Source: http://www.dec.ny.gov/regs/38670.html
Timestamp: 2014-12-19 13:42:52
Document Index: 462296798

Matched Legal Cases: ['art 244', 'art 244', 'art 244', '§244', 'art 244', 'art 244', 'art 244', 'art 244', '§244', '§244', '§244', 'art 244', 'art 244', 'art 244', '§244', 'art 244', '§244', '§244']

Subpart 244-6: CAIR NOx Allowance Tracking System - NYS Dept. of Environmental Conservation
Home » Regulations and Enforcement » Regulations » Chapter III- Air Resources » Subpart 244-6: CAIR NOx Allowance Tracking System
Subpart 244-6: CAIR NOx Allowance Tracking System
244-6.2 Establishment of accounts
244-6.3 Responsibilities of CAIR authorized account representative
244-6.4 Recordation of CAIR NOx allowance allocations
244-6.5 Compliance with CAIR NOx emissions limitation
244-6.6 Banking
244-6.7 Account error
244-6.8 Closing of general accounts
§244-6.2 Establishment of accounts
(a) Compliance accounts. Except as provided in section 244-9.5(e) of this Part, upon receipt of a complete certificate of representation under section 244-2.4 of this Part, the administrator will establish a compliance account for the CAIR NOx source for which the certificate of representation was submitted unless the source already has a compliance account.
(i) Any person may apply to open a general account for the purpose of holding and transferring CAIR NOx allowances. An application for a general account may designate one and only one CAIR authorized account representative and one and only one alternate CAIR authorized account representative who may act on behalf of the CAIR authorized account representative. The agreement by which the alternate CAIR authorized account representative is selected shall include a procedure for authorizing the alternate CAIR authorized account representative to act in lieu of the CAIR authorized account representative.
(d) the following certification statement by the CAIR authorized account representative and any alternate CAIR authorized account representative: "I certify that I was selected as the CAIR authorized account representative or the alternate CAIR authorized account representative, as applicable, by an agreement that is binding on all persons who have an ownership interest with respect to CAIR NOx allowances held in the general account. I certify that I have all the necessary authority to carry out my duties and responsibilities under the CAIR NOx Annual Trading Program on behalf of such persons and that each such person shall be fully bound by my representations, actions, inactions, or submissions and by any order or decision issued to me by the Administrator or a court regarding the general account."; and
(a) the administrator will establish a general account for the person or persons for whom the application is submitted;
(b) the CAIR authorized account representative and any alternate CAIR authorized account representative for the general account shall represent and, by his or her representations, actions, inactions, or submissions, legally bind each person who has an ownership interest with respect to CAIR NOx allowances held in the general account in all matters pertaining to the CAIR NOx Annual Trading Program, notwithstanding any agreement between the CAIR authorized account representative or any alternate CAIR authorized account representative and such person. Any such person shall be bound by any order or decision issued to the CAIR authorized account representative or any alternate CAIR authorized account representative by the administrator or a court regarding the general account;
(ii) Each submission concerning the general account shall be submitted, signed, and certified by the CAIR authorized account representative or any alternate CAIR authorized account representative for the persons having an ownership interest with respect to CAIR NOx allowances held in the general account. Each such submission shall include the following certification statement by the CAIR authorized account representative or any alternate CAIR authorized account representative: "I am authorized to make this submission on behalf of the persons having an ownership interest with respect to the CAIR NOx allowances held in the general account. I certify under penalty of law that I have personally examined, and am familiar with, the statements and information submitted in this document and all its attachments. Based on my inquiry of those individuals with primary responsibility for obtaining the information, I certify that the statements and information are to the best of my knowledge and belief true, accurate, and complete. I am aware that there are significant penalties for submitting false statements and information or omitting required statements and information, including the possibility of fine or imprisonment."
(i) The CAIR authorized account representative for 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 (1) of this subdivision. Notwithstanding any such change, all representations, actions, inactions, and submissions by the previous CAIR 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 CAIR authorized account representative and the persons with an ownership interest with respect to the CAIR NOx allowances in the general account.
(ii) The alternate CAIR authorized account representative for 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 (1) of this subdivision. Notwithstanding any such change, all representations, actions, inactions, and submissions by the previous alternate CAIR 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 CAIR authorized account representative and the persons with an ownership interest with respect to the CAIR NOx allowances in the general account.
(iii) (a) In the event a person having an ownership interest with respect to CAIR NOx allowances in the general account is not included in the list of such persons in the application for a general account, such new 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 CAIR authorized account representative and any alternate CAIR authorized account representative of the account, and the decisions and orders of the administrator or a court, as if the new person were included in such list.
(ii) Except as provided in subparagraph (3)(i) or (ii) of this subdivision, no objection or other communication submitted to the administrator concerning the authorization, or any representation, action, inaction, or submission of the CAIR authorized account representative or any alternate CAIR authorized account representative for a general account shall affect any representation, action, inaction, or submission of the CAIR authorized account representative or any alternate CAIR authorized account representative or the finality of any decision or order by the administrator under the CAIR NOx Annual Trading Program.
(i) A CAIR authorized account 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 244-6 and Subpart 244-7 of this Part.
(ii) An alternate CAIR authorized account 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 244-6 and Subpart 244-7 of this Part.
(d) the following certification statement by such CAIR authorized account representative or alternate CAIR authorized account representative: "I agree that any electronic submission to the Administrator that is 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 CAIR authorized account representative or alternate CAIR authorized representative, as appropriate, and before this notice of delegation is superseded by another notice of delegation under 6 NYCRR section 244-6.2(b)(5)(iv) shall be deemed to be an electronic submission by me."; and
(e) the following certification statement by such CAIR authorized account representative or alternate CAIR authorized account representative: "Until this notice of delegation is superseded by another notice of delegation under 6 NYCRR section 244-6.2(b)(5)(iv), I agree to maintain an e-mail account and to notify the Administrator immediately of any change in my e-mail address unless all delegation of authority by me under 6 NYCRR section 244-6.2(b)(5) is terminated."
(c) Account identification. The administrator will assign a unique identifying number to each account established under subdivision (a) or (b) of this section.
§244-6.3 Responsibilities of CAIR authorized account representative
§244-6.4 Recordation of CAIR NOx allowance allocations
(a) By September 30, 2007, the administrator will record in the CAIR NOx source's compliance account the CAIR NOx allowances allocated for the CAIR NOx units at the source, as submitted by the department in accordance with section 244-5.2(a) of this Part, for the control periods in 2009, 2010, and 2011.
(b) By December 1, 2008, and December 1st of each year thereafter, the administrator will record in the CAIR NOx source's compliance account the CAIR NOx allowances allocated for the CAIR NOx units at the source, as submitted by the department in accordance with section 244-5.2(b) of this Part, for the control period in the fourth year after the applicable deadline for recordation under this paragraph.
(c) By December 1, 2009 and December 1st of each year thereafter, the administrator will record in the CAIR NOx source's compliance account the CAIR NOx allowances allocated for the CAIR NOx units at the source, as submitted by the department in accordance with section 244-5.3(f)(7) of this Part for the control period in the year of the applicable deadline for recordation under this subdivision.
(d) Serial numbers for allocated CAIR NOx allowances. When recording the allocation of CAIR NOx allowances for a CAIR NOx unit in a compliance account, the administrator will assign each CAIR NOx allowance a unique identification number that will include digits identifying the year of the control period for which the CAIR NOx allowance is allocated.
§244-6.5 Compliance with CAIR NOx emissions limitation
(2) are held in the compliance account as of the allowance transfer deadline for the control period or are transferred into the compliance account by a CAIR NOx allowance transfer correctly submitted for recordation under sections 244-7.1 and 244-7.2 of this Part by the allowance transfer deadline for the control period.
(b) Deductions for compliance. Following the recordation, in accordance with section 244-7.2 of this Part, of CAIR NOx allowance transfers submitted for recordation in a source's compliance account by the allowance transfer deadline for a control period, the administrator will deduct from the compliance account CAIR NOx allowances available under subdivision (a) of this section in order to determine whether the source meets the CAIR NOx emissions limitation for the control period, as follows:
(1) until the amount of CAIR NOx allowances deducted equals the number of tons of total nitrogen oxides emissions, determined in accordance with Subpart 244-8 of this Part, from all CAIR NOx units at the source for the control period; or
(2) if there are insufficient CAIR NOx allowances to complete the deductions in paragraph (1) of this subdivision, until no more CAIR NOx allowances available under subdivision (a) of this section remain in the compliance account.
(c) (1) Identification of CAIR NOx allowances by serial number. The CAIR authorized account representative for a source's compliance account may request that specific CAIR NOx allowances, identified by serial number, in the compliance account be deducted for emissions or excess emissions for a control period in accordance with subdivision (b) or (d) of this section. Such request shall be submitted to the administrator by the allowance transfer deadline for the control period and include, in a format prescribed by the administrator, the identification of the CAIR NOx source and the appropriate serial numbers.
(2) First in, first out. The administrator will deduct CAIR NOx allowances under subdivision (b) or (d) of this section from the source's compliance account, in the absence of an identification or in the case of a partial identification of CAIR NOx allowances by serial number under paragraph (1) of this subdivision, on a first in, first out (FIFO) accounting basis in the following order:
(ii) any CAIR NOx allowances that were allocated to any entity and transferred and recorded in the compliance account pursuant to Subpart 244-7 of this Part, in the order of recordation.
(1) After making the deductions for compliance under subdivision (b) of this section for a control period in a calendar year in which the CAIR NOx source has excess emissions, the administrator will deduct from the source's compliance account an amount of CAIR NOx allowances, allocated for the control period in the immediately following calendar year, equal to three times the number of tons of the source's excess emissions.
(2) Any allowance deduction required under paragraph (1) of this subdivision shall not affect the liability of the owners and operators of the CAIR NOx source or the CAIR NOx units at the source for any fine, penalty, or assessment, or their obligation to comply with any other remedy, for the same violations, as ordered under the Act or applicable State law.
(i) For purposes of determining the number of days of a violation, if a CAIR NOx source has excess emissions for a control period, each day in the control period constitutes a day in violation.
(e) Recordation of deductions. The administrator will record in the appropriate compliance account all deductions from such an account under subdivision (b) or (d) of this section and Subpart 244-9 of this Part.
(2) The administrator may deduct CAIR NOx allowances from or transfer CAIR NOx allowances to a source's compliance account based on the information in the submissions, as adjusted under paragraph (1) of this subdivision, and record such deductions and transfers.
§244-6.6 Banking
(a) CAIR NOx allowances may be banked for future use or transfer in a compliance account or a general account in accordance with subdivision (b) of this section.
(b) Any CAIR NOx allowance that is held in a compliance account or a general account will remain in such account unless and until the CAIR NOx allowance is deducted or transferred under section 244-6.5, 244-6.7 of this Subpart, or Subpart 244-7 or 244-9 of this Part.
§244-6.7 Account error
§244-6.8 Closing of general accounts
(a) The CAIR authorized account representative of a general account may submit to the administrator a request to close the account, which shall include a correctly submitted allowance transfer under sections 244-7.1 and 244-7.2 of this Part for any CAIR NOx allowances in the account to one or more other CAIR NOx Allowance Tracking System accounts.
(b) If a general account has no allowance transfers in or out of the account for a 12-month period or longer and does not contain any CAIR NOx allowances, the administrator may notify the CAIR authorized account representative for the account that the account will be closed following 20 business days after the notice is sent. The account will be closed after the 20-day period unless, before the end of the 20-day period, the administrator receives a correctly submitted transfer of CAIR NOx allowances into the account under sections 244-7.1 and 244-7.2 of this Part or a statement submitted by the CAIR authorized account representative demonstrating to the satisfaction of the administrator good cause as to why the account should not be closed.