Source: https://www.law.cornell.edu/cfr/text/40/97.525
Timestamp: 2016-07-30 11:41:38
Document Index: 608229345

Matched Legal Cases: ['art 97', '§ 97', '§ 97', '§ 97', '§ 97', '§ 97', '§ 97', '§ 97', '§ 97', '§ 97', '§ 97', 'art 78', 'art 78', '§ 97', 'art 78', 'art 78', '§ 97', '§ 97', '§ 97', '§ 97', '§ 97', '§ 97', '§ 97', '§ 97', '§ 97', '§ 97', '§ 97', 'art 78', 'art 78', '§ 97', 'art 78', 'art 78', '§ 97']

40 CFR 97.525 - Compliance with TR NO X Ozone Season assurance provisions. | US Law | LII / Legal Information Institute
CFR › Title 40 › Chapter I › Subchapter C › Part 97 › Subpart BBBBB › Section 97.525 40 CFR 97.525 - Compliance with TR NO X Ozone Season assurance provisions.
§ 97.525
Compliance with TR NOX Ozone Season assurance provisions.
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 within the borders of such State) only if the TR NOX Ozone Season allowances:
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
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.
The Administrator will deduct TR NOX Ozone Season allowances available under paragraph (a) of this section for compliance with the TR NOX Ozone Season assurance provisions for a State for a control period in a given year in accordance with the following procedures:
By June 1, 2015 and June 1 of each year thereafter, the Administrator will:
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 (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 § 97.506(c)(2)(iii); and
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.
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 § 97.506(c)(2)(iii):
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 during, but is not allocated an amount of TR NOX Ozone Season 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.
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 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 § 97.506(c)(2)(i) and will promulgate a notice of data availability of the results of these calculations.
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.
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 § 97.506(c)(2)(iii), §§ 97.506(b) and 97.530 through 97.535, the definitions of “common designated representative”, “common designated representative's assurance level”, and “common designated representative's share” in § 97.502, and the calculation formula in § 97.506(c)(2)(i).
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.
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 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 borders of such State) having a common designated representative for such control period and as being required to hold TR NOX Ozone Season allowances.
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 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.
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.
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 § 97.523, 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 Ozone 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 State) as calculated by the Administrator and referenced in the notice required in paragraph (b)(2)(iii)(B) of this section.
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 calculations referenced in such notice, the amounts of TR NOX Ozone Season allowances that the owners and operators are required to hold in accordance with § 97.506(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:
If any such data are revised by the Administrator as a result of a decision in or settlement of litigation concerning such data on appeal under part 78 of this chapter of such notice, or on appeal under section 307 of the Clean Air Act of a decision rendered under part 78 of this chapter on appeal of such notice, then the Administrator will use the data as so revised to recalculate the amounts of TR NOX Ozone Season allowances that owners and operators are required to hold in accordance with the calculation formula in § 97.506(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 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.
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 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 § 97.506(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.
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—
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 owners and operators shall hold the additional amount of TR NOX Ozone Season allowances in the assurance account established 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 owners' and operators' failure to hold such additional amount, as required, before the new deadline shall not be a violation of the Clean Air Act. The owners' and operators' failure to hold such additional amount, as required, as of the new deadline shall be a violation of the Clean Air Act. Each TR NOX Ozone Season 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.
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 will 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.
Each TR NOX Ozone Season allowance held under paragraph (b)(6)(iii)(A) of this section as a result of recalculation of requirements under the TR NOX Ozone Season assurance provisions 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.
[76 FR 48406, Aug. 8, 2011, as amended at 77 FR 10338, Feb. 21, 2012]
§ 97.525 Compliance with TR NOX Ozone Season assurance provisions.
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 within the borders of such State) only if the TR NOX Ozone Season 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 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.
Deductions for compliance. The Administrator will deduct TR NOX Ozone Season allowances available under paragraph (a) of this section for compliance with the TR NOX Ozone Season assurance provisions for a State for a control period in a given year in accordance with the following procedures:
(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 (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 § 97.506(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 § 97.506(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 during, but is not allocated an amount of TR NOX Ozone Season 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 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 § 97.506(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 data 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 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 § 97.506(c)(2)(iii), §§ 97.506(b) and 97.530 through 97.535, the definitions of “common designated representative”, “common designated representative's assurance level”, and “common designated representative's share” in § 97.502, and the calculation formula in § 97.506(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.
(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 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 borders of such State) having a common designated representative for such control period and as being required to hold TR NOX Ozone Season allowances.
(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 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.
(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 § 97.523, 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 Ozone 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 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 calculations referenced in such notice, the amounts of TR NOX Ozone Season allowances that the owners and operators are required to hold in accordance with § 97.506(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 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 § 97.506(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 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 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 § 97.506(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.
(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 owners and operators shall hold the additional amount of TR NOX Ozone Season allowances in the assurance account established 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 owners' and operators' failure to hold such additional amount, as required, before the new deadline shall not be a violation of the Clean Air Act. The owners' and operators' failure to hold such additional amount, as required, as of the new deadline shall be a violation of the Clean Air Act. Each TR NOX Ozone Season 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 NOX Ozone Season allowances required to be held decreases as a result of the use of all such revised data, the Administrator will record, in 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 under the TR NOX Ozone Season assurance provisions 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.
[76 FR 48406, Aug. 8, 2011, as amended at 77 FR 10338, Feb. 21, 2012; 79 FR 71672, Dec. 3, 2014]