) of this section, the Administrator will promulgate, by December 15 immediately after such notice, a notice of data availability that iden tifies any TR SO 2 Group 2 units that commenced commercial operation during the period starting January 1 of the year before the year of such control period and ending November 30 of year of such control period.*** E.O. 12866 Review

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Page 683 of 773 (iv) For each notice of data availability required in paragraph (b)(2)(iii) of this section, the Administrator will provide an opportunity for submission of objections to the identification of TR SO 2 annual units in such notice. (A) Objections shall be submitted by the deadline specified in each not ice of data availability required in paragraph (b)(2)(iii) of this section and shall be limited to addressing whether the identification of TR SO 2 annual units in such notice is in accordance with paragraph (b)(2)(iii) of this section. (B) The Administra tor will adjust the identification of TR SO 2 Group 2 units in the each notice of data availability required in paragraph (b)(2)(iii) of this section to the extent necessary to ensure that it is in accordance with paragraph (b)(2)(iii) of this section and w ill calculate the TR SO 2 Group 2 allowance allocation to each TR SO 2 Group 2 unit in accordance with §97.712(b)(9) , (10) , and (12) and §§97.706(b)(2) and 97.730 through 97.735. By February 15 immediately after the promulgation of each notice of data avail ability required in paragraph (b)(2)(iii) of this section, the Administrator will promulgate a notice of data availability of any adjustments of the identification of TR SO 2 Group 2 units that the Administrator determines to be necessary, the reasons for a ccepting or rejecting any objections submitted in accordance with paragraph*** E.O. 12866 Review

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Page 684 of 773 (b)(2)(iv)(A) of this section, and the results of such calculations. (v) To the extent any TR SO 2 Group 2 allowances are added to the Indian country new unit set - aside after promu lgation of each notice of data availability required in paragraph (b)(2)(iv) of this section, the Administrator will promulgate additional notices of data availability, as deemed appropriate, of the allocation of such TR SO 2 Group 2 allowances in accordanc e with §97. 7 12 (b)(10). (c) Units incorrectly allocated TR SO 2 Group 2 allowances . (1) For each control period in 2012 and thereafter, if the Administrator determines that TR SO 2 Group 2 allowances were allocated under paragraph (a) of this section, or under a provision of a SIP revision approved § 52.39 ( g), (h), or (i) of this chapter, where such control period and the recipient are covered by the provisions of paragraph (c)(1)(i) of this section or were allocated under § 97.7 12 (a)(2) through (7), (9), and (12) and (b)(2) through (7), (9), and (12) , or under a provision of a SIP revision approved § 52.39(h) or (i) of this chapter, where such control period and the recipient are cover ed by the provisions of paragraph (c)(1)(ii) of this section, then the Administrator will notify the designated representative of the*** E.O. 12866 Review

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Page 685 of 773 recipient and will act in accordance with the procedures set forth in paragraphs (c)(2) through (5) of this section: (i)(A ) The recipient is not actually a TR SO 2 Group 2 unit under §97.704 as of January 1, 2012 and is allocated TR SO 2 Group 2 allowances for such control period or, in the case of an allocation under a provision of a SIP revision approved under § 52.39(g), (h), or (i) of this chapter, the recipient is not actually a TR SO 2 Group 2 unit as of January 1, 2012 and is allocated TR SO 2 Group 2 allowances for such control period that the SIP revision provides should be allocated only to recipients that are TR SO 2 Group 2 units as of January 1, 2012; or (B) The recipient is not located as of January 1 of the control period in the State from whose SO 2 Group 2 trading budget the TR SO 2 Group 2 allowances allocated under paragraph (a) of this section, or under a provision of a SIP revision approved under § 52.39(g), (h), or (i) of this chapter, were allocated for such control period. (ii) The recipient is not actually a TR SO 2 Group 2 unit under §97.704 as of January 1 of such control period and is allocated TR SO 2 Group 2 allowances for such control period or, in the case of an allocation under a provision of a SIP revision approved under § 52.39(g), (h), or (i) of this chapter, the recipient is*** E.O. 12866 Review

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Page 686 of 773 not actually a TR SO 2 Group 2 unit as of January 1 of such control period and is allocated TR SO 2 Group 2 allowances for such control period that the SIP revision provides should be allocated only to recipients that are TR SO 2 Group 2 units as of January 1 of such control peri od. (2) Except as provided in paragraph (c)(3) or (4) of this section, the Administrator will not record such TR SO 2 Group 2 allowances under §97.721. (3) If the Administrator already recorded such TR SO 2 Group 2 allowances under §97.721 and if the Admini strator makes the determination under paragraph (c)(1) of this section 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 SO 2 Group 2 allowances were recorded an amount of TR SO 2 Group 2 allowances allocated for the same or a prior control period equal to the amount of such already recorded TR SO 2 Group 2 allowances. The authorized account representative shall ensure that there ar e sufficient TR SO 2 Group 2 allowances in such account for completion of the deduction. (4) If the Administrator already recorded such TR SO 2 Group 2 allowances under §97.721 and if the Administrator makes the*** E.O. 12866 Review

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Page 687 of 773 determination under paragraph (c)(1) of this s ection 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 SO 2 Group 2 allowances. (5 ) (i) With regard to the TR SO 2 Group 2 allowances that are not recorded, or that are deducted as an incorrect allocation , in accordance with paragraphs (c)( 2 ) and ( 3 ) of this section for a recipient under paragraph (c)(1)(i) of this section, the Administrator will: (A) T ransfer such TR SO 2 Group 2 allowances to the new unit set aside for such control period for the State from whose SO 2 Group 2 trading budget the TR SO 2 Group 2 allowances were allocated; or (B) If the State has a SIP revision approved under § 52.39(h) or (i) covering such control period, include such TR SO 2 Group 2 allowances in the portion of the State SO 2 Group 2 trading budget that may be allocated for such control period in accordance with such SIP revision. (ii) With regard to the TR SO 2 Group 2 allowances that were not allocated from the Indian country new unit set - aside for such control period and that are not recorded, or that are deducted as an incorrect allocation , in accordance with paragraphs (c)( 2 )*** E.O. 12866 Review

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Page 688 of 773 and ( 3 ) of this section for a recipient under paragraph (c)(1)(ii) of this paragraph, the Administrator will: (A) Transfer such TR SO 2 Group 2 a llowances to the new unit set aside for such control period; or (B) If the State has a SIP revision approved under § 52.39(h) or (i) covering su ch control period, include such TR SO 2 Group 2 allowances in the portion of the State SO 2 Group 2 trading budget that may be allocated for such control period in accordance with such SIP revision. (iii) With regard to the TR SO 2 Group 2 allowances that were allocated from the Indian country new unit set - aside for such control period and that are not recorded, or that are deducted as an incorrect allocation , in accordance with paragraphs (c)( 2 ) and ( 3 ) of this section for a recipient under paragraph (c)(1 )(ii) of this paragraph, the Administrator will transfer such TR SO 2 Group 2 allowances to the Indian country new unit set - aside for such control period. § 97.712 TR SO2 Group 2 allowance allocations to new units. (a) For each control period in 2012 and thereafter and for the TR SO 2 Group 2 units in each State, the Administrator will*** E.O. 12866 Review

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Page 689 of 773 allocate TR SO 2 Group 2 allowances to the TR SO 2 Group 2 units as follows: (1) The TR SO 2 Group 2 allowances will be allocated to the following TR SO 2 Group 2 units, except a s provided in paragraph (a)(10) of this section: (i) TR SO 2 Group 2 units that are not allocated an amount of TR SO 2 Group 2 allowances in the notice of data availability issued under §97.711(a)(1); (ii) TR SO 2 Group 2 units whose allocation of an amount of TR SO 2 Group 2 allowances for such control period in the notice of data availability issued under §97.711(a)(1) is covered by §97.711(c)(2) or (3); (iii) TR SO 2 Group 2 units that are allocated an amount of TR SO 2 Group 2 allowances for such control period in the notice of data availability issued under §97.711(a)(1), which allocation is terminated for such control period pursuant to §97.711(a)(2), and that operate during the control period immediately precedi ng such control period; or (iv) For purposes of paragraph (a)(9) of this section, TR SO 2 Group 2 units under §97.711(c)(1)(ii) whose allocation of an amount of TR SO 2 Group 2 allowances for such control period in*** E.O. 12866 Review

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Page 690 of 773 the notice of data availability issued unde r §97.711(b)(1)(ii)(B) is covered by §97.711(c)(2) or (3). (2) The Administrator will establish a separate new unit set aside for the State for each such control period. Each such new unit set - aside will be allocated TR SO 2 Group 2 allowances in an amount equal to the applicable amount of tons of SO 2 emissions as set forth in §97.710(a) and will be allocated additional TR SO 2 Group 2 allowances (if any) in accordance with §§97.711(a)(2) and (c)(5) and paragraph (b)(10) of this section. (3) The Administrato r will determine, for each TR SO 2 Group 2 unit described in paragraph (a)(1) of this section, an allocation of TR SO 2 Group 2 allowances for the later of the following control periods and for each subsequent control period: (i) The control period in 2012; (ii) The first control period after the control period in which the TR SO 2 Group 2 unit commences commercial operation; (iii) For a unit described in paragraph (a)(1)(ii) of this section, the first control period in which the TR SO 2 Group 2 unit operates in the State after operating in another*** E.O. 12866 Review

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Page 691 of 773 jurisdiction and for which the unit is not already allocated one or more TR SO 2 Group 2 allowances; and (iv) For a unit described in paragraph (a)(1)(iii) of this section, the first control period after the control p eriod in which the unit resumes operation. (4)(i) The allocation to each TR SO 2 annual unit described in paragraph (a)(1) (i) through (iii) of this section and for each control period described in paragraph (a)(3) of this section will be an amount equal to the unit’s total tons of SO 2 emissions during the immediately preceding control period. (ii) The Administrator will adjust the allocation amount in paragraph (a)(4)(i) in accordance with paragraphs (a)( 5 ) through ( 7 ) and (12) of this section. (5) The Admi nistrator will calculate the sum of the TR SO 2 Group 2 allowances determined for all such TR SO 2 Group 2 units under paragraph (a)(4)(i) of this section in the State for such control period. (6) If the amount of TR SO 2 Group 2 allowances in the new unit set - aside for the State for such control period is greater than or equal to the sum under paragraph (a)(5) of this section, then the Administrator will allocate the amount of TR SO 2 Group 2*** E.O. 12866 Review

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Page 692 of 773 allowances determined for each such TR SO 2 Group 2 unit under paragraph (a)(4)(i) of this section. (7) If the amount of TR SO 2 Group 2 allowances in the new unit set - aside for the State for such control period is less than the sum under paragraph (a)(5) of this section, then the Admini strator will allocate to each such TR SO 2 Group 2 unit the amount of the TR SO 2 Group 2 allowances determined under paragraph (a)(4)(i) of this section for the unit, multiplied by the amount of TR SO 2 Group 2 allowances in the new unit set - aside for such c ontrol period, divided by the sum under paragraph (a)(5) of this section, and rounded to the nearest allowance. (8) The Administrator will notify the public, through the promulgation of the notices of data availability described in §97.711(b)(1)(i) and (ii ), of the amount of TR SO 2 Group 2 allowances allocated under paragraphs (a)( 2 ) through ( 7 ) and (12) of this section for such control period to each TR SO 2 Group 2 unit eligible for such allocation. (9) If, after completion of the procedures under paragraphs (a)(5) through (8) of this section for such control period, any unallocated TR SO 2 Group 2 allowances remain in the new unit set aside for the State for such control period, the Administrator will allocate such TR SO 2 Group 2 allowances as follows --*** E.O. 12866 Review

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Page 693 of 773 (i) The Administrator will determine, for each unit described in paragraph (a)(1) of this section that commenced commercial operation during the period starting January 1 of the year before the year of such control period and ending November 30 of year of such control period, the positive difference (if any) between the unit’s emissions during such control period and the amount of TR SO 2 Group 2 allowances referenced in the notice of data availability required under §97.711(b)(1)(ii) for the unit for such cont rol period; (ii) The Administrator will determine the sum of the positive differences determined under paragraph (a)(9)(i) of this section; (iii) If the amount of unallocated TR SO 2 Group 2 allowances remaining in the new unit set - aside for the State for s uch control period is greater than or equal to the sum determined under paragraph (a)(9)(ii) of this section, then the Administrator will allocate the amount of TR SO 2 Group 2 allowances determined for each such TR SO 2 Group 2 unit under paragraph (a)(9)(i ) of this section ; and (iv) If the amount of unallocated TR SO 2 Group 2 allowances remaining in the new unit set - aside for the State for such control period is less than the sum under paragraph (a)(9)(ii)*** E.O. 12866 Review

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Page 694 of 773 of this section, then the Administrator will alloca te to each such TR SO 2 Group 2 unit the amount of the TR SO 2 Group 2 allowances determined under paragraph (a)(9)(i) of this section for the unit, multiplied by the amount of unallocated TR SO 2 Group 2 allowances remaining in the new unit set - aside for such control period, divided by the sum under paragraph (a)(9)(ii) of this section, and rounded to the nearest allowance. (10) If, after completion of the procedures under paragraph s (a)(9) and (12) of this section for such control period, any unallocated TR SO 2 Group 2 allowances remain in the new unit set aside for the State for such control period, the Administrator will allocate to each TR SO 2 Group 2 unit that is in the State, is allocated an amount of TR SO 2 Group 2 allowances in the notice of data avail ability issued under §97.711(a)(1), and continues to be allocated TR SO 2 Group 2 allowances for such control period in accordance with §97.711(a)(2), an amount of TR SO 2 Group 2 allowances equal to the following: the total amount of such remaining unalloca ted TR SO 2 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 SO 2 Group 2 trading budget minus the sum of the amounts of tons in such new unit set - aside and*** E.O. 12866 Review

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Page 695 of 773 the Indian country new unit set - aside for the State for such control period, and rounded to the nearest allowance. (11) The Administrator will notify the public, through the promulgation of the notices of data availability described in §97.711(b)(1)(iii) , (iv), and (v), of the amount of TR SO 2 Group 2 allowances allocated under paragraphs (a)(9), (10), and (12) of this section for such control period to each TR SO 2 Group 2 unit eligible for such allocation. (12)(i) Notwithstanding the requirements of paragraphs (a)(2) through (11) of this section, if the calculations of allocations of a new unit set - aside for a control period in a given year under paragraph (a)(7) of this section, paragraphs (a)(6) and (9)(iv ) of this section, or paragraphs (a)(6), (9)(iii), and (10) of this section would otherwise result in total allocations of such new unit set - aside exceeding the total amount of such new unit set - aside, then the Administrator will adjust the results of the calculations under paragraph (a)(7), (9)(iv), or (10) of this section, as applicable, as follows. The Administrator will list the TR SO 2 Group 2 units in descending order based on the amount of such units’ allocations under paragraph (a)(7), (9)(iv), or ( 10) of this section, as applicable, and, in cases of equal allocation amounts, in alphabetical order of the relevant source’s name and numerical*** E.O. 12866 Review

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Page 696 of 773 order of the relevant unit’s identification number, and will reduce each unit’s allocation under paragraph (a)( 7), (9)(iv), or (10) of this section, as applicable, by one TR SO 2 Group 2 allowance (but not below zero) in the order in which the units are listed and will repeat this reduction process as necessary, until the total allocations of such new unit set - aside equal the total amount of such new unit set - aside. (ii) Notwithstanding the requirements of paragraphs (a)(10) and (11) of this section, if the calculations of allocations of a new unit set - aside for a control period in a given year under paragraphs (a) (6), (9)(iii), and (10) of this section would otherwise result in a total allocations of such new unit set aside less than the total amount of such new unit set - aside, then the Administrator will adjust the results of the calculations under paragraph (a)(1 0) of this section, as follows. The Administrator will list the TR SO 2 Group 2 units in descending order based on the amount of such units’ allocations under paragraph (a)(10) of this section and, in cases of equal allocation amounts, in alphabetical orde r of the relevant source’s name and numerical order of the relevant unit’s identification number, and will increase each unit’s allocation under paragraph (a)(10) of this section by one TR SO 2 Group 2 allowance in the order in which the units are listed an d will*** E.O. 12866 Review

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Page 697 of 77 3 repeat this increase process as necessary, until the total allocations of such new unit set - aside equal the total amount of such new unit set - aside. (b) For each control period in 2012 and thereafter and for the TR SO 2 Group 2 units located in Indi an country within the borders of each State, the Administrator will allocate TR SO 2 Group 2 allowances to the TR SO 2 Group 2 units as follows: (1) The TR SO 2 Group 2 allowances will be allocated to the following TR SO 2 Group 2 units, except as provided in paragraph (b)(10) of this section: (i) TR SO 2 Group 2 units that are not allocated an amount of TR SO 2 Group 2 allowances in the notice of data availability issued under §97.711(a)(1); or (i i ) For purposes of paragraph (b)(9) of this section, TR SO 2 Group 2 units under §97.711(c)(1)(ii) whose allocation of an amount of TR SO 2 Group 2 allowances for such control period in the notice of data availability issued under §97.711(b)(2)(ii)(B) is covered by §97.711(c)(2) or (3). (2) The Administrator will e stablish a separate Indian country new unit set - aside for the State for each such control period. Each such Indian country new unit set - aside will be allocated TR*** E.O. 12866 Review

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Page 698 of 773 SO 2 Group 2 allowances in an amount equal to the applicable amount of tons of SO 2 emissions a s set forth in §97.710(a) and will be allocated additional TR SO 2 Group 2 allowances (if any) in accordance with §97.711(c)(5). (3) The Administrator will determine, for each TR SO 2 Group 2 unit described in paragraph (b)(1) of this section, an allocation of TR SO 2 Group 2 allowances for the later of the following control periods and for each subsequent control period: (i) The control period in 2012; and (ii) The first control period after the control period in which the TR SO 2 Group 2 unit commences commer cial operation . (4)(i) The allocation to each TR SO 2 annual unit described in paragraph (b)(1) (i) of this section and for each control period described in paragraph (b)(3) of this section will be an amount equal to the unit’s total tons of SO 2 emissions during the immediately preceding control period. (ii) The Administrator will adjust the allocation amount in paragraph (b)(4)(i) in accordance with paragraphs (b)(5) through ( 7 ) and (12) of this section.*** E.O. 12866 Review

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Page 699 of 773 (5) The Administrator will calculate the sum of the TR SO 2 Group 2 allowances determined for all such TR SO 2 Group 2 units under paragraph (b)(4)(i) of this section in Indian country within the borders of the State for such control period. (6) If the amount of TR SO 2 Group 2 allowances in the Indian country new unit set - aside for the State for such control period is greater than or equal to the sum under paragraph (b)(5) of this section, then the Administrator will allocate the amount of TR SO 2 Group 2 allowances determined for each such TR SO 2 Group 2 unit under paragraph (b)(4)(i) of this section. (7) If the amount of TR SO 2 Group 2 allowances in the Indian country new unit set - aside for the State for such control period is less than the sum under paragraph (b)(5) of this section, then the Administrator wil l allocate to each such TR SO 2 Group 2 unit the amount of the TR SO 2 Group 2 allowances determined under paragraph (b)(4)(i) of this section for the unit, multiplied by the amount of TR SO 2 Group 2 allowances in the Indian country new unit set - aside for su ch control period, divided by the sum under paragraph (b)(5) of this section, and rounded to the nearest allowance. (8) The Administrator will notify the public, through the promulgation of the notices of data availability described in*** E.O. 12866 Review

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Page 700 of 773 §97.711(b)(2)(i) and (ii), of the amount of TR SO 2 Group 2 allowances allocated under paragraphs (b)( 2 ) through ( 7 ) and (12) of this section for such control period to each TR SO 2 Group 2 unit eligible for such allocation. (9) If, after completion of the procedures under para graphs (b)(5) through (8) of this section for such control period, any unallocated TR SO 2 Group 2 allowances remain in the Indian country new unit set - aside for the State for such control period, the Administrator will allocate such TR SO 2 Group 2 allowanc es as follows -- (i) The Administrator will determine, for each unit described in paragraph (b)(1) of this section that commenced commercial operation during the period starting January 1 of the year before the year of such control period and ending Novembe r 30 of year of such control period, the positive difference (if any) between the unit’s emissions during such control period and the amount of TR SO 2 Group 2 allowances referenced in the notice of data availability required under §97.711(b)(2)(ii) for the unit for such control period; (ii) The Administrator will determine the sum of the positive differences determined under paragraph (b)(9)(i) of this section;*** E.O. 12866 Review

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Page 701 of 773 (iii) If the amount of unallocated TR SO 2 Group 2 allowances remaining in the Indian country new unit set - aside for the State for such control period is greater than or equal to the sum determined under paragraph (b)(9)(ii) of this section, then the Administrator will allocate the amount of TR SO 2 Group 2 allowances determined for each such TR SO 2 Group 2 unit under paragraph (b)(9)(i) of this section ; and (iv) If the amount of unallocated TR SO 2 Group 2 allowances remaining in the Indian country new unit set - aside for the State for such control period is less than the sum under paragraph (b)(9)(ii) of this section, then the Administrator will allocate to each such TR SO 2 Group 2 unit the amount of the TR SO 2 Group 2 allowances determined under paragraph (b)(9)(i) of this section for the unit, multiplied by the amount of unallocated TR SO 2 Group 2 allowances remaining in the Indian country new unit set aside for such control period, divided by the sum under paragraph (b)(9)(ii) of this section, and rounded to the nearest allowance. (10) If, after completion of the procedures under paragraph s (b)(9) and ( 12) of this section for such control period, any unallocated TR SO 2 Group 2 allowances remain in the Indian country new unit set - aside for the State for such control period, the Administrator will:*** E.O. 12866 Review

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Page 702 of 773 (i) Transfer such unallocated TR SO 2 Group 2 allowances to the new unit set - aside for the State for such control period; or (ii) If the State has a SIP revision approved under § 52.39(g), (h), or (i) of this chapter covering such control period , include such unallocated TR SO 2 Group 2 allowances in the portion of the State SO 2 Group 2 trading budget that may be allocated for such control period in accordance with such SIP revision. (11) The Administrator will notify the public, through the promulgation of the notices of data availability described in §97.711(b)(2)(iii) , (iv), and (v), of the amount of TR SO 2 Group 2 allowances allocated under paragraphs (b)(9), (10), and (12) of this section for such control period to each TR SO 2 Group 2 unit eligible for such allocation. (12) (i) Notwithstanding the requirements of paragraphs (b)(2) through (11) of this section, if the calculations of allocations of an Indian country new unit set - aside for a control period in a given year under paragraph (b)(7) of this section, paragraphs (b)( 6) and (9)(iv) of this section, or paragraphs (b)(6), (9)(iii), and (10) of this section would otherwise result in total allocations of such Indian country new unit set - aside exceeding the total amount of such Indian country new unit set aside, then the Administrator will adjust the results of the*** E.O. 12866 Review

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Page 703 of 773 calculations under paragraph (b)(7), (9)(iv), or (10) of this section, as applicable, as follows. The Administrator will list the TR SO 2 Group 2 units in descending order based on the amount of such units’ alloca tions under paragraph (b)(7), (9)(iv), or (10) of this section, as applicable, and, in cases of equal allocation amounts, in alphabetical order of the relevant source’s name and numerical order of the relevant unit’s identification number, and will reduce each unit’s allocation under paragraph (b)(7), (9)(iv), or (10) of this section, as applicable, by one TR SO 2 Group 2 allowance (but not below zero) in the order in which the units are listed and will repeat this reduction process as necessary, until the t otal allocations of such Indian country new unit set - aside equal the total amount of such Indian country new unit set - aside. (ii) Notwithstanding the requirements of paragraphs (b)(10) and (11) of this section, if the calculations of allocations of an I ndian country new unit set - aside for a control period in a given year under paragraphs (b)(6), (9)(iii), and (10) of this section would otherwise result in a total allocations of such Indian country new unit set - aside less than the total amount of such Indian country new unit set - aside, then the Administrator will adjust the results of the calculations under paragraph (b)(10) of this section, as follows. The Administrator will*** E.O. 12866 Review

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Page 704 of 773 list the TR SO 2 Group 2 units in descending order based on the amount of such units’ allocations under paragraph (b)(10) of this section and, in cases of equal allocation amounts, in alphabetical order of the relevant source’s name and numerical order of the relevant unit’s ident ification number, and will increase each unit’s allocation under paragraph (b)(10) of this section by one TR SO 2 Group 2 allowance in the order in which the units are listed and will repeat this increase process as necessary, until the total allocations of such Indian country new unit set - aside equal the total amount of such Indian country new unit set - aside. § 97.713 Authorization of designated representative and alternate designated representative. (a) Except as provided under §97.715, each TR SO 2 Group 2 source, including all TR SO 2 Group 2 units at the source, shall have one and only one designated representative, with regard to all matters under the TR SO 2 Group 2 Trading Program. (1) The designated representative shall be selected by an agreement bin ding on the owners and operators of the source and all TR SO 2 Group 2 units at the source and shall act in accordance with the certification statement in §97.716(a)(4)(iii).*** E.O. 12866 Review

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Page 705 of 773 (2) Upon and after receipt by the Administrator of a complete certificate of repre sentation 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 SO 2 Group 2 unit at the source in all matters pertaining to the TR SO 2 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 SO 2 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 SO 2 Group 2 source may have one and only on e 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 a ct 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*** E.O. 12866 Review

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Page 706 of 773 and all TR SO 2 Group 2 units at the source and shall act in accordance with the cer tification 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, inac tion, 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 SO 2 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 repre sentative” (as distinguished from the term “common designated representative”) is used in this subpart, the term shall be construed to include the designated representative or any alternate designated representative.*** E.O. 12866 Review

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Page 707 of 773 § 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 SO 2 Group 2 Trading Program shall be made, signed, and certified by the desi gnated representative or alternate designated representative for each TR SO 2 Group 2 source and TR SO 2 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.”*** E.O. 12866 Review

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Page 708 of 773 (b) The Administrator will accept or act on a submission made for a TR SO 2 Group 2 source or a TR SO 2 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; changes in units at the source. (a) Changing designated representative . The designated representative may be changed at any time upon receipt by the Administrator of a superseding complete certificate of representation under §97.716. Notwithstanding any such change, all representations, actions, inactions, and submissions by the previous designated representative before the time and date when the Administrator rec eives the superseding certificate of representation shall be binding on the new designated representative and the owners and operators of the TR SO 2 Group 2 source and the TR SO 2 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*** E.O. 12866 Review

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Page 709 of 773 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 representat ive, and the owners and operators of the TR SO 2 Group 2 source and the TR SO 2 Group 2 units at the source. (c) Changes in owners and operators . (1) In the event an owner or operator of a TR SO 2 Group 2 source or a TR SO 2 Group 2 unit at the source 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 submission s 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 owne rs and operators of a TR SO 2 Group 2 source or a TR SO 2 Group 2 unit at the source, including the addition or removal of an owner or operator, the designated representative or any alternate designated representative shall submit a revision to the*** E.O. 12866 Review

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Page 710 of 773 certifica te of representation under §97.716 amending the list of owners and operators to reflect the change. (d) Changes in units at the source . Within 30 days of any change in which units are located at a TR SO 2 Group 2 source (including the addition or removal o f a unit), the designated representative or any alternate designated representative shall submit a certificate of representation under §97.716 amending the list of units to reflect the change. (1) If the change is the addition of a unit that operated (other than for purposes of testing by the manufacturer before initial installation) before being located at the source, then the certificate of representation shall identify, in a format prescribed by the Administrator, the entity from whom the unit was purchased or otherwise obtained (including name, address, telephone number, and facsimile number (if any)), the date on which the unit was purchased or otherwise obtained, and the date on which the unit became located at the source. (2) If the change is the removal of a unit, then the certificate of representation shall identify, in a format prescribed by the Administrator, the entity to which the unit was sold or that otherwise obtained the unit (including name, address, telephone number, and facsimile number (if any)), the date on which the*** E.O. 12866 Review

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Page 711 of 773 unit was sold or otherwise obtained, and the date on which the unit became no longer located at the source. § 97.716 Certificate of representation. (a) A complete certificate of representation for a designated representa tive or an alternate designated representative shall include the following elements in a format prescribed by the Administrator: (1) Identification of the TR SO 2 Group 2 source, and each TR SO 2 Group 2 unit at the source, for which the certificate of repre sentation 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 namep late capacity (in MWe, rounded to the nearest tenth) of each generator served by each such unit, actual or projected date of commencement of commercial operation , and a statement of whether such source is located in Indian Country. If a projected date of commencement of commercial operation is provided, the actual date of commencement of commercial operation shall be provided when such information becomes available.*** E.O. 12866 Review

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Page 712 of 773 (2) The name, address, e -mail address (if any), telephone number, and facsimile transmissio n number (if any) of the designated representative and any alternate designated representative. (3) A list of the owners and operators of the TR SO 2 Group 2 source and of each TR SO 2 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 SO 2 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 SO 2 Group 2 Trading Program on behalf of the owners and operators of the source and of each TR SO 2 Group 2 unit at the source and that each such owner and operator shall be fully bound by my representations, actions, inactions, or submissions and by any decision or order issued to me by the Administrator regarding the source or unit.”*** E.O. 12866 Review

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Page 713 of 773 (iii) “Where ther e are multiple holders of a legal or equitable title to, or a leasehold interest in, a TR SO 2 Group 2 unit, or where a utility or industrial customer purchases power from a TR SO 2 Group 2 unit under a life - of - the - unit, firm power contractual arrangement, I certify that: I have given a written notice of my selection as the ‘designated representative’ or ‘alternate designated representative’, as applicable, and of the agreement by which I was selected to each owner and operator of the source and of each TR SO 2 Group 2 unit at the source; and TR SO 2 Group 2 allowances and proceeds of transactions involving TR SO 2 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 SO 2 Group 2 allowances by contract, TR SO 2 Group 2 allowances and proceeds of transactions involving TR SO 2 Group 2 allowances will be deemed to b e 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*** E.O. 12866 Review

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Page 714 of 773 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 ce rtificate of representation under §97.716 is received by the Administrator. (b) Except as provided in paragraph (a) of this section, no objection or other communication submitted to the Administrator concerning the authorization, or any representation, act ion, 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 SO 2 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 r epresentative or alternate designated representative, including private legal*** E.O. 12866 Review

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Page 715 of 773 disputes concerning the proceeds of TR SO 2 Group 2 allowance transfers. § 97.718 Delegation by designated representative and alternate designated representative. (a) A designate d 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 n atural persons, his or her authority to make an electronic submission to the Administrator provided for or required under this subpart. (c) In order to delegate authority to a natural person to make an electronic submission to the Administrator in accordan ce 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 foll owing elements:*** E.O. 12866 Review

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Page 716 of 773 (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 in this section as an “agent”); (3) For each such natural person, a list of the type or types of electronic submissions under paragraph (a) or (b) of this section for which authorit y 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*** E.O. 12866 Review

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Page 717 of 773 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 regar d 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 cover ed 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 des ignated representative submitting such notice of delegation. § 97.719 [Reserved] § 97.720 Establishment of compliance accounts, assurance accounts, and general accounts.*** E.O. 12866 Review

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Page 718 of 773 (a) Compliance accounts . Upon receipt of a complete certificate of representation under §97.716, the Administrator will establish a compliance account for the TR SO 2 Group 2 source for which the certificate of representation was submitted, unless the source already has a compliance account. The designated representative and any alterna te designated representative of the source shall be the authorized account representative and the alternate authorized account representative respectively of the compliance account. (b) Assurance accounts. The Administrator will establish assurance accounts for certain owners and operators and States in accordance with §97.725(b)( 3). (c) General accounts . (1) Application for general account. (i) Any person may apply to open a general account, for the purpos e of holding and transferring TR SO 2 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 on e 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*** E.O. 12866 Review

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Page 719 of 773 agreement binding on the person s who have an ownership interest with respect to TR SO 2 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 authoriz ed 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 bi nding agreement for the authorized account representative and any alternate authorized account representative to represent their ownership interest with respect to the TR SO 2 Group 2 allowances held in the general account;*** E.O. 12866 Review

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Page 720 of 773 (D) The following certification s tatement 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 agreemen t that is binding on all persons who have an ownership interest with respect to TR SO 2 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 SO 2 Group 2 Tr ading Program on behalf of such persons and that each such person shall be fully bound by my representations, actions, inactions, or submissions and by any decision or order issued to me by the Administrator regarding the general account.” (E) The signatur e 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.*** E.O. 12866 Review

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Page 721 of 773 (2) Authorization of authorized account representative and alternate authorized account represent ative . (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 SO 2 Group 2 allowances held in the general account in all matters pertaining to the TR SO 2 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 SO 2 Group 2 allowances held in the general account shall be bound*** E.O. 12866 Review

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Page 722 of 773 by any decision or order issued to the authorized account representative or alternate authorized account representative by the Administrator regarding the general account. (ii) Except as provi ded in paragraph (c)(5) of this section concerning delegation of authority to make submissions, each submission concerning the general account shall be made, signed, and certified by the authorized account representative or any alternate authorized account representative for the persons having an ownership interest with respect to TR SO 2 Group 2 allowances held in the general account. Each such submission shall include the following certification statement by the authorized account representative or any al ternate authorized account representative: “I am authorized to make this submission on behalf of the persons having an ownership interest with respect to the TR SO 2 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*** E.O. 12866 Review

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Page 723 of 773 omitting required statements and information, including the possib ility 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 receip t by the Administrator of a superseding complete application for a general account under paragraph (c)(1) of this section. Notwithstanding any such change, all representations, actions, inactions, and submissions by the previous authorized account represe ntative 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 SO 2 Group 2 a llowances 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*** E.O. 12866 Review

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Page 724 of 773 general account under paragraph (c)(1) of this section. Notwithstanding any such change, all representations, actions, inactions, and submissions by the previous alternate authorized account representative before the time and date when the Administrator receives the superseding application for a general account shall be binding on the new alternate authorized account representative, the authorized account representative, and the persons with an ownership interest with respect to the TR SO 2 Group 2 allowances in the general account. (iii)(A) In the event a person having an ownership interest with respect to TR SO 2 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 i f the person were included in such list. (B) Within 30 days after any change in the persons having an ownership interest with respect to SO 2 Group 2 allowances in the general account, including the addition or removal of a person, the authorized account representative or any alternate*** E.O. 12866 Review

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Page 725 of 773 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 SO 2 Group 2 allowances in the general account to include the change. (4) Objections concerning authorized account representative and alternate authorized account representative. (i) Once a complete application for a general account under paragraph (c)(1) of this section has been submitted and receive d, 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 (c)(4)(i) of this sect ion, 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 ge neral 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 SO 2 Group 2 Trading Program.*** E.O. 12866 Review

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Page 726 of 773 (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 repres entative of a general account, including private legal disputes concerning the proceeds of TR SO 2 Group 2 allowance transfers. (5) Delegation by authorized account representative and alternate authorized account representative. (i) An authorized account representative of a general account may delegate, to one or more natural persons, his or her authority to make an electronic submission to the Administrator provided for or required under this subpart. (ii) An alternate authorized account representative of a general account may delegate, to one or more natural persons, his or her authority to make an electronic submission to the Administrator provided for or required under this subpart. (iii) In order to delegate authority to a natural person to make an elec tronic submission to the Administrator in accordance with paragraph (c)(5)(i) or (ii) of this section, the authorized account representative or alternate authorized account representative, as appropriate, must submit to the Administrator*** E.O. 12866 Review

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Page 727 of 773 a notice of delega tion, 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 a ccount representative; (B) The name, address, e -mail address, telephone number, and facsimile transmission number (if any) of each such natural person (referred to in this section as an “agent”); (C) For each such natural person, a list of the type or type s of electronic submissions under paragraph (c)(5)(i) or (ii) of this section for which authority is delegated to him or her; (D) The following certification statement by such authorized account representative or alternate authorized account representative : “I agree that any electronic submission to the Administrator that is made by an agent identified in this notice of delegation and of a type listed for such agent in this notice of delegation and that is made when I am an authorized account representative or alternate authorized representative, as appropriate, and before this notice of delegation is superseded by another notice of delegation under 40 CFR 97.720(c)(5)(iv) shall be deemed to be an electronic submission by me.”; and*** E.O. 12866 Review

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Page 728 of 773 (E) The following certifi cation 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(c)(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(c)(5) is terminated.”. (iv) A notice of delegation submitted under paragraph (c)(5)(iii) of this section shall be effective, with regard to the authorized account representative or alternate authorized account representative identified in such notice, upon receipt of such notice by the Administrator and until receipt by the Administrator of a superseding notice of del egation 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 delega tion of authority. (v) Any electronic submission covered by the certification in paragraph (c)(5)(iii)(D) of this section and made in accordance with a notice of delegation effective under paragraph (c)(5)(iv) of this section shall be deemed to be an elect ronic submission*** E.O. 12866 Review

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Page 729 of 773 by the designated representative or alternate designated representative submitting such notice of delegation. (6) Closing a general account. (i) The authorized account representative or alternate authorized account representative of a gene ral account may submit to the Administrator a request to close the account. Such request shall include a correctly submitted TR SO 2 Group 2 allowance transfer under §97.722 for any TR SO 2 Group 2 allowances in the account to one or more other Allowance Management System accounts. (ii) If a general account has no TR SO 2 Group 2 allowance transfers to or from the account for a 12 -month period or longer and does not contain any TR SO 2 Group 2 allowances, the Administrator may notify the authorized account rep resentative for the account that the account will be closed after 30 days after the notice is sent. The account will be closed after the 30 - day period unless, before the end of the 30 - day period, the Administrator receives a correctly submitted TR SO 2 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.*** E.O. 12866 Review

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Page 730 of 773 (d) Account identification . The Administrator will assign a unique identifying number to each account established under paragraph (a), (b), or (c) of this section. ( e ) Responsibilities of authorized account representative and alternate authorized account representative . After the establishment of a compliance account or general account, the Administrator will accept or act on a submission pertaining to the account, including, but not limited to, submissions concerning the deduction or transfer of TR SO 2 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 (c)(2)(ii) and (c)(5) of this section. § 97.721 Recordation of TR SO2 Group 2 allowance allocations and auction results. (a) By [INSERT DATE 90 DAYS FROM DATE OF PUBLICATION IN THE FEDERAL REGISTER], the Administrator will record in each TR SO 2 Group 2 source's compliance account the TR SO 2 Group 2 allowances allocated to the TR SO 2 Group 2 units at the source in accordance with §97.711(a) for the control period in 2012. (b) By [INSERT DATE 90 DAYS FROM DATE OF PUBLICATION IN THE FEDERAL REGISTER], the Administrator will record in each TR SO 2 Group 2 source's compliance account the TR SO 2 Group 2 allowances*** E.O. 12866 Review

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Page 731 of 773 allocated to the TR SO 2 Group 2 units at the source in accordance with §97.711(a) for the control period in 2013, unless the State in which the source is located notifies the Administrator in writing by [INSERT DATE 70 DAYS FROM DATE OF PUBLICATION IN THE FEDERAL REGISTER] of the State’s intent to submit to the Administrator a complete SIP revision by April 1, 2012 meeting the requirements of § 52.39(g)(1) through (4) of this chapter. (1) If, by April 1, 2012, the State does not submit to the Administrator such complete SIP revision, the Administrator will record by April 15, 2012 in each TR SO 2 Group 2 source's compliance account the TR SO 2 Group 2 allowances allocated to the TR SO 2 Group 2 units at the source in accordance with §97.711(a) for the control period in 2013. (2) If the State submits to the Administrator by April 1, 2012, and the Administrator approves by October 1, 2012, such complete SIP revision, the Administrator will record by October 1, 2012 in each TR SO 2 Group 2 source's compliance account the TR SO 2 Group 2 allowances allocated to the TR SO 2 Group 2 units at the source as provided in such approved, complete SIP revision for the control period in 2013. (3) If the State submits to the Administrator by April 1, 2012, and the Administrator does not approve by October 1, 2012, such*** E.O. 12866 Review

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Page 732 of 773 complete SIP revision, the Administrator will record by October 1, 2012 in each TR SO 2 Group 2 source's compliance account the TR SO 2 Group 2 allowances allocated to the TR SO 2 Group 2 units at the source in accordance with §97.711(a) for the control period in 2013. (c) By July 1, 2013, the Administrator will record in each TR SO 2 Group 2 source's compliance account the TR SO 2 Group 2 allowances allocated to the TR SO 2 Group 2 units at the source , or in each appropriate Allowance Management System account the TR SO 2 Group 2 allowances auctioned to TR SO 2 Group 2 units , in accordance with §97.711(a), or with a SIP revision approved under § 52.39(h) or (i) of this chapter, for the control period in 2 014 and 2015. (d) By July 1, 2014, the Administrator will record in each TR SO 2 Group 2 source's compliance account the TR SO 2 Group 2 allowances allocated to the TR SO 2 Group 2 units at the source , or in each appropriate Allowance Management System accoun t the TR SO 2 Group 2 allowances auctioned to TR SO 2 Group 2 units , in accordance with §97.711(a), or with a SIP revision approved under § 52.39(h) or (i) of this chapter, for the control period in 2016 and 2017. (e) By July 1, 2015, the Administrator will r ecord in each TR SO 2 Group 2 source's compliance account the TR SO 2 Group 2 allowances allocated to the TR SO 2 Group 2 units at the source , or in each*** E.O. 12866 Review

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Page 733 of 773 appropriate Allowance Management System account the TR SO 2 Group 2 allowances auctioned to TR SO 2 Group 2 units , in accordance with §97.711(a), or with a SIP revision approved under § 52.39(h) or (i) of this chapter, for the control period in 2018 and 2019. (f) By July 1, 2016 and July 1 of each year thereafter, the Administrator will record in each TR SO 2 Group 2 source's compliance account the TR SO 2 Group 2 allowances allocated to the TR SO 2 Group 2 units at the source , or in each appropriate Allowance Management System account the TR SO 2 Group 2 allowances auctioned to TR SO 2 Group 2 units , in accordance with §97.711(a), or with a SIP revision approved under § 52.39(h) and (i) of this chapter, for the control period in the fourth year after the year of the applicable recordation deadline under this paragraph. (g) By August 1, 2012 and August 1 of each year thereafter, the Administrator will record in each TR SO 2 Group 2 source's compliance account the TR SO 2 Group 2 allowances allocated to the TR SO 2 Group 2 units at the source , or in each appropriate Allowance Management System account the TR SO 2 Group 2 allowances auctioned to TR SO 2 Group 2 units , in accordance with §97.712(a) (2) through (8) and (12) , or with a SIP revision approved under § 52.39(h) and (i) of this chapter, for the*** E.O. 12866 Review

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Page 734 of 773 control period in the year of the applicable recordation deadline under this paragraph. (h) By August 1, 2012 and August 1 of each year thereafter, the Administrator will record in each TR SO 2 Group 2 source's compliance account the TR SO 2 Group 2 allowances allocated to the TR SO 2 Group 2 units at the source in accordance with §97.712(b) (2) through (8) and (12) for the control period in the year of the applicable recordation deadline under this paragraph. (i) By February 15 , 201 3 and February 15 of each year thereafter, the Administrator will record in each TR SO 2 Group 2 source's compliance account the TR SO 2 Group 2 allowances allocated to the TR SO 2 Group 2 units at the source in accordance with §97. 7 12 (a)(9) through (12), for the control period in the year before the year of the applicable recordation deadline under this paragraph. ( j ) By the date on which any allocation or auction results , other than an allocation or auction results, described in paragraphs (a) through ( i ) of this section, of TR SO 2 Group 2 allowances to a recipient is made by or are submitted to the Administrator in accordance with §97.711 or §97.712 or with a SIP revision approved under § 52.39(h) or (i) of this chapter,*** E.O. 12866 Review

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Page 735 of 773 the Administrator will record such allocation or auction results in the appropriate Allowance Management System account. ( k ) When recording the allocation or auction of TR SO 2 Group 2 allowances to a TR SO 2 Group 2 unit or other entity in an Allowance Management System account, the Administrator will assign each TR SO 2 Group 2 allowance a unique identification number that will include digits identifying the year of the control period for which the TR SO 2 Group 2 allowance is allocated or auctioned . § 97.722 Submission of TR SO2 Group 2 allowance transfers. (a) An authorized account representative seeking recordation of a TR SO 2 Group 2 allowance transfer shall submit the transfer to the Administrator. (b) A TR SO 2 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;*** E.O. 12866 Review

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Page 736 of 773 (ii) The serial number of each TR SO 2 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 SO 2 Group 2 allowance identified by serial number in the transfer. § 9 7.723 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 SO 2 Group 2 allowance transfer that is correctly submitted under §97.722, the Administrator will re cord a TR SO 2 Group 2 allowance transfer by moving each TR SO 2 Group 2 allowance from the transferor account to the transferee account as specified in the transfer. (b) A TR SO 2 Group 2 allowance transfer to or from a compliance account that is submitted for recordation after the allowance transfer deadline for a control period and that includes any TR SO 2 Group 2 allowances allocated for any control period before such allowance transfer deadline will not be recorded until after the Administrator complete s the deductions from such*** E.O. 12866 Review

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Page 737 of 773 compliance account under §97.724 for the control period immediately before such allowance transfer deadline. (c) Where a TR SO 2 Group 2 allowance transfer is not correctly submitted under §97.722, the Administrator will not recor d such transfer. (d) Within 5 business days of recordation of a TR SO 2 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 accoun ts. (e) Within 10 business days of receipt of a TR SO 2 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 decisio n not to record the transfer, and (2) The reasons for such non - recordation. § 97.724 Compliance with TR SO2 Group 2 emissions limitation. (a) Availability for deduction for compliance . TR SO 2 Group 2 allowances are available to be deducted for compliance with a source's TR SO 2 Group 2 emissions limitation for a control period in a given year only if the TR SO 2 Group 2 allowances:*** E.O. 12866 Review

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Page 738 of 773 (1) Were allocated for such control period or a control period in a prior year; and (2) Are held in the source’s compliance acc ount as of the allowance transfer deadline for such control period. (b) Deductions for compliance . After the recordation, in accordance with §97.723, of TR SO 2 Group 2 allowance transfers submitted by the allowance transfer deadline for a control perio d in a given year, the Administrator will deduct from each source’s compliance account TR SO 2 Group 2 allowances available under paragraph (a) of this section in order to determine whether the source meets the TR SO 2 Group 2 emissions limitation for such c ontrol period, as follows: (1) Until the amount of TR SO 2 Group 2 allowances deducted equals the number of tons of total SO 2 emissions from all TR SO 2 Group 2 units at the source for such control period; or (2) If there are insufficient TR SO 2 Group 2 allowances to complete the deductions in paragraph (b)(1) of this section, until no more TR SO 2 Group 2 allowances available under paragraph (a) of this section remain in the compliance account. (c)(1) Identification of TR SO 2 Group 2 allowances by serial number . The authorized account representative for a source's*** E.O. 12866 Review

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Page 739 of 773 compliance account may request that specific TR SO 2 Group 2 allowances, identified by serial number, in the compliance account be deducted for emissions or excess emissions for a control period in a given year in accordance with paragraph (b) or (d) of this section. In order to be complete, such request shall be submitted to the Administrator by the allowance transfer deadline for such control period and include, in a format prescribed by the Administrator, the identification of the TR SO 2 Group 2 source and the appropriate serial numbers. (2) First - in, first - out . The Administrator will deduct TR SO 2 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 SO 2 Group 2 allowances in such request, on a first - in, first - out accounting basis in the following order: (i) Any TR SO 2 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*** E.O. 12866 Review

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Page 740 of 773 (ii) Any TR SO 2 Group 2 allowances that were allocated t o 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 p eriod in a year in which the TR SO 2 Group 2 source has excess emissions, the Administrator will deduct from the source's compliance account an amount of TR SO 2 Group 2 allowances, allocated for a control period in a prior year or the control period in the year of the excess emissions or in the immediately following year , equal to two times the number of tons of the source's excess emissions. (e) Recordation of deductions . The Administrator will record in the appropriate compliance account all deductions fr om 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 SO 2 Group 2 allowances are available to be deducted for compliance with the TR SO 2 Group 2 assurance provisions for a control period in a given year by the owners and operators of a group of one or more TR SO 2 Group 2 sources and units in a State (and Indian country within the borders of such State) only if the TR SO 2 Group 2 allowances :*** E.O. 12866 Review

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Page 741 of 773 (1) Were allocated for a control period in a prior year or the control period in the given year or in the immediately following year ; and (2) Are held in the assurance account, established by the Administrator for such owners and operators of such group of TR SO 2 Group 2 sources and units in such State (and Indian country within the borders of such State) under paragraph (b)(3) of this section, as of the deadline established in paragraph (b)( 4 ) of this section. (b) Deductions for compliance . The Administrator will deduct TR SO 2 Group 2 allowances available under paragraph (a) of this section for compliance with the TR SO 2 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, 2013 and June 1 of each year thereafter, the Administrator will: (i) Calculate, for each State (and Indian country within the borders of such State) , the total SO 2 emissions from all TR SO 2 Group 2 units at TR SO 2 Group 2 sources in the State (and Indian country within the borders of such State) during the control period in the year before the year of this calculation deadline and the amount, if any, by which such total SO 2 emissions exceed*** E.O. 12866 Review

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Page 742 of 773 the State assurance level as described in §97.706(c)(2)( iii); and (ii) Promulgate a notice of data availability of the results of the calculations required in paragraph (b)(1)(i) of this section, including separate calculations of the SO 2 emissions from each TR SO 2 Group 2 source. (2) For each notice of data availability required in paragraph (b)(1)(ii) of this section and for any State (and Indian country within the borders of such State) identified in such notice as having TR SO 2 Group 2 units with total SO 2 emissions exceeding the State assurance level for a control period in a given year, as described in §97.706(c)(2)(iii): (i) By July 1 immediately after the promulgation of such notice, the designated representative of each TR SO 2 Group 2 source in each such State (and Indian country within the borders of such State) shall submit a statement, in a format prescribed by the Administrator, providing for each TR SO 2 Group 2 unit (if any) at the source that operates during, but is not allocated an amount of TR SO 2 Group 2 allowances for, such control period, the unit’s allowable SO 2 emission rate for such control period and, if such rate is expressed in lb per mmBtu, the unit’s heat rate.*** E.O. 12866 Review

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Page 743 of 773 (ii) By August 1 immediately after the promulgation of such notice, the Administrator will calculate, for each such State (and Indian country within the borders of such State) and such control period and each common designated representative for such control period for a group of one or more TR SO 2 Group 2 sources and units in the State (and Indian country within the borders of such State), the common designated representative’s share of the total SO 2 emissions from all TR SO 2 Group 2 units at TR SO 2 Group 2 sources in the State (and Indian country within the borders of such State ) , the common designated representative’s assurance level, and the amount (if any) of TR SO 2 Group 2 allowances that the owners and operators of such group of sources and units must hold in accordance with the calculation formula in §97.706(c)(2)(i) and wi ll promulgate a notice of data 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)(2)(ii) of this section and the calculations referenced by the relevant notice of data availability required in paragraph (b)(1)(i) of this section.*** E.O. 12866 Review

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Page 744 of 773 (A) Objections shall be submitted by the deadline specified in such notice and shall be limited to addressing whether the calculations referenced in the relevant notice required under paragraph (b)(1)(ii) of this section and referenced in the notice required under paragraph (b)(2)(ii) of this section are in accordance with §97.706(c)(2)(iii), §§97.706(b) and 97.730 through 97.735, the definitions of “common designated representative”, “common designated representative’s assurance level”, and “common designated representative’s share” in §97.702, and the calculation formula in §97.706(c)(2)(i). (B) The Admin istrator will adjust the calculations to the extent necessary to ensure that they are in accordance with the provisions referenced in paragraph (b)(2)(iii)(A) of this section. By October 1 immediately after the promulgation of such notice, the Administrat or will promulgate a notice of data 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)(iii)(A) of this section. (3) For any State (and Indian country within the borders of such State) referenced in each notice of data availability required in paragraph (b)(2)(iii)(B) of this section as having TR SO 2 Group 2 units with total SO 2 emissions exceeding the State*** E.O. 12866 Review

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Page 745 of 773 assurance level f or a control period in a given year, the Administrator will establish one assurance account for each set of owners and operators referenced , in the notice of data availability required under paragraph (b)(2)(iii)(B) of this section, as all of the owners an d operators of a group of TR SO 2 Group 2 sources and units in the State (and Indian country within the borders of such State) having a common designated representative for such control period and as being required to hold TR SO 2 Group 2 allowances. (4 )(i) As of midnight of November 1 immediately after the promulgation of each notice of data availability required in paragraph (b)(2)(iii)(B) of this section, the owners and operators described in paragraph (b)(3) of this section shall hold in the assuranc e account established for the them and for the appropriate TR SO 2 Group 2 sources, TR SO 2 Group 2 units, and State (and Indian country within the borders of such State) under paragraph (b)(3) of this section a total amount of TR SO 2 Group 2 allowances, ava ilable for deduction under paragraph (a) of this section, equal to the amount such owners and operators are required to hold with regard to such sources, units and State (and Indian country within the borders of such State) as calculated by the Administrat or and referenced in such notice.*** E.O. 12866 Review

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Page 746 of 773 (ii) Notwithstanding the allowance - holding deadline specified in paragraph (b)(4)(i) of this section, if November 1 is not a business day, then such allowance - holding deadline shall be midnight of the first business day thereafter. (5) After November 1 (or the date described in paragraph (b)(4)(ii) of this section) immediately after the promulgation of each notice of data availability required in paragraph (b)(2)(iii)(B) of this section and after the recordation, in accordance with §97.723, of TR SO 2 Group 2 allowance transfers submitted by midnight of such date, the Administrator will determine whether the owners and operators described in paragraph (b)(3) of this section hold, in the assurance account for the appropriate TR SO 2 Group 2 sources, TR SO 2 Group 2 units, and State (and Indian country within the borders of such State) established under paragraph (b)(3) of this section, the amount of TR SO 2 Group 2 allowances available under paragraph (a) of this section that the owners and operators are required to hold with regard to such sources, units, and State (and Indian country within the borders of such State) as calculated by the Administrator and referenced in the notice required in paragraph (b)(2)(iii)(B) of this sec tion. (6) Notwithstanding any other provision of this subpart and any revision, made by or submitted to the Administrator after the*** E.O. 12866 Review

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Page 747 of 773 promulgation of the notice of data availability required in paragraph (b)(2)(iii)(B) of this section for a control period in a given year, of any data used in making the calculations referenced in such notice, the amounts of TR SO 2 Group 2 allowances that the owners and operators are required to hold in accordance with §97.706(c)(2)(i) for such control period shall continue to be such amounts as calculated by the Administrator and referenced in such notice required in paragraph (b)(2)(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 li tigation 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 dat a as so revised to recalculate the amounts of TR SO 2 Group 2 allowances that owners and operators are required to hold in accordance with the calculation formula in §97.706(c)(2)(i) for such control period with regard to the TR SO 2 Group 2 sources, TR SO 2 Group 2 units, and State (and Indian country within the borders of such State) involved, provided that such litigation under part 78 of this chapter, or the proceeding under part 78 of this chapter that resulted in the decision appealed in such*** E.O. 12866 Review

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Page 748 of 773 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)(iii)(B) of this section. (ii) If any such data are revised by the owners and operators of a TR SO 2 Group 2 source an d TR SO 2 Group 2 unit whose designated representative submitted such data under paragraph (b)(2)(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 SO 2 Group 2 allowances that owners and operators are required to hold in accordance with the calculation formula in §97.706(c)(2)(i) for such control period with regard to the TR SO 2 Group 2 sources, TR SO 2 Group 2 units, and State (and Indian country within the borders of such State) involved, provided that such litigation was initiated no later than 30 days after promulgation of such notice required in paragraph (b)(2)(iii)(B) of this section. (iii) If the revised data ar e used to recalculate, in accordance with paragraphs (b)(6)(i) and (ii) of this section, the amount of TR SO 2 Group 2 allowances that the owners and operators are required to hold for such control period with regard to the TR SO 2 Group 2 sources, TR SO 2 Gr oup 2 units, and State (and Indian country within the borders of such State) involved

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Page 749 of 773 (A) Where the amount of TR SO 2 Group 2 allowances that the owners and operators are required to hold increases as a result of the use of all such revised data, the Admi nistrator will establish a new, reasonable deadline on which the owners and operators shall hold the additional amount of TR SO 2 Group 2 allowances in the assurance account established by the Administrator for the appropriate TR SO 2 Group 2 sources, TR SO 2 Group 2 units, and State (and Indian country within the borders of such State) under paragraph (b)(3) of this section. The owners’ and operat o rs’ failure to hold such additional amount, as required, before the new deadline shall not be a violation of the Clean Air Act. The owners’ and operators’ failure to hold such additional amount, as required, as of the new deadline shall be a violation of the Clean Air Act. Each TR SO 2 Group 2 allowance that the owners and operators fail to hold as required as of the new deadline, and each day in such control period, shall be a separate violation of the Clean Air Act. (B) For the owners and operators for which the amount of TR SO 2 Group 2 allowances required to be held decreases as a result of the use of all such revised data, the Administrator will record, in all accounts from which TR SO 2 Group 2 allowances were transferred by such owners and operators for such control period to the assurance account established by the Administrator for*** E.O. 12866 Review

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Page 750 of 773 the appropriate at TR SO 2 Group 2 sources, TR SO 2 Group 2 units, and State (and Indian country within the borders of such State) under paragraph (b)(3) of this section, a total amount of the TR SO 2 Group 2 allowances held in such assurance account equal to the amount of the decreas e. If TR SO 2 Group 2 allowances were transferred to such assurance account from more than one account, the amount of TR SO 2 Group 2 allowances recorded in each such transferor account will be in proportion to the percentage of the total amount of TR SO 2 Group 2 allowances transferred to such assurance account for such control period from such transferor account. (C) Each TR SO 2 Group 2 allowance held under paragraph (b)(6)(iii)(A) of this section as a result of recalculation of requirements under the TR SO 2 Group 2 assurance provisions for such control period must be a TR SO 2 Group 2 allowance allocated for a control period in a year before or the year immediately following, or in the same year as, the year of such control period . § 97.726 Banking. (a) A TR SO 2 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.*** E.O. 12866 Review

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Page 751 of 773 (b) Any TR SO 2 Group 2 allowance that is held in a compliance account or a general account will remain in such account unless and until the TR SO 2 Group 2 allowance is deducted or transferred under §97.711(c), §97.723, §97.724, §97.725, 97.727, or 97.728. § 97.727 Account error. The Administrator may, at his or her sole discretion and on hi s 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 SO 2 Group 2 Trading Program and make appropriate adjustments of the information in the submission. (b) The Administrator may deduct TR SO 2 Group 2 allowances from or transfer TR SO 2 Group 2 allowances to a compliance account or an assurance 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]*** E.O. 12866 Review

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Page 752 of 773 § 97.730 General monitoring, recordkeeping, and reporting requirements. The owners and operators, and to the extent applicable, the designated representative, of a TR SO 2 Group 2 unit, shall comply with the monitoring, recordkeeping, and repo rting 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 represen tative,” and “continuous emission monitoring system” (or “CEMS”) in part 75 of this chapter shall be deemed to refer to the terms “TR SO 2 Group 2 unit,“ “designated representative,” and “continuous emission monitoring system” (or “CEMS”) respectively as de fined in §97.702, and the term “newly affected unit” shall be deemed to mean “newly affected TR SO 2 Group 2 unit”. The owner or operator of a unit that is not a TR SO 2 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 SO 2 Group 2 unit. (a) Requirements for installation, certification, and data accounting. The owner or operator of each TR SO 2 Group 2 unit shall:*** E.O. 12866 Review

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Page 753 of 773 (1) Install all monitoring systems r equired under this subpart for monitoring SO 2 mass emissions and individual unit heat input (including all systems required to monitor SO 2 concentration, stack gas moisture content, stack gas flow rate, CO 2 or O 2 concentration, and fuel flow rate, as applicable, in accordance with §§75.11 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 and shall record, report, and quality- as sure 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 SO 2 Group 2 unit that*** E.O. 12866 Review

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Page 754 of 773 commences commercial operation before July 1, 2011, January 1, 2012.
(2) For the owner or operator of a TR SO 2 Group 2 unit that commences commercial operation on or after July 1, 2011, by the later of the following : (i) January 1, 2012; or (ii) 180 calendar days after the date on which the unit commences commercial operat ion.
(3) The owner or operator of a TR SO 2 Group 2 unit for which construction of a new stack or flue or installation of add- on SO 2 emission controls is completed after the applicable deadline under paragraph (b)(1) or (2) of this section shall meet the requirements of §§75. 4(e)(1) through (e)(4) of this chapter, except that: (i) Such requirements shall apply to the monitoring systems required under § 97.730 through § 97.735, rather than the monitoring systems required under part 75 of this chapter; (ii) SO 2 concentration, stack gas moisture content, stack gas volumetric flow rate, and O 2 or CO 2 concentration data shall be*** E.O. 12866 Review

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Page 755 of 773 determined and reported, rather than the data listed in §75. 4(e)(2) of this chapter; and (iii) Any petition for another procedure under § 75. 4(e)(2) of this chapter shall be submitted under § 97.735, rather than §75 .66. (c) Reporting data . The owner or operator of a TR SO 2 Group 2 unit that does not meet the applicable compliance date set forth in paragraph (b) of this section for any monito ring 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 SO 2 concentration, stack gas flow rate, stack gas moisture content, fuel flow rate, and any other parameters required to determine SO 2 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 SO 2 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.*** E.O. 12866 Review

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Page 756 of 773 (2) No owner or operator of a TR SO 2 Group 2 unit shall operate the unit so as to discharge, or allow to be discharged, SO 2 to the atmosphere without accounting for all such SO 2 in accordance with the applicable provisions of this subpart and part 75 of this chapter. (3) No owner or operator of a TR SO 2 Group 2 unit shall disrupt the continuous emission monitoring system, any portion thereof, or any other approved emission monit oring method, and thereby avoid monitoring and recording SO 2 mass discharged into the atmosphere or heat input, except for periods of recertification or periods when calibration, quality assurance testing, or maintenance is performed in accordanc e with the applicable provisions of this subpart and part 75 of this chapter. (4) No owner or operator of a TR SO 2 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;*** E.O. 12866 Review

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Page 757 of 773 (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 §97.731 (d)(3)(i). (e) Long - term cold storage . The owner or operator of a TR SO 2 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 SO 2 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*** E.O. 12866 Review

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Page 758 of 773 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) that is 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 SO 2 Group 2 unit shall comply with the following initial certification and recertification procedures, for a continuous monitoring sy stem (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*** E.O. 12866 Review

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Page 759 of 773 with the procedures in paragraph (e) or (f) of this section respectively. (1) Requirements for initial cer tification. 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 o f 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 cert ification 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 SO 2 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 chapt er, the owner or operator shall recertify the monitoring system in accordance with §75.20(b) of this chapter.*** E.O. 12866 Review

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Page 760 of 773 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 pr obe 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 moni toring 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*** E.O. 12866 Review

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Page 761 of 773 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 §97.733. (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 specif ied 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 SO 2 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,*** E.O. 12866 Review

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Page 762 of 773 will be considered valid quality- assured data (retroactive to the date and time of provisional certification), provided that the Administrator doe s 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 wi ll 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 SO 2 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.*** E.O. 12866 Review

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Page 763 of 773 (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 dat e 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 Administ rator may issue a notice of disapproval under paragraph (d)(3)(iv)(C) of this section. (C) Disapproval notice. If the certification application shows that any monitoring system does not meet the performance requirements of part 75 of this chapter or if the certification application is incomplete and the requirement for disapproval under paragraph (d)(3)(iv)(B) of this section is met, then the Administrator will issue a written notice of disapproval of the certification application. Upon issuance of such notice of disapproval, the provisional certification is invalidated by the Administrator and the data measured and recorded by each uncertified monitoring system shall not be considered valid quality- assured data beginning with the date and hour of provisional certification (as defined under §75.20(a)(3) of this chapter).*** E.O. 12866 Review

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Page 764 of 773 (D) Audit decertification. The Administ rator 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 SO 2 pollutant concentration monitor and disapproved flow monitor, respectively, the maximum potential concentration of SO 2 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.*** E.O. 12866 Review

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Page 765 of 773 (2) For a disapproved moisture monitoring system and disapproved diluent gas monitoring system, respectively, the minimum potential moisture percentage and either the maximum potential CO 2 concentration or the minimum potential O 2 concentration (as applicable), a s 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 qualif ied to use the low mass emissions (LME) excepted methodology under §75.19 of this*** E.O. 12866 Review

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Page 766 of 773 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 elect s 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 appli cable 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 monitor ing system*** E.O. 12866 Review

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Page 767 of 773 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 certificatio n or recertification application submission and at the time of the audit, the Administrator will issue a notice of disapproval of the certification status of such monitoring system. For the purposes of this paragraph, an audit shall be either a field audit or an audit of any information submitted to the Administrator or any State or permitting authority. By issuing the notice of disapproval, the Administrator revokes prospectively the certification status of the monitoring system. The data measured and recorded by the monitoring system shall not be considered valid quality- assured data from the date of issuance of the notification of the revoked certification status until the date and time that the owner or operator completes subsequently approved initia l 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.*** E.O. 12866 Review

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Page 768 of 773 The designated representative of a TR SO 2 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 sh all comply with all recordkeeping and reporting requirements in paragraphs (b) through (e) of 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) Mon itoring plans . The owner or operator of a TR SO 2 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 SO 2 mass*** E.O. 12866 Review

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Page 769 of 773 emissions data and heat input data for the TR SO 2 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; or (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 commence in the quarter covering January 1, 20 12 through March 31, 2012. (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 i n §75.64 of this chapter.
(3) For TR SO 2 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*** E.O. 12866 Review

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Page 770 of 773 applicable data and information required by s ubparts F through H of part 75 of this chapter as applicable, in addition to the SO 2 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 repo rt 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 determinati on 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*** E.O. 12866 Review

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Page 771 of 773 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 f ormat 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 st ate 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 SO 2 emissi on controls and for all hours where SO 2 data are substituted in accordance with*** E.O. 12866 Review

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Page 772 of 773 §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 SO 2 emissions. § 97.735 Petitions for alternatives to monitoring, recordkeeping, or reporting requirements. (a) The designated representative of a TR SO 2 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. (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 suggeste d in lieu of the requirement; (iii) A description and diagram of any equipment and procedures used in the proposed alternative;*** E.O. 12866 Review

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Page 773 of 773 (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.