[Title 40 CFR ]
[Code of Federal Regulations (annual edition) - July 1, 2019 Edition]
[From the U.S. Government Publishing Office]
[[Page i]]
Title 40
Protection of Environment
________________________
Parts 96 to 99
Revised as of July 1, 2019
Containing a codification of documents of general
applicability and future effect
As of July 1, 2019
Published by the Office of the Federal Register
National Archives and Records Administration as a
Special Edition of the Federal Register
[[Page ii]]
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[[Page iii]]
Table of Contents
Page
Explanation................................................. v
Title 40:
Chapter I--Environmental Protection Agency
(Continued) 3
Finding Aids:
Table of CFR Titles and Chapters........................ 1195
Alphabetical List of Agencies Appearing in the CFR...... 1215
List of CFR Sections Affected........................... 1225
[[Page iv]]
----------------------------
Cite this Code: CFR
To cite the regulations in
this volume use title,
part and section number.
Thus, 40 CFR 96.1 refers
to title 40, part 96,
section 1.
----------------------------
[[Page v]]
EXPLANATION
The Code of Federal Regulations is a codification of the general and
permanent rules published in the Federal Register by the Executive
departments and agencies of the Federal Government. The Code is divided
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parts covering specific regulatory areas.
Each volume of the Code is revised at least once each calendar year
and issued on a quarterly basis approximately as follows:
Title 1 through Title 16.................................as of January 1
Title 17 through Title 27..................................as of April 1
Title 28 through Title 41...................................as of July 1
Title 42 through Title 50................................as of October 1
The appropriate revision date is printed on the cover of each
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OMB CONTROL NUMBERS
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collection request.
[[Page vi]]
Many agencies have begun publishing numerous OMB control numbers as
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[[Page vii]]
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Oliver A. Potts,
Director,
Office of the Federal Register
July 1, 2019.
[[Page ix]]
THIS TITLE
Title 40--Protection of Environment is composed of thirty-seven
volumes. The parts in these volumes are arranged in the following order:
Parts 1-49, parts 50-51, part 52 (52.01-52.1018), part 52 (52.1019-
52.2019), part 52 (52.2020-end of part 52), parts 53-59, part 60 (60.1-
60.499), part 60 (60.500-end of part 60, sections), part 60
(Appendices), parts 61-62, part 63 (63.1-63.599), part 63 (63.600-
63.1199), part 63 (63.1200-63.1439), part 63 (63.1440-63.6175), part 63
(63.6580-63.8830), part 63 (63.8980-end of part 63), parts 64-71, parts
72-79, part 80, part 81, parts 82-86, parts 87-95, parts 96-99, parts
100-135, parts 136-149, parts 150-189, parts 190-259, parts 260-265,
parts 266-299, parts 300-399, parts 400-424, parts 425-699, parts 700-
722, parts 723-789, parts 790-999, parts 1000-1059, and part 1060 to
end. The contents of these volumes represent all current regulations
codified under this title of the CFR as of July 1, 2019.
Chapter I--Environmental Protection Agency appears in all thirty-
seven volumes. OMB control numbers for title 40 appear in Sec. 9.1 of
this chapter.
Chapters IV-VIII--Regulations issued by the Environmental Protection
Agency and Department of Justice, Council on Environmental Quality,
Chemical Safety and Hazard Investigation Board, Environmental Protection
Agency and Department of Defense; Uniform National Discharge Standards
for Vessels of the Armed Forces, and the Gulf Coast Ecosystem
Restoration Council appear in volume thirty seven.
For this volume, Susannah C. Hurley was Chief Editor. The Code of
Federal Regulations publication program is under the direction of John
Hyrum Martinez, assisted by Stephen J. Frattini.
[[Page 1]]
TITLE 40--PROTECTION OF ENVIRONMENT
(This book contains parts 96 to 99)
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Part
chapter i--Environmental Protection Agency (Continued)...... 96
[[Page 3]]
CHAPTER I--ENVIRONMENTAL PROTECTION AGENCY (CONTINUED)
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Editorial Note: Nomenclature changes to chapter I appear at 65 FR
47324, 47325, Aug. 2, 2000; 66 FR 34375, 34376, June 28, 2001; and 69 FR
18803, Apr. 9, 2004.
SUBCHAPTER C--AIR PROGRAMS (CONTINUED)
Part Page
96 NOX Budget Trading Program and
Cair NOX and SO2
Trading Programs for State
implementation plans.................... 5
97 Federal NOX Budget Trading
Program, Cair NOX and
SO2 Trading Programs, CSAPR
NOX and SO2
Trading Programs, and Texas
SO2 Trading Program.......... 170
98 Mandatory greenhouse gas reporting.......... 631
99 [Reserved]
[[Page 5]]
SUBCHAPTER C_AIR PROGRAMS (CONTINUED)
PART 96_NOX BUDGET TRADING PROGRAM AND CAIR NOX AND SO2 TRADING
PROGRAMS FOR STATE IMPLEMENTATION PLANS--Table of Contents
Subpart A_NOX Budget Trading Program General Provisions
Sec.
96.1 Purpose.
96.2 Definitions.
96.3 Measurements, abbreviations, and acronyms.
96.4 Applicability.
96.5 Retired unit exemption.
96.6 Standard requirements.
96.7 Computation of time.
Subpart B_Authorized Account Representative for NOX Budget Sources
96.10 Authorization and responsibilities of the NOX
authorized account representative.
96.11 Alternate NOX authorized account representative.
96.12 Changing the NOX authorized account representative and
the alternate NOX authorized account
representative; changes in the owners and operators.
96.13 Account certificate of representation.
96.14 Objections concerning the NOX authorized account
representative.
Subpart C_Permits
96.20 General NOX Budget trading program permit requirements.
96.21 Submission of NOX Budget permit applications.
96.22 Information requirements for NOX Budget permit
applications.
96.23 NOX Budget permit contents.
96.24 Effective date of initial NOX Budget permit.
96.25 NOX Budget permit revisions.
Subpart D_Compliance Certification
96.30 Compliance certification report.
96.31 Permitting authority's and Administrator's action on compliance
certifications.
Subpart E_NOX Allowance Allocations
96.40 State trading program budget.
96.41 Timing requirements for NOX allowance allocations.
96.42 NOX allowance allocations.
Subpart F_NOX Allowance Tracking System
96.50 NOX Allowance Tracking System accounts.
96.51 Establishment of accounts.
96.52 NOX Allowance Tracking System responsibilities of
NOX authorized account representative.
96.53 Recordation of NOX allowance allocations.
96.54 Compliance.
96.55 Banking.
96.56 Account error.
96.57 Closing of general accounts.
Subpart G_NOX Allowance Transfers
96.60 Submission of NOX allowance transfers.
96.61 EPA recordation.
96.62 Notification.
Subpart H_Monitoring and Reporting
96.70 General requirements.
96.71 Initial certification and recertification procedures.
96.72 Out of control periods.
96.73 Notifications.
96.74 Recordkeeping and reporting.
96.75 Petitions.
96.76 Additional requirements to provide heat input data for allocations
purposes.
Subpart I_Individual Unit Opt-ins
96.80 Applicability.
96.81 General.
96.82 NOX authorized account representative.
96.83 Applying for NOX Budget opt-in permit.
96.84 Opt-in process.
96.85 NOX Budget opt-in permit contents.
96.86 Withdrawal from NOX Budget Trading Program.
96.87 Change in regulatory status.
96.88 NOX allowance allocations to opt-in units.
Subpart J--Mobile and Area Sources [Reserved]
Subparts K-Z [Reserved]
Subpart AA_CAIR NOX Annual Trading Program General Provisions
96.101 Purpose.
96.102 Definitions.
96.103 Measurements, abbreviations, and acronyms.
96.104 Applicability.
[[Page 6]]
96.105 Retired unit exemption.
96.106 Standard requirements.
96.107 Computation of time.
96.108 Appeal procedures.
Subpart BB_CAIR Designated Representative for CAIR NOX Sources
96.110 Authorization and responsibilities of CAIR designated
representative.
96.111 Alternate CAIR designated representative.
96.112 Changing CAIR designated representative and alternate CAIR
designated representative; changes in owners and operators.
96.113 Certificate of representation.
96.114 Objections concerning CAIR designated representative.
96.115 Delegation by CAIR designated representative and alternate CAIR
designated representative.
Subpart CC_Permits
96.120 General CAIR NOX Annual Trading Program permit
requirements.
96.121 Submission of CAIR permit applications.
96.122 Information requirements for CAIR permit applications.
96.123 CAIR permit contents and term.
96.124 CAIR permit revisions.
Subpart DD [Reserved]
Subpart EE_CAIR NOX Allowance Allocations
96.140 State trading budgets.
96.141 Timing requirements for CAIR NOX allowance
allocations.
96.142 CAIR NOX allowance allocations.
96.143 Compliance supplement pool.
Subpart FF_CAIR NOX Allowance Tracking System
96.150 [Reserved]
96.151 Establishment of accounts.
96.152 Responsibilities of CAIR authorized account representative.
96.153 Recordation of CAIR NOX allowance allocations.
96.154 Compliance with CAIR NOX emissions limitation.
96.155 Banking.
96.156 Account error.
96.157 Closing of general accounts.
Subpart GG_CAIR NOX Allowance Transfers
96.160 Submission of CAIR NOX allowance transfers.
96.161 EPA recordation.
96.162 Notification.
Subpart HH_Monitoring and Reporting
96.170 General requirements.
96.171 Initial certification and recertification procedures.
96.172 Out of control periods.
96.173 Notifications.
96.174 Recordkeeping and reporting.
96.175 Petitions.
Subpart II_CAIR NOX Opt-in Units
96.180 Applicability.
96.181 General.
96.182 CAIR designated representative.
96.183 Applying for CAIR opt-in permit.
96.184 Opt-in process.
96.185 CAIR opt-in permit contents.
96.186 Withdrawal from CAIR NOX Annual Trading Program.
96.187 Change in regulatory status.
96.188 CAIR NOX allowance allocations to CAIR NOX
opt-in units.
Subparts JJ-ZZ [Reserved]
Subpart AAA_CAIR SO2 Trading Program General Provisions
96.201 Purpose.
96.202 Definitions.
96.203 Measurements, abbreviations, and acronyms.
96.204 Applicability.
96.205 Retired unit exemption.
96.206 Standard requirements.
96.207 Computation of time.
96.208 Appeal procedures.
Subpart BBB_CAIR Designated Representative for CAIR SO2 Sources
96.210 Authorization and responsibilities of CAIR designated
representative.
96.211 Alternate CAIR designated representative.
96.212 Changing CAIR designated representative and alternate CAIR
designated representative; changes in owners and operators.
96.213 Certificate of representation.
96.214 Objections concerning CAIR designated representative.
96.215 Delegation by CAIR designated representative and alternate CAIR
designated representative.
Subpart CCC_Permits
96.220 General CAIR SO2 Trading Program permit requirements.
96.221 Submission of CAIR permit applications.
96.222 Information requirements for CAIR permit applications.
96.223 CAIR permit contents and term.
96.224 CAIR permit revisions.
[[Page 7]]
Subparts DDD-EEE [Reserved]
Subpart FFF_CAIR SO2 Allowance Tracking System
96.250 [Reserved]
96.251 Establishment of accounts.
96.252 Responsibilities of CAIR authorized account representative.
96.253 Recordation of CAIR SO2 allowances.
96.254 Compliance with CAIR SO2 emissions limitation.
96.255 Banking.
96.256 Account error.
96.257 Closing of general accounts.
Subpart GGG_CAIR SO2 Allowance Transfers
96.260 Submission of CAIR SO2 allowance transfers.
96.261 EPA recordation.
96.262 Notification.
Subpart HHH_Monitoring and Reporting
96.270 General requirements.
96.271 Initial certification and recertification procedures.
96.272 Out of control periods.
96.273 Notifications.
96.274 Recordkeeping and reporting.
96.275 Petitions.
Subpart III_CAIR SO2 Opt-in Units
96.280 Applicability.
96.281 General.
96.282 CAIR designated representative.
96.283 Applying for CAIR opt-in permit.
96.284 Opt-in process.
96.285 CAIR opt-in permit contents.
96.286 Withdrawal from CAIR SO2 Trading Program.
96.287 Change in regulatory status.
96.288 CAIR SO2 allowance allocations to CAIR SO2
opt-in units.
Subparts JJJ-ZZZ [Reserved]
Subpart AAAA_CAIR NOX Ozone Season Trading Program General Provisions
96.301 Purpose.
96.302 Definitions.
96.303 Measurements, abbreviations, and acronyms.
96.304 Applicability.
96.305 Retired unit exemption.
96.306 Standard requirements.
96.307 Computation of time.
96.308 Appeal procedures.
Subpart BBBB_CAIR Designated Representative for CAIR NOX Ozone Season
Sources
96.310 Authorization and responsibilities of CAIR designated
representative.
96.311 Alternate CAIR designated representative.
96.312 Changing CAIR designated representative and alternate CAIR
designated representative; changes in owners and operators.
96.313 Certificate of representation.
96.314 Objections concerning CAIR designated representative.
96.315 Delegation by CAIR designated representative and alternate CAIR
designated representative.
Subpart CCCC_Permits
96.320 General CAIR NOX Ozone Season Trading Program permit
requirements.
96.321 Submission of CAIR permit applications.
96.322 Information requirements for CAIR permit applications.
96.323 CAIR permit contents and term.
96.324 CAIR permit revisions.
Subpart DDDD [Reserved]
Subpart EEEE_CAIR NOX Ozone Season Allowance Allocations
96.340 State trading budgets.
96.341 Timing requirements for CAIR NOX Ozone Season
allowance allocations.
96.342 CAIR NOX Ozone Season allowance allocations.
Subpart FFFF_CAIR NOX Ozone Season Allowance Tracking System
96.350 [Reserved]
96.351 Establishment of accounts.
96.352 Responsibilities of CAIR authorized account representative.
96.353 Recordation of CAIR NOX Ozone Season allowance
allocations.
96.354 Compliance with CAIR NOX emissions limitation.
96.355 Banking.
96.356 Account error.
96.357 Closing of general accounts.
Subpart GGGG_CAIR NOX Ozone Season Allowance Transfers
96.360 Submission of CAIR NOX Ozone Season allowance
transfers.
96.361 EPA recordation.
96.362 Notification.
[[Page 8]]
Subpart HHHH_Monitoring and Reporting
96.370 General requirements.
96.371 Initial certification and recertification procedures.
96.372 Out of control periods.
96.373 Notifications.
96.374 Recordkeeping and reporting.
96.375 Petitions.
Subpart IIII_CAIR NOX Ozone Season Opt-in Units
96.380 Applicability.
96.381 General.
96.382 CAIR designated representative.
96.383 Applying for CAIR opt-in permit.
96.384 Opt-in process.
96.385 CAIR opt-in permit contents.
96.386 Withdrawal from CAIR NOX Ozone Season Trading Program.
96.387 Change in regulatory status.
96.388 CAIR NOX Ozone Season allowance allocations to CAIR
NOX Ozone Season opt-in units.
Authority: 42 U.S.C. 7401, 7403, 7410, 7601, and 7651, et seq.
Source: 63 FR 57514, Oct. 27, 1998, unless otherwise noted.
Subpart A_NOX Budget Trading Program General Provisions
Sec.96.1 Purpose.
This part establishes general provisions and the applicability,
permitting, allowance, excess emissions, monitoring, and opt-in
provisions for the NOX Budget Trading Program for State
implementation plans as a means of mitigating the interstate transport
of ozone and nitrogen oxides, an ozone precursor. The owner or operator
of a unit, or any other person, shall comply with requirements of this
part as a matter of federal law only to the extent a State that has
jurisdiction over the unit incorporates by reference provisions of this
part, or otherwise adopts such requirements of this part, and requires
compliance, the State submits to the Administrator a State
implementation plan including such adoption and such compliance
requirement, and the Administrator approves the portion of the State
implementation plan including such adoption and such compliance
requirement. To the extent a State adopts requirements of this part,
including at a minimum the requirements of subpart A (except for Sec.
96.4(b)), subparts B through D, subpart F (except for Sec.96.55(c)),
and subparts G and H of this part, the State authorizes the
Administrator to assist the State in implementing the NOX
Budget Trading Program by carrying out the functions set forth for the
Administrator in such requirements.
Sec.96.2 Definitions.
The terms used in this part shall have the meanings set forth in
this section as follows:
Account certificate of representation means the completed and signed
submission required by subpart B of this part for certifying the
designation of a NOX authorized account representative for a
NOX Budget source or a group of identified NOX
Budget sources who is authorized to represent the owners and operators
of such source or sources and of the NOX Budget units at such
source or sources with regard to matters under the NOX Budget
Trading Program.
Account number means the identification number given by the
Administrator to each NOX Allowance Tracking System account.
Acid Rain emissions limitation means, as defined in Sec.72.2 of
this chapter, a limitation on emissions of sulfur dioxide or nitrogen
oxides under the Acid Rain Program under title IV of the CAA.
Administrator means the Administrator of the United States
Environmental Protection Agency or the Administrator's duly authorized
representative.
Allocate or allocation means the determination by the permitting
authority or the Administrator of the number of NOX
allowances to be initially credited to a NOX Budget unit or
an allocation set-aside.
Automated data acquisition and handling system or DAHS means that
component of the CEMS, or other emissions monitoring system approved for
use under subpart H of this part, designed to interpret and convert
individual output signals from pollutant concentration monitors, flow
monitors, diluent gas monitors, and other component parts of the
monitoring system to produce a continuous record of the
[[Page 9]]
measured parameters in the measurement units required by subpart H of
this part.
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.
CAA means the CAA, 42 U.S.C. 7401, et seq., as amended by Pub. L.
No. 101-549 (November 15, 1990).
Combined cycle system means a system comprised of one or more
combustion turbines, heat recovery steam generators, and steam turbines
configured to improve overall efficiency of electricity generation or
steam production.
Combustion turbine means an enclosed fossil or other fuel-fired
device that is comprised of 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.
Commence commercial operation means, with regard to a unit that
serves a generator, 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 Sec.96.5, for a unit that is a
NOX Budget unit under Sec.96.4 on the date the unit
commences commercial operation, such date shall remain the unit's date
of commencement of commercial operation even if the unit is subsequently
modified, reconstructed, or repowered. Except as provided in Sec.96.5
or subpart I of this part, for a unit that is not a NOX
Budget unit under Sec.96.4 on the date the unit commences commercial
operation, the date the unit becomes a NOX Budget unit under
Sec.96.4 shall be the unit's date of commencement of commercial
operation.
Commence operation means to have begun any mechanical, chemical, or
electronic process, including, with regard to a unit, start-up of a
unit's combustion chamber. Except as provided in Sec.96.5, for a unit
that is a NOX Budget unit under Sec.96.4 on the date of
commencement of operation, such date shall remain the unit's date of
commencement of operation even if the unit is subsequently modified,
reconstructed, or repowered. Except as provided in Sec.96.5 or subpart
I of this part, for a unit that is not a NOX Budget unit
under Sec.96.4 on the date of commencement of operation, the date the
unit becomes a NOX Budget unit under Sec.96.4 shall be the
unit's date of commencement of operation.
Common stack means a single flue through which emissions from two or
more units are exhausted.
Compliance account means a NOX Allowance Tracking System
account, established by the Administrator for a NOX Budget
unit under subpart F of this part, in which the NOX allowance
allocations for the unit are initially recorded and in which are held
NOX allowances available for use by the unit for a control
period for the purpose of meeting the unit's NOX Budget
emissions limitation.
Compliance certification means a submission to the permitting
authority or the Administrator, as appropriate, that is required under
subpart D of this part to report a NOX Budget source's or a
NOX Budget unit's compliance or noncompliance with this part
and that is signed by the NOX authorized account
representative in accordance with subpart B of this part.
Continuous emission monitoring system or CEMS means the equipment
required under subpart H of this part to sample, analyze, measure, and
provide, by readings taken at least once every 15 minutes of the
measured parameters, a permanent record of nitrogen oxides emissions,
expressed in tons per hour for nitrogen oxides. The following systems
are component parts included, consistent with part 75 of this chapter,
in a continuous emission monitoring system:
(1) Flow monitor;
(2) Nitrogen oxides pollutant concentration monitors;
(3) Diluent gas monitor (oxygen or carbon dioxide) when such
monitoring is required by subpart H of this part;
(4) A continuous moisture monitor when such monitoring is required
by subpart H of this part; and
(5) An automated data acquisition and handling system.
Control period means the period beginning May 1 of a year and ending
on September 30 of the same year, inclusive.
Emissions means air pollutants exhausted from a unit or source into
the
[[Page 10]]
atmosphere, as measured, recorded, and reported to the Administrator by
the NOX authorized account representative and as determined
by the Administrator in accordance with subpart H of this part.
Energy Information Administration means the Energy Information
Administration of the United States Department of Energy.
Excess emissions means any tonnage of nitrogen oxides emitted by a
NOX Budget unit during a control period that exceeds the
NOX Budget emissions limitation for the unit.
Fossil fuel means natural gas, petroleum, coal, or any form of
solid, liquid, or gaseous fuel derived from such material.
Fossil fuel-fired means, with regard to a unit:
(1) The combustion of fossil fuel, alone or in combination with any
other fuel, where fossil fuel actually combusted comprises more than 50
percent of the annual heat input on a Btu basis during any year starting
in 1995 or, if a unit had no heat input starting in 1995, during the
last year of operation of the unit prior to 1995; or
(2) The combustion of fossil fuel, alone or in combination with any
other fuel, where fossil fuel is projected to comprise more than 50
percent of the annual heat input on a Btu basis during any year;
provided that the unit shall be ``fossil fuel-fired'' as of the date,
during such year, on which the unit begins combusting fossil fuel.
General account means a NOX Allowance Tracking System
account, established under subpart F of this part, that is not a
compliance account or an overdraft account.
Generator means a device that produces electricity.
Heat input means the product (in mmBtu/time) of the gross calorific
value of the fuel (in Btu/lb) and the fuel feed rate into a combustion
device (in mass of fuel/time), as measured, recorded, and reported to
the Administrator by the NOX authorized account
representative and as determined by the Administrator in accordance with
subpart H of this part, and does not include the heat derived from
preheated combustion air, recirculated flue gases, or exhaust from other
sources.
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 from 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 equal to or greater than 25 years or 70 percent of
the economic useful life of the unit determined as of the time the unit
is built, with option rights to purchase or release some portion of the
nameplate capacity and associated energy generated by the unit at the
end of the period.
Maximum design heat input means the ability of a unit to combust a
stated maximum amount of fuel per hour on a steady state basis, as
determined by the physical design and physical characteristics of the
unit.
Maximum potential hourly heat input means an hourly heat input used
for reporting purposes when a unit lacks certified monitors to report
heat input. If the unit intends to use appendix D of part 75 of this
chapter to report heat input, this value should be calculated, in
accordance with part 75 of this chapter, using the maximum fuel flow
rate and the maximum gross calorific value. If the unit intends to use a
flow monitor and a diluent gas monitor, this value should be reported,
in accordance with part 75 of this chapter, using the maximum potential
flowrate and either the maximum carbon dioxide concentration (in percent
CO2) or the minimum oxygen concentration (in percent
O2).
Maximum potential NOX emission rate means the emission
rate of nitrogen oxides (in lb/mmBtu) calculated in accordance with
section 3 of appendix F of part 75 of this chapter, using the maximum
potential nitrogen oxides concentration as defined in section 2 of
appendix A of part 75 of this chapter,
[[Page 11]]
and either the maximum oxygen concentration (in percent O2)
or the minimum carbon dioxide concentration (in percent CO2),
under all operating conditions of the unit except for unit start up,
shutdown, and upsets.
Maximum rated hourly heat input means a unit-specific maximum hourly
heat input (mmBtu) which is the higher of the manufacturer's maximum
rated hourly heat input or the highest observed hourly heat input.
Monitoring system means any monitoring system that meets the
requirements of subpart H of this part, including a continuous emissions
monitoring system, an excepted monitoring system, or an alternative
monitoring system.
Most stringent State or Federal NOX emissions limitation
means, with regard to a NOX Budget opt-in source, the lowest
NOX emissions limitation (in terms of lb/mmBtu) that is
applicable to the unit under State or Federal law, regardless of the
averaging period to which the emissions limitation applies.
Nameplate capacity means the maximum electrical generating output
(in MWe) that a generator can sustain over a specified period of time
when not restricted by seasonal or other deratings as measured in
accordance with the United States Department of Energy standards.
Non-title V permit means a federally enforceable permit administered
by the permitting authority pursuant to the CAA and regulatory authority
under the CAA, other than title V of the CAA and part 70 or 71 of this
chapter.
NOX allowance means an authorization by the permitting
authority or the Administrator under the NOX Budget Trading
Program to emit up to one ton of nitrogen oxides during the control
period of the specified year or of any year thereafter.
NOX allowance deduction or deduct NOX
allowances means the permanent withdrawal of NOX allowances
by the Administrator from a NOX Allowance Tracking System
compliance account or overdraft account to account for the number of
tons of NOX emissions from a NOX Budget unit for a
control period, determined in accordance with subpart H of this part, or
for any other allowance surrender obligation under this part.
NOX allowances held or hold NOX allowances
means the NOX allowances recorded by the Administrator, or
submitted to the Administrator for recordation, in accordance with
subparts F and G of this part, in a NOX Allowance Tracking
System account.
NOX Allowance Tracking System means the system by which
the Administrator records allocations, deductions, and transfers of
NOX allowances under the NOX Budget Trading
Program.
NOX Allowance Tracking System account means an account in
the NOX Allowance Tracking System established by the
Administrator for purposes of recording the allocation, holding,
transferring, or deducting of NOX allowances.
NOX allowance transfer deadline means midnight of
November 30 or, if November 30 is not a business day, midnight of the
first business day thereafter and is the deadline by which
NOX allowances may be submitted for recordation in a
NOX Budget unit's compliance account, or the overdraft
account of the source where the unit is located, in order to meet the
unit's NOX Budget emissions limitation for the control period
immediately preceding such deadline.
NOX authorized account representative means, for a
NOX Budget source or NOX Budget unit at the
source, the natural person who is authorized by the owners and operators
of the source and all NOX Budget units at the source, in
accordance with subpart B of this part, to represent and legally bind
each owner and operator in matters pertaining to the NOX
Budget Trading Program or, for a general account, the natural person who
is authorized, in accordance with subpart F of this part, to transfer or
otherwise dispose of NOX allowances held in the general
account.
NOX Budget emissions limitation means, for a
NOX Budget unit, the tonnage equivalent of the NOX
allowances available for compliance deduction for the unit and for a
control period under Sec.96.54(a) and (b), adjusted by any deductions
of such NOX allowances to account for actual utilization
under Sec.96.42(e) for the control period or to account for excess
emissions for a prior
[[Page 12]]
control period under Sec.96.54(d) or to account for withdrawal from
the NOX Budget Program, or for a change in regulatory status,
for a NOX Budget opt-in source under Sec.96.86 or Sec.
96.87.
NOX Budget opt-in permit means a NOX Budget
permit covering a NOX Budget opt-in source.
NOX Budget opt-in source means a unit that has been
elected to become a NOX Budget unit under the NOX
Budget Trading Program and whose NOX Budget opt-in permit has
been issued and is in effect under subpart I of this part.
NOX Budget permit means the legally binding and federally
enforceable written document, or portion of such document, issued by the
permitting authority under this part, including any permit revisions,
specifying the NOX Budget Trading Program requirements
applicable to a NOX Budget source, to each NOX
Budget unit at the NOX Budget source, and to the owners and
operators and the NOX authorized account representative of
the NOX Budget source and each NOX Budget unit.
NOX Budget source means a source that includes one or
more NOX Budget units.
NOX Budget Trading Program means a multi-state nitrogen
oxides air pollution control and emission reduction program established
in accordance with this part and pursuant to Sec.51.121 of this
chapter, as a means of mitigating the interstate transport of ozone and
nitrogen oxides, an ozone precursor.
NOX Budget unit means a unit that is subject to the
NOX Budget Trading Program emissions limitation under Sec.
96.4 or Sec.96.80.
Operating means, with regard to a unit under Sec. Sec.96.22(d)(2)
and 96.80, having documented heat input for more than 876 hours in the 6
months immediately preceding the submission of an application for an
initial NOX Budget permit under Sec.96.83(a).
Operator means any person who operates, controls, or supervises a
NOX Budget unit, a NOX Budget source, or unit for
which an application for a NOX Budget opt-in permit under
Sec.96.83 is submitted and not denied or withdrawn and shall include,
but not be limited to, any holding company, utility system, or plant
manager of such a unit or source.
Opt-in means to be elected to become a NOX Budget unit
under the NOX Budget Trading Program through a final,
effective NOX Budget opt-in permit under subpart I of this
part.
Overdraft account means the NOX Allowance Tracking System
account, established by the Administrator under subpart F of this part,
for each NOX Budget source where there are two or more
NOX Budget units.
Owner means any of the following persons:
(1) Any holder of any portion of the legal or equitable title in a
NOX Budget unit or in a unit for which an application for a
NOX Budget opt-in permit under Sec.96.83 is submitted and
not denied or withdrawn; or
(2) Any holder of a leasehold interest in a NOX Budget
unit or in a unit for which an application for a NOX Budget
opt-in permit under Sec.96.83 is submitted and not denied or
withdrawn; or
(3) Any purchaser of power from a NOX Budget unit or from
a unit for which an application for a NOX Budget opt-in
permit under Sec.96.83 is submitted and not denied or withdrawn under
a life-of-the-unit, firm power contractual arrangement. However, 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, upon the revenues or income from the NOX Budget
unit or the unit for which an application for a NOX Budget
opt-in permit under Sec.96.83 is submitted and not denied or
withdrawn; or
(4) With respect to any general account, any person who has an
ownership interest with respect to the NOX allowances held in
the general account and who is subject to the binding agreement for the
NOX authorized account representative to represent that
person's ownership interest with respect to NOX allowances.
Permitting authority means the State air pollution control agency,
local agency, other State agency, or other agency authorized by the
Administrator to issue or revise permits to meet the requirements of the
NOX
[[Page 13]]
Budget Trading Program in accordance with subpart C of this part.
Receive or receipt of means, when referring to the permitting
authority or the Administrator, to come into possession of a document,
information, or correspondence (whether sent in writing or by authorized
electronic transmission), as indicated in an official correspondence
log, or by a notation made on the document, information, or
correspondence, by the permitting authority or the Administrator in the
regular course of business.
Recordation, record, or recorded means, with regard to
NOX allowances, the movement of NOX allowances by
the Administrator from one NOX Allowance Tracking System
account to another, for purposes of allocation, transfer, or deduction.
Reference method means any direct test method of sampling and
analyzing for an air pollutant as specified in appendix A of part 60 of
this chapter.
Serial number means, when referring to NOX allowances,
the unique identification number assigned to each NOX
allowance by the Administrator, under Sec.96.53(c).
Source means any governmental, institutional, commercial, or
industrial structure, installation, plant, building, or facility that
emits or has the potential to emit any regulated air pollutant under the
CAA. For purposes of section 502(c) of the CAA, a ``source,'' including
a ``source'' with multiple units, shall be considered a single
``facility.''
State means one of the 48 contiguous States and the District of
Columbia specified in Sec.51.121 of this chapter, or any non-federal
authority in or including such States or the District of Columbia
(including local agencies, and Statewide agencies) or any eligible
Indian tribe in an area of such State or the District of Columbia, that
adopts a NOX Budget Trading Program pursuant to Sec.51.121
of this chapter. To the extent a State incorporates by reference the
provisions of this part, the term ``State'' shall mean the incorporating
State. The term ``State'' shall have its conventional meaning where such
meaning is clear from the context.
State trading program budget means the total number of
NOX tons apportioned to all NOX Budget units in a
given State, in accordance with the NOX Budget Trading
Program, for use in a given control period.
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.
Compliance with any ``submission,'' ``service,'' or ``mailing'' deadline
shall be determined by the date of dispatch, transmission, or mailing
and not the date of receipt.
Title V operating permit means a permit issued under title V of the
CAA and part 70 or part 71 of this chapter.
Title V operating permit regulations means the regulations that the
Administrator has approved or issued as meeting the requirements of
title V of the CAA and part 70 or 71 of this chapter.
Ton or tonnage means any ``short ton'' (i.e., 2,000 pounds). For the
purpose of determining compliance with the NOX Budget
emissions limitation, total tons for a control period shall be
calculated as the sum of all recorded hourly emissions (or the tonnage
equivalent of the recorded hourly emissions rates) in accordance with
subpart H of this part, with any remaining fraction of a ton equal to or
greater than 0.50 ton deemed to equal one ton and any fraction of a ton
less than 0.50 ton deemed to equal zero tons.
Unit means a fossil fuel-fired stationary boiler, combustion
turbine, or combined cycle system.
Unit load means the total (i.e., gross) output of a unit in any
control period (or other specified time period) produced by combusting a
given heat input of fuel, expressed in terms of:
(1) The total electrical generation (MWe) produced by the unit,
including generation for use within the plant; or
(2) In the case of a unit that uses heat input for purposes other
than electrical generation, the total steam pressure (psia) produced by
the unit, including steam for use by the unit.
Unit operating day means a calendar day in which a unit combusts any
fuel.
[[Page 14]]
Unit operating hour or hour of unit operation means any hour (or
fraction of an hour) during which a unit combusts any fuel.
Utilization means the heat input (expressed in mmBtu/time) for a
unit. The unit's total heat input for the control period in each year
will be determined in accordance with part 75 of this chapter if the
NOX Budget unit was otherwise subject to the requirements of
part 75 of this chapter for the year, or will be based on the best
available data reported to the Administrator for the unit if the unit
was not otherwise subject to the requirements of part 75 of this chapter
for the year.
Sec.96.3 Measurements, abbreviations, and acronyms.
Measurements, abbreviations, and acronyms used in this part are
defined as follows:
Btu--British thermal unit.
hr--hour.
Kwh--kilowatt hour.
lb--pounds.
mmBtu--million Btu.
MWe--megawatt electrical.
ton--2000 pounds.
CO2--carbon dioxide.
NOX--nitrogen oxides.
O2--oxygen.
Sec.96.4 Applicability.
(a) The following units in a State shall be NOX Budget
units, and any source that includes one or more such units shall be a
NOX Budget source, subject to the requirements of this part:
(1) Any unit that, any time on or after January 1, 1995, serves a
generator with a nameplate capacity greater than 25 MWe and sells any
amount of electricity; or
(2) Any unit that is not a unit under paragraph (a) of this section
and that has a maximum design heat input greater than 250 mmBtu/hr.
(b) Notwithstanding paragraph (a) of this section, a unit under
paragraph (a) of this section shall be subject only to the requirements
of this paragraph (b) if the unit has a federally enforceable permit
that meets the requirements of paragraph (b)(1) of this section and
restricts the unit to burning only natural gas or fuel oil during a
control period in 2003 or later and each control period thereafter and
restricts the unit's operating hours during each such control period to
the number of hours (determined in accordance with paragraph (b)(1)(ii)
and (iii) of this section) that limits the unit's potential
NOX mass emissions for the control period to 25 tons or less.
Notwithstanding paragraph (a) of this section, starting with the
effective date of such federally enforceable permit, the unit shall not
be a NOX Budget unit.
(1) For each control period under paragraph (b) of this section, the
federally enforceable permit must:
(i) Restrict the unit to burning only natural gas or fuel oil.
(ii) Restrict the unit's operating hours to the number calculated by
dividing 25 tons of potential NOX mass emissions by the
unit's maximum potential hourly NOX mass emissions.
(iii) Require that the unit's potential NOX mass
emissions shall be calculated as follows:
(A) Select the default NOX emission rate in Table 2 of
Sec.75.19 of this chapter that would otherwise be applicable assuming
that the unit burns only the type of fuel (i.e., only natural gas or
only fuel oil) that has the highest default NOX emission
factor of any type of fuel that the unit is allowed to burn under the
fuel use restriction in paragraph (b)(1)(i) of this section; and
(B) Multiply the default NOX emission rate under
paragraph (b)(1)(iii)(A) of this section by the unit's maximum rated
hourly heat input. The owner or operator of the unit may petition the
permitting authority to use a lower value for the unit's maximum rated
hourly heat input than the value as defined under Sec.96.2. The
permitting authority may approve such lower value if the owner or
operator demonstrates that the maximum hourly heat input specified by
the manufacturer or the highest observed hourly heat input, or both, are
not representative, and that such lower value is representative, of the
unit's current capabilities because modifications have been made to the
unit, limiting its capacity permanently.
(iv) Require that the owner or operator of the unit shall retain at
the source that includes the unit, for 5 years, records demonstrating
that the
[[Page 15]]
operating hours restriction, the fuel use restriction, and the other
requirements of the permit related to these restrictions were met.
(v) Require that the owner or operator of the unit shall report the
unit's hours of operation (treating any partial hour of operation as a
whole hour of operation) during each control period to the permitting
authority by November 1 of each year for which the unit is subject to
the federally enforceable permit.
(2) The permitting authority that issues the federally enforceable
permit with the fuel use restriction under paragraph (b)(1)(i) and the
operating hours restriction under paragraphs (b)(1)(ii) and (iii) of
this section will notify the Administrator in writing of each unit under
paragraph (a) of this section whose federally enforceable permit issued
by the permitting authority includes such restrictions. The permitting
authority will also notify the Administrator in writing of each unit
under paragraph (a) of this section whose federally enforceable permit
issued by the permitting authority is revised to remove any such
restriction, whose federally enforceable permit issued by the permitting
authority includes any such restriction that is no longer applicable, or
which does not comply with any such restriction.
(3) If, for any control period under paragraph (b) of this section,
the fuel use restriction under paragraph (b)(1)(i) of this section or
the operating hours restriction under paragraphs (b)(1)(ii) and (iii) of
this section is removed from the unit's federally enforceable permit or
otherwise becomes no longer applicable or if, for any such control
period, the unit does not comply with the fuel use restriction under
paragraph (b)(1)(i) of this section or the operating hours restriction
under paragraphs (b)(1)(ii) and (iii) of this section, the unit shall be
a NOX Budget unit, subject to the requirements of this part.
Such unit shall be treated as commencing operation and, for a unit under
paragraph (a)(1) of this section, commencing commercial operation on
September 30 of the control period for which the fuel use restriction or
the operating hours restriction is no longer applicable or during which
the unit does not comply with the fuel use restriction or the operating
hours restriction.
Sec.96.5 Retired unit exemption.
(a) This section applies to any NOX Budget unit, other
than a NOX Budget opt-in source, that is permanently retired.
(b)(1) Any NOX Budget unit, other than a NOX
Budget opt-in source, that is permanently retired shall be exempt from
the NOX Budget Trading Program, except for the provisions of
this section, Sec. Sec.96.2, 96.3, 96.4, 96.7 and subparts E, F, and G
of this part.
(2) The exemption under paragraph (b)(1) of this section shall
become effective the day on which the unit is permanently retired.
Within 30 days of permanent retirement, the NOX authorized
account representative (authorized in accordance with subpart B of this
part) shall submit a statement to the permitting authority otherwise
responsible for administering any NOX Budget permit for the
unit. A copy of the statement shall be submitted to the Administrator.
The statement shall state (in a format prescribed by the permitting
authority) that the unit is permanently retired and will comply with the
requirements of paragraph (c) of this section.
(3) After receipt of the notice under paragraph (b)(2) of this
section, the permitting authority will amend any permit covering the
source at which the unit is located to add the provisions and
requirements of the exemption under paragraphs (b)(1) and (c) of this
section.
(c) Special provisions. (1) A unit exempt under this section shall
not emit any nitrogen oxides, starting on the date that the exemption
takes effect. The owners and operators of the unit will be allocated
allowances in accordance with subpart E of this part.
(2)(i) A unit exempt under this section and located at a source that
is required, or but for this exemption would be required, to have a
title V operating permit shall not resume operation unless the
NOX authorized account representative of the source submits a
complete NOX Budget permit application under Sec.96.22 for
the unit not less than 18 months (or such lesser time provided under the
permitting
[[Page 16]]
authority's title V operating permits regulations for final action on a
permit application) prior to the later of May 1, 2003 or the date on
which the unit is to first resume operation.
(ii) A unit exempt under this section and located at a source that
is required, or but for this exemption would be required, to have a non-
title V permit shall not resume operation unless the NOX
authorized account representative of the source submits a complete
NOX Budget permit application under Sec.96.22 for the unit
not less than 18 months (or such lesser time provided under the
permitting authority's non-title V permits regulations for final action
on a permit application) prior to the later of May 1, 2003 or the date
on which the unit is to first resume operation.
(3) The owners and operators and, to the extent applicable, the
NOX authorized account representative of a unit exempt under
this section shall comply with the requirements of the NOX
Budget 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 that is exempt under this section is not eligible to be a
NOX Budget opt-in source under subpart I of this part.
(5) For a period of 5 years from the date the records are created,
the owners and operators of a unit exempt under 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 prior to the end of the period,
in writing by the permitting authority or the Administrator. The owners
and operators bear the burden of proof that the unit is permanently
retired.
(6) Loss of exemption. (i) On the earlier of the following dates, a
unit exempt under paragraph (b) of this section shall lose its
exemption:
(A) The date on which the NOX authorized account
representative submits a NOX Budget permit application under
paragraph (c)(2) of this section; or
(B) The date on which the NOX authorized account
representative is required under paragraph (c)(2) of this section to
submit a NOX Budget permit application.
(ii) For the purpose of applying monitoring requirements under
subpart H of this part, a unit that loses its exemption under this
section shall be treated as a unit that commences operation or
commercial operation on the first date on which the unit resumes
operation.
Sec.96.6 Standard requirements.
(a) Permit Requirements. (1) The NOX authorized account
representative of each NOX Budget source required to have a
federally enforceable permit and each NOX Budget unit
required to have a federally enforceable permit at the source shall:
(i) Submit to the permitting authority a complete NOX
Budget permit application under Sec.96.22 in accordance with the
deadlines specified in Sec.96.21(b) and (c);
(ii) Submit in a timely manner any supplemental information that the
permitting authority determines is necessary in order to review a
NOX Budget permit application and issue or deny a
NOX Budget permit.
(2) The owners and operators of each NOX Budget source
required to have a federally enforceable permit and each NOX
Budget unit required to have a federally enforceable permit at the
source shall have a NOX Budget permit issued by the
permitting authority and operate the unit in compliance with such
NOX Budget permit.
(3) The owners and operators of a NOX Budget source that
is not otherwise required to have a federally enforceable permit are not
required to submit a NOX Budget permit application, and to
have a NOX Budget permit, under subpart C of this part for
such NOX Budget source.
(b) Monitoring requirements. (1) The owners and operators and, to
the extent applicable, the NOX authorized account
representative of each NOX Budget source and each
NOX Budget unit at the source shall comply with the
monitoring requirements of subpart H of this part.
(2) The emissions measurements recorded and reported in accordance
with
[[Page 17]]
subpart H of this part shall be used to determine compliance by the unit
with the NOX Budget emissions limitation under paragraph (c)
of this section.
(c) Nitrogen oxides requirements. (1) The owners and operators of
each NOX Budget source and each NOX Budget unit at
the source shall hold NOX allowances available for compliance
deductions under Sec.96.54, as of the NOX allowance
transfer deadline, in the unit's compliance account and the source's
overdraft account in an amount not less than the total NOX
emissions for the control period from the unit, as determined in
accordance with subpart H of this part, plus any amount necessary to
account for actual utilization under Sec.96.42(e) for the control
period.
(2) Each ton of nitrogen oxides emitted in excess of the
NOX Budget emissions limitation shall constitute a separate
violation of this part, the CAA, and applicable State law.
(3) A NOX Budget unit shall be subject to the
requirements under paragraph (c)(1) of this section starting on the
later of May 1, 2003 or the date on which the unit commences operation.
(4) NOX allowances shall be held in, deducted from, or
transferred among NOX Allowance Tracking System accounts in
accordance with subparts E, F, G, and I of this part.
(5) A NOX allowance shall not be deducted, in order to
comply with the requirements under paragraph (c)(1) of this section, for
a control period in a year prior to the year for which the
NOX allowance was allocated.
(6) A NOX allowance allocated by the permitting authority
or the Administrator under the NOX Budget Trading Program is
a limited authorization to emit one ton of nitrogen oxides in accordance
with the NOX Budget Trading Program. No provision of the
NOX Budget Trading Program, the NOX Budget permit
application, the NOX Budget permit, or an exemption under
Sec.96.5 and no provision of law shall be construed to limit the
authority of the United States or the State to terminate or limit such
authorization.
(7) A NOX allowance allocated by the permitting authority
or the Administrator under the NOX Budget Trading Program
does not constitute a property right.
(8) Upon recordation by the Administrator under subpart F, G, or I
of this part, every allocation, transfer, or deduction of a
NOX allowance to or from a NOX Budget unit's
compliance account or the overdraft account of the source where the unit
is located is deemed to amend automatically, and become a part of, any
NOX Budget permit of the NOX Budget unit by
operation of law without any further review.
(d) Excess emissions requirements. (1) The owners and operators of a
NOX Budget unit that has excess emissions in any control
period shall:
(i) Surrender the NOX allowances required for deduction
under Sec.96.54(d)(1); and
(ii) Pay any fine, penalty, or assessment or comply with any other
remedy imposed under Sec.96.54(d)(3).
(e) Recordkeeping and Reporting requirements. (1) Unless otherwise
provided, the owners and operators of the NOX Budget source
and each NOX Budget unit at the source shall keep on site at
the source each of the following documents for a period of 5 years from
the date the document is created. This period may be extended for cause,
at any time prior to the end of 5 years, in writing by the permitting
authority or the Administrator.
(i) The account certificate of representation for the NOX
authorized account representative for the source and each NOX
Budget unit at the source and all documents that demonstrate the truth
of the statements in the account certificate of representation, in
accordance with Sec.96.13; provided that the certificate and documents
shall be retained on site at the source beyond such 5-year period until
such documents are superseded because of the submission of a new account
certificate of representation changing the NOX authorized
account representative.
(ii) All emissions monitoring information, in accordance with
subpart H of this part; provided that to the extent that subpart H of
this part provides for a 3-year period for recordkeeping, the 3-year
period shall apply.
(iii) Copies of all reports, compliance certifications, and other
submissions and all records made or required under the NOX
Budget Trading Program.
[[Page 18]]
(iv) Copies of all documents used to complete a NOX
Budget permit application and any other submission under the
NOX Budget Trading Program or to demonstrate compliance with
the requirements of the NOX Budget Trading Program.
(2) The NOX authorized account representative of a
NOX Budget source and each NOX Budget unit at the
source shall submit the reports and compliance certifications required
under the NOX Budget Trading Program, including those under
subparts D, H, or I of this part.
(f) Liability. (1) Any person who knowingly violates any requirement
or prohibition of the NOX Budget Trading Program, a
NOX Budget permit, or an exemption under Sec.96.5 shall be
subject to enforcement pursuant to applicable State or Federal law.
(2) Any person who knowingly makes a false material statement in any
record, submission, or report under the NOX Budget Trading
Program shall be subject to criminal enforcement pursuant to the
applicable State or Federal law.
(3) No permit revision shall excuse any violation of the
requirements of the NOX Budget Trading Program that occurs
prior to the date that the revision takes effect.
(4) Each NOX Budget source and each NOX Budget
unit shall meet the requirements of the NOX Budget Trading
Program.
(5) Any provision of the NOX Budget Trading Program that
applies to a NOX Budget source (including a provision
applicable to the NOX authorized account representative of a
NOX Budget source) shall also apply to the owners and
operators of such source and of the NOX Budget units at the
source.
(6) Any provision of the NOX Budget Trading Program that
applies to a NOX Budget unit (including a provision
applicable to the NOX authorized account representative of a
NOX budget unit) shall also apply to the owners and operators
of such unit. Except with regard to the requirements applicable to units
with a common stack under subpart H of this part, the owners and
operators and the NOX authorized account representative of
one NOX Budget unit shall not be liable for any violation by
any other NOX Budget unit of which they are not owners or
operators or the NOX authorized account representative and
that is located at a source of which they are not owners or operators or
the NOX authorized account representative.
(g) Effect on other authorities. No provision of the NOX
Budget Trading Program, a NOX Budget permit application, a
NOX Budget permit, or an exemption under Sec.96.5 shall be
construed as exempting or excluding the owners and operators and, to the
extent applicable, the NOX authorized account representative
of a NOX Budget source or NOX Budget unit from
compliance with any other provision of the applicable, approved State
implementation plan, a federally enforceable permit, or the CAA.
Sec.96.7 Computation of time.
(a) Unless otherwise stated, any time period scheduled, under the
NOX Budget 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
NOX Budget 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 NOX Budget Trading Program, falls on a weekend or a
State or Federal holiday, the time period shall be extended to the next
business day.
Subpart B_NOX Authorized Account Representative for NOX Budget Sources
Sec.96.10 Authorization and responsibilities of the NOX authorized account representative.
(a) Except as provided under Sec.96.11, each NOX Budget
source, including all NOX Budget units at the source, shall
have one and only one NOX authorized account representative,
with regard to all matters under the NOX Budget Trading
Program concerning the source or any NOX Budget unit at the
source.
[[Page 19]]
(b) The NOX authorized account representative of the
NOX Budget source shall be selected by an agreement binding
on the owners and operators of the source and all NOX Budget
units at the source.
(c) Upon receipt by the Administrator of a complete account
certificate of representation under Sec.96.13, the NOX
authorized account representative of the source shall represent and, by
his or her representations, actions, inactions, or submissions, legally
bind each owner and operator of the NOX Budget source
represented and each NOX Budget unit at the source in all
matters pertaining to the NOX Budget Trading Program, not
withstanding any agreement between the NOX authorized account
representative and such owners and operators. The owners and operators
shall be bound by any decision or order issued to the NOX
authorized account representative by the permitting authority, the
Administrator, or a court regarding the source or unit.
(d) No NOX Budget permit shall be issued, and no
NOX Allowance Tracking System account shall be established
for a NOX Budget unit at a source, until the Administrator
has received a complete account certificate of representation under
Sec.96.13 for a NOX authorized account representative of
the source and the NOX Budget units at the source.
(e)(1) Each submission under the NOX Budget Trading
Program shall be submitted, signed, and certified by the NOX
authorized account representative for each NOX Budget source
on behalf of which the submission is made. Each such submission shall
include the following certification statement by the NOX
authorized account representative: ``I am authorized to make this
submission on behalf of the owners and operators of the NOX
Budget sources or NOX Budget 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.''
(2) The permitting authority and the Administrator will accept or
act on a submission made on behalf of owner or operators of a
NOX Budget source or a NOX Budget unit only if the
submission has been made, signed, and certified in accordance with
paragraph (e)(1) of this section.
Sec.96.11 Alternate NOX authorized account representative.
(a) An account certificate of representation may designate one and
only one alternate NOX authorized account representative who
may act on behalf of the NOX authorized account
representative. The agreement by which the alternate NOX
authorized account representative is selected shall include a procedure
for authorizing the alternate NOX authorized account
representative to act in lieu of the NOX authorized account
representative.
(b) Upon receipt by the Administrator of a complete account
certificate of representation under Sec.96.13, any representation,
action, inaction, or submission by the alternate NOX
authorized account representative shall be deemed to be a
representation, action, inaction, or submission by the NOX
authorized account representative.
(c) Except in this section and Sec. Sec.96.10(a), 96.12, 96.13,
and 96.51, whenever the term ``NOX authorized account
representative'' is used in this part, the term shall be construed to
include the alternate NOX authorized account representative.
Sec.96.12 Changing the NOX authorized account representative and
the alternate NOX authorized account representative; changes in the
owners and operators.
(a) Changing the NOX authorized account representative.
The NOX authorized account representative may be changed at
any time upon receipt by the Administrator of a superseding
[[Page 20]]
complete account certificate of representation under Sec.96.13.
Notwithstanding any such change, all representations, actions,
inactions, and submissions by the previous NOX authorized
account representative prior to the time and date when the Administrator
receives the superseding account certificate of representation shall be
binding on the new NOX authorized account representative and
the owners and operators of the NOX Budget source and the
NOX Budget units at the source.
(b) Changing the alternate NOX authorized account
representative. The alternate NOX authorized account
representative may be changed at any time upon receipt by the
Administrator of a superseding complete account certificate of
representation under Sec.96.13. Notwithstanding any such change, all
representations, actions, inactions, and submissions by the previous
alternate NOX authorized account representative prior to the
time and date when the Administrator receives the superseding account
certificate of representation shall be binding on the new alternate
NOX authorized account representative and the owners and
operators of the NOX Budget source and the NOX
Budget units at the source.
(c) Changes in the owners and operators. (1) In the event a new
owner or operator of a NOX Budget source or a NOX
Budget unit is not included in the list of owners and operators
submitted in the account certificate of representation, such new owner
or operator shall be deemed to be subject to and bound by the account
certificate of representation, the representations, actions, inactions,
and submissions of the NOX authorized account representative
and any alternate NOX authorized account representative of
the source or unit, and the decisions, orders, actions, and inactions of
the permitting authority or the Administrator, as if the new owner or
operator were included in such list.
(2) Within 30 days following any change in the owners and operators
of a NOX Budget source or a NOX Budget unit,
including the addition of a new owner or operator, the NOX
authorized account representative or alternate NOX authorized
account representative shall submit a revision to the account
certificate of representation amending the list of owners and operators
to include the change.
Sec.96.13 Account certificate of representation.
(a) A complete account certificate of representation for a
NOX authorized account representative or an alternate
NOX authorized account representative shall include the
following elements in a format prescribed by the Administrator:
(1) Identification of the NOX Budget source and each
NOX Budget unit at the source for which the account
certificate of representation is submitted.
(2) The name, address, e-mail address (if any), telephone number,
and facsimile transmission number (if any) of the NOX
authorized account representative and any alternate NOX
authorized account representative.
(3) A list of the owners and operators of the NOX Budget
source and of each NOX Budget unit at the source.
(4) The following certification statement by the NOX
authorized account representative and any alternate NOX
authorized account representative: ``I certify that I was selected as
the NOX authorized account representative or alternate
NOX authorized account representative, as applicable, by an
agreement binding on the owners and operators of the NOX
Budget source and each NOX Budget unit at the source. I
certify that I have all the necessary authority to carry out my duties
and responsibilities under the NOX Budget Trading Program on
behalf of the owners and operators of the NOX Budget source
and of each NOX Budget 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 permitting authority, the Administrator, or a court regarding the
source or unit.''
(5) The signature of the NOX authorized account
representative and any alternate NOX authorized account
representative and the dates signed.
(b) Unless otherwise required by the permitting authority or the
Administrator, documents of agreement referred to in the account
certificate of
[[Page 21]]
representation shall not be submitted to the permitting authority or the
Administrator. Neither the permitting authority nor the Administrator
shall be under any obligation to review or evaluate the sufficiency of
such documents, if submitted.
Sec.96.14 Objections concerning the NOX authorized account
representative.
(a) Once a complete account certificate of representation under
Sec.96.13 has been submitted and received, the permitting authority
and the Administrator will rely on the account certificate of
representation unless and until a superseding complete account
certificate of representation under Sec.96.13 is received by the
Administrator.
(b) Except as provided in Sec.96.12(a) or (b), no objection or
other communication submitted to the permitting authority or the
Administrator concerning the authorization, or any representation,
action, inaction, or submission of the NOX authorized account
representative shall affect any representation, action, inaction, or
submission of the NOX authorized account representative or
the finality of any decision or order by the permitting authority or the
Administrator under the NOX Budget Trading Program.
(c) Neither the permitting authority nor the Administrator will
adjudicate any private legal dispute concerning the authorization or any
representation, action, inaction, or submission of any NOX
authorized account representative, including private legal disputes
concerning the proceeds of NOX allowance transfers.
Subpart C_Permits
Sec.96.20 General NOX Budget trading program permit requirements.
(a) For each NOX Budget source required to have a
federally enforceable permit, such permit shall include a NOX
Budget permit administered by the permitting authority.
(1) For NOX Budget sources required to have a title V
operating permit, the NOX Budget portion of the title V
permit shall be administered in accordance with the permitting
authority's title V operating permits regulations promulgated under part
70 or 71 of this chapter, except as provided otherwise by this subpart
or subpart I of this part. The applicable provisions of such title V
operating permits regulations shall include, but are not limited to,
those provisions addressing operating permit applications, operating
permit application shield, operating permit duration, operating permit
shield, operating permit issuance, operating permit revision and
reopening, public participation, State review, and review by the
Administrator.
(2) For NOX Budget sources required to have a non-title V
permit, the NOX Budget portion of the non-title V permit
shall be administered in accordance with the permitting authority's
regulations promulgated to administer non-title V permits, except as
provided otherwise by this subpart or subpart I of this part. The
applicable provisions of such non-title V permits regulations may
include, but are not limited to, provisions addressing permit
applications, permit application shield, permit duration, permit shield,
permit issuance, permit revision and reopening, public participation,
State review, and review by the Administrator.
(b) Each NOX Budget permit (including a draft or proposed
NOX Budget permit, if applicable) shall contain all
applicable NOX Budget Trading Program requirements and shall
be a complete and segregable portion of the permit under paragraph (a)
of this section.
Sec.96.21 Submission of NOX Budget permit applications.
(a) Duty to apply. The NOX authorized account
representative of any NOX Budget source required to have a
federally enforceable permit shall submit to the permitting authority a
complete NOX Budget permit application under Sec.96.22 by
the applicable deadline in paragraph (b) of this section.
(b)(1) For NOX Budget sources required to have a title V
operating permit:
(i) For any source, with one or more NOX Budget units
under Sec.96.4 that commence operation before January 1, 2000, the
NOX authorized account representative shall submit a complete
NOX Budget permit application under Sec.96.22 covering such
NOX Budget units to the permitting authority at least 18
[[Page 22]]
months (or such lesser time provided under the permitting authority's
title V operating permits regulations for final action on a permit
application) before May 1, 2003.
(ii) For any source, with any NOX Budget unit under Sec.
96.4 that commences operation on or after January 1, 2000, the
NOX authorized account representative shall submit a complete
NOX Budget permit application under Sec.96.22 covering such
NOX Budget unit to the permitting authority at least 18
months (or such lesser time provided under the permitting authority's
title V operating permits regulations for final action on a permit
application) before the later of May 1, 2003 or the date on which the
NOX Budget unit commences operation.
(2) For NOX Budget sources required to have a non-title V
permit:
(i) For any source, with one or more NOX Budget units
under Sec.96.4 that commence operation before January 1, 2000, the
NOX authorized account representative shall submit a complete
NOX Budget permit application under Sec.96.22 covering such
NOX Budget units to the permitting authority at least 18
months (or such lesser time provided under the permitting authority's
non-title V permits regulations for final action on a permit
application) before May 1, 2003.
(ii) For any source, with any NOX Budget unit under Sec.
96.4 that commences operation on or after January 1, 2000, the
NOX authorized account representative shall submit a complete
NOX Budget permit application under Sec.96.22 covering such
NOX Budget unit to the permitting authority at least 18
months (or such lesser time provided under the permitting authority's
non-title V permits regulations for final action on a permit
application) before the later of May 1, 2003 or the date on which the
NOX Budget unit commences operation.
(c) Duty to reapply. (1) For a NOX Budget source required
to have a title V operating permit, the NOX authorized
account representative shall submit a complete NOX Budget
permit application under Sec.96.22 for the NOX Budget
source covering the NOX Budget units at the source in
accordance with the permitting authority's title V operating permits
regulations addressing operating permit renewal.
(2) For a NOX Budget source required to have a non-title
V permit, the NOX authorized account representative shall
submit a complete NOX Budget permit application under Sec.
96.22 for the NOX Budget source covering the NOX
Budget units at the source in accordance with the permitting authority's
non-title V permits regulations addressing permit renewal.
Sec.96.22 Information requirements for NOX Budget permit applications.
A complete NOX Budget permit application shall include
the following elements concerning the NOX Budget source for
which the application is submitted, in a format prescribed by the
permitting authority:
(a) Identification of the NOX Budget source, including
plant name and the ORIS (Office of Regulatory Information Systems) or
facility code assigned to the source by the Energy Information
Administration, if applicable;
(b) Identification of each NOX Budget unit at the
NOX Budget source and whether it is a NOX Budget
unit under Sec.96.4 or under subpart I of this part;
(c) The standard requirements under Sec.96.6; and
(d) For each NOX Budget opt-in unit at the NOX
Budget source, the following certification statements by the
NOX authorized account representative:
(1) ``I certify that each unit for which this permit application is
submitted under subpart I of this part is not a NOX Budget
unit under 40 CFR 96.4 and is not covered by a retired unit exemption
under 40 CFR 96.5 that is in effect.''
(2) If the application is for an initial NOX Budget opt-
in permit, ``I certify that each unit for which this permit application
is submitted under subpart I is currently operating, as that term is
defined under 40 CFR 96.2.''
Sec.96.23 NOX Budget permit contents.
(a) Each NOX Budget permit (including any draft or
proposed NOX Budget permit, if applicable) will contain, in a
format prescribed by the permitting authority, all elements required for
a
[[Page 23]]
complete NOX Budget permit application under Sec.96.22 as
approved or adjusted by the permitting authority.
(b) Each NOX Budget permit is deemed to incorporate
automatically the definitions of terms under Sec.96.2 and, upon
recordation by the Administrator under subparts F, G, or I of this part,
every allocation, transfer, or deduction of a NOX allowance
to or from the compliance accounts of the NOX Budget units
covered by the permit or the overdraft account of the NOX
Budget source covered by the permit.
Sec.96.24 Effective date of initial NOX Budget permit.
The initial NOX Budget permit covering a NOX
Budget unit for which a complete NOX Budget permit
application is timely submitted under Sec.96.21(b) shall become
effective by the later of:
(a) May 1, 2003;
(b) May 1 of the year in which the NOX Budget unit
commences operation, if the unit commences operation on or before May 1
of that year;
(c) The date on which the NOX Budget unit commences
operation, if the unit commences operation during a control period; or
(d) May 1 of the year following the year in which the NOX
Budget unit commences operation, if the unit commences operation on or
after October 1 of the year.
Sec.96.25 NOX Budget permit revisions.
(a) For a NOX Budget source with a title V operating
permit, except as provided in Sec.96.23(b), the permitting authority
will revise the NOX Budget permit, as necessary, in
accordance with the permitting authority's title V operating permits
regulations addressing permit revisions.
(b) For a NOX Budget source with a non-title V permit,
except as provided in Sec.96.23(b), the permitting authority will
revise the NOX Budget permit, as necessary, in accordance
with the permitting authority's non-title V permits regulations
addressing permit revisions.
Subpart D_Compliance Certification
Sec.96.30 Compliance certification report.
(a) Applicability and deadline. For each control period in which one
or more NOX Budget units at a source are subject to the
NOX Budget emissions limitation, the NOX
authorized account representative of the source shall submit to the
permitting authority and the Administrator by November 30 of that year,
a compliance certification report for each source covering all such
units.
(b) Contents of report. The NOX authorized account
representative shall include in the compliance certification report
under paragraph (a) of this section the following elements, in a format
prescribed by the Administrator, concerning each unit at the source and
subject to the NOX Budget emissions limitation for the
control period covered by the report:
(1) Identification of each NOX Budget unit;
(2) At the NOX authorized account representative's
option, the serial numbers of the NOX allowances that are to
be deducted from each unit's compliance account under Sec.96.54 for
the control period;
(3) At the NOX authorized account representative's
option, for units sharing a common stack and having NOX
emissions that are not monitored separately or apportioned in accordance
with subpart H of this part, the percentage of allowances that is to be
deducted from each unit's compliance account under Sec.96.54(e); and
(4) The compliance certification under paragraph (c) of this
section.
(c) Compliance certification. In the compliance certification report
under paragraph (a) of this section, the NOX authorized
account representative shall certify, based on reasonable inquiry of
those persons with primary responsibility for operating the source and
the NOX Budget units at the source in compliance with the
NOX Budget Trading Program, whether each NOX
Budget unit for which the compliance certification is submitted was
operated during the calendar year covered by
[[Page 24]]
the report in compliance with the requirements of the NOX
Budget Trading Program applicable to the unit, including:
(1) Whether the unit was operated in compliance with the
NOX Budget emissions limitation;
(2) Whether the monitoring plan that governs the unit has been
maintained to reflect the actual operation and monitoring of the unit,
and contains all information necessary to attribute NOX
emissions to the unit, in accordance with subpart H of this part;
(3) Whether all the NOX emissions from the unit, or a
group of units (including the unit) using a common stack, were monitored
or accounted for through the missing data procedures and reported in the
quarterly monitoring reports, including whether conditional data were
reported in the quarterly reports in accordance with subpart H of this
part. If conditional data were reported, the owner or operator shall
indicate whether the status of all conditional data has been resolved
and all necessary quarterly report resubmissions has been made;
(4) Whether the facts that form the basis for certification under
subpart H of this part of each monitor at the unit or a group of units
(including the unit) using a common stack, or for using an excepted
monitoring method or alternative monitoring method approved under
subpart H of this part, if any, has changed; and
(5) If a change is required to be reported under paragraph (c)(4) of
this section, specify the nature of the change, the reason for the
change, when the change occurred, and how the unit's compliance status
was determined subsequent to the change, including what method was used
to determine emissions when a change mandated the need for monitor
recertification.
Sec.96.31 Permitting authority's and Administrator's action on
compliance certifications.
(a) The permitting authority or the Administrator may review and
conduct independent audits concerning any compliance certification or
any other submission under the NOX Budget Trading Program and
make appropriate adjustments of the information in the compliance
certifications or other submissions.
(b) The Administrator may deduct NOX allowances from or
transfer NOX allowances to a unit's compliance account or a
source's overdraft account based on the information in the compliance
certifications or other submissions, as adjusted under paragraph (a) of
this section.
Subpart E_NOX Allowance Allocations
Sec.96.40 State trading program budget.
The State trading program budget allocated by the permitting
authority under Sec.96.42 for a control period will equal the total
number of tons of NOX emissions apportioned to the
NOX Budget units under Sec.96.4 in the State for the
control period, as determined by the applicable, approved State
implementation plan.
Sec.96.41 Timing requirements for NOX allowance allocations.
(a) By September 30, 1999, the permitting authority will submit to
the Administrator the NOX allowance allocations, in
accordance with Sec.96.42, for the control periods in 2003, 2004, and
2005.
(b) By April 1, 2003 and April 1 of each year thereafter, the
permitting authority will submit to the Administrator the NOX
allowance allocations, in accordance with Sec.96.42, for the control
period in the year that is three years after the year of the applicable
deadline for submission under this paragraph (b). If the permitting
authority fails to submit to the Administrator the NOX
allowance allocations in accordance with this paragraph (b), the
Administrator will allocate, for the applicable control period, the same
number of NOX allowances as were allocated for the preceding
control period.
(c) By April 1, 2004 and April 1 of each year thereafter, the
permitting authority will submit to the Administrator the NOX
allowance allocations, in accordance with Sec.96.42, for any
NOX allowances remaining in the allocation set-aside for the
prior control period.
[[Page 25]]
Sec.96.42 NOX allowance allocations.
(a)(1) The heat input (in mmBtu) used for calculating NOX
allowance allocations for each NOX Budget unit under Sec.
96.4 will be:
(i) For a NOX allowance allocation under Sec.96.41(a),
the average of the two highest amounts of the unit's heat input for the
control periods in 1995, 1996, and 1997 if the unit is under Sec.
96.4(a)(1) or the control period in 1995 if the unit is under Sec.
96.4(a)(2); and
(ii) For a NOX allowance allocation under Sec.96.41(b),
the unit's heat input for the control period in the year that is four
years before the year for which the NOX allocation is being
calculated.
(2) The unit's total heat input for the control period in each year
specified under paragraph (a)(1) of this section will be determined in
accordance with part 75 of this chapter if the NOX Budget
unit was otherwise subject to the requirements of part 75 of this
chapter for the year, or will be based on the best available data
reported to the permitting authority for the unit if the unit was not
otherwise subject to the requirements of part 75 of this chapter for the
year.
(b) For each control period under Sec.96.41, the permitting
authority will allocate to all NOX Budget units under Sec.
96.4(a)(1) in the State that commenced operation before May 1 of the
period used to calculate heat input under paragraph (a)(1) of this
section, a total number of NOX allowances equal to 95 percent
in 2003, 2004, and 2005, or 98 percent thereafter, of the tons of
NOX emissions in the State trading program budget apportioned
to electric generating units under Sec.96.40 in accordance with the
following procedures:
(1) The permitting authority will allocate NOX allowances
to each NOX Budget unit under Sec.96.4(a)(1) in an amount
equaling 0.15 lb/mmBtu multiplied by the heat input determined under
paragraph (a) of this section, rounded to the nearest whole
NOX allowance as appropriate.
(2) If the initial total number of NOX allowances
allocated to all NOX Budget units under Sec.96.4(a)(1) in
the State for a control period under paragraph (b)(1) of this section
does not equal 95 percent in 2003, 2004, and 2005, or 98 percent
thereafter, of the number of tons of NOX emissions in the
State trading program budget apportioned to electric generating units,
the permitting authority will adjust the total number of NOX
allowances allocated to all such NOX Budget units for the
control period under paragraph (b)(1) of this section so that the total
number of NOX allowances allocated equals 95 percent in 2003,
2004, and 2005, or 98 percent thereafter, of the number of tons of
NOX emissions in the State trading program budget apportioned
to electric generating units. This adjustment will be made by:
multiplying each unit's allocation by 95 percent in 2003, 2004, and
2005, or 98 percent thereafter, of the number of tons of NOX
emissions in the State trading program budget apportioned to electric
generating units divided by the total number of NOX
allowances allocated under paragraph (b)(1) of this section, and
rounding to the nearest whole NOX allowance as appropriate.
(c) For each control period under Sec.96.41, the permitting
authority will allocate to all NOX Budget units under Sec.
96.4(a)(2) in the State that commenced operation before May 1 of the
period used to calculate heat input under paragraph (a)(1) of this
section, a total number of NOX allowances equal to 95 percent
in 2003, 2004, and 2005, or 98 percent thereafter, of the tons of
NOX emissions in the State trading program budget apportioned
to non-electric generating units under Sec.96.40 in accordance with
the following procedures:
(1) The permitting authority will allocate NOX allowances
to each NOX Budget unit under Sec.96.4(a)(2) in an amount
equaling 0.17 lb/mmBtu multiplied by the heat input determined under
paragraph (a) of this section, rounded to the nearest whole
NOX allowance as appropriate.
(2) If the initial total number of NOX allowances
allocated to all NOX Budget units under Sec.96.4(a)(2) in
the State for a control period under paragraph (c)(1) of this section
does not equal 95 percent in 2003, 2004, and 2005, or 98 percent
thereafter, of the number of tons of NOX emissions in the
State trading program budget apportioned to non-electric generating
units, the permitting authority will adjust the total number of
NOX allowances allocated to
[[Page 26]]
all such NOX Budget units for the control period under
paragraph (c)(1) of this section so that the total number of
NOX allowances allocated equals 95 percent in 2003, 2004, and
2005, or 98 percent thereafter, of the number of tons of NOX
emissions in the State trading program budget apportioned to non-
electric generating units. This adjustment will be made by: multiplying
each unit's allocation by 95 percent in 2003, 2004, and 2005, or 98
percent thereafter, of the number of tons of NOX emissions in
the State trading program budget apportioned to non-electric generating
units divided by the total number of NOX allowances allocated
under paragraph (c)(1) of this section, and rounding to the nearest
whole NOX allowance as appropriate.
(d) For each control period under Sec.96.41, the permitting
authority will allocate NOX allowances to NOX
Budget units under Sec.96.4 in the State that commenced operation, or
is projected to commence operation, on or after May 1 of the period used
to calculate heat input under paragraph (a)(1) of this section, in
accordance with the following procedures:
(1) The permitting authority will establish one allocation set-aside
for each control period. Each allocation set-aside will be allocated
NOX allowances equal to 5 percent in 2003, 2004, and 2005, or
2 percent thereafter, of the tons of NOX emissions in the
State trading program budget under Sec.96.40, rounded to the nearest
whole NOX allowance as appropriate.
(2) The NOX authorized account representative of a
NOX Budget unit under paragraph (d) of this section may
submit to the permitting authority a request, in writing or in a format
specified by the permitting authority, to be allocated NOX
allowances for no more than five consecutive control periods under Sec.
96.41, starting with the control period during which the NOX
Budget unit commenced, or is projected to commence, operation and ending
with the control period preceding the control period for which it will
receive an allocation under paragraph (b) or (c) of this section. The
NOX allowance allocation request must be submitted prior to
May 1 of the first control period for which the NOX allowance
allocation is requested and after the date on which the permitting
authority issues a permit to construct the NOX Budget unit.
(3) In a NOX allowance allocation request under paragraph
(d)(2) of this section, the NOX authorized account
representative for units under Sec.96.4(a)(1) may request for a
control period NOX allowances in an amount that does not
exceed 0.15 lb/mmBtu multiplied by the NOX Budget unit's
maximum design heat input (in mmBtu/hr) multiplied by the number of
hours remaining in the control period starting with the first day in the
control period on which the unit operated or is projected to operate.
(4) In a NOX allowance allocation request under paragraph
(d)(2) of this section, the NOX authorized account
representative for units under Sec.96.4(a)(2) may request for a
control period NOX allowances in an amount that does not
exceed 0.17 lb/mmBtu multiplied by the NOX Budget unit's
maximum design heat input (in mmBtu/hr) multiplied by the number of
hours remaining in the control period starting with the first day in the
control period on which the unit operated or is projected to operate.
(5) The permitting authority will review, and allocate
NOX allowances pursuant to, each NOX allowance
allocation request under paragraph (d)(2) of this section in the order
that the request is received by the permitting authority.
(i) Upon receipt of the NOX allowance allocation request,
the permitting authority will determine whether, and will make any
necessary adjustments to the request to ensure that, for units under
Sec.96.4(a)(1), the control period and the number of allowances
specified are consistent with the requirements of paragraphs (d)(2) and
(3) of this section and, for units under Sec.96.4(a)(2), the control
period and the number of allowances specified are consistent with the
requirements of paragraphs (d)(2) and (4) of this section.
(ii) If the allocation set-aside for the control period for which
NOX allowances are requested has an amount of NOX
allowances not less than the number requested (as adjusted under
paragraph (d)(5)(i) of this section), the permitting authority will
allocate the
[[Page 27]]
amount of the NOX allowances requested (as adjusted under
paragraph (d)(5)(i) of this section) to the NOX Budget unit.
(iii) If the allocation set-aside for the control period for which
NOX allowances are requested has a smaller amount of
NOX allowances than the number requested (as adjusted under
paragraph (d)(5)(i) of this section), the permitting authority will deny
in part the request and allocate only the remaining number of
NOX allowances in the allocation set-aside to the
NOX Budget unit.
(iv) Once an allocation set-aside for a control period has been
depleted of all NOX allowances, the permitting authority will
deny, and will not allocate any NOX allowances pursuant to,
any NOX allowance allocation request under which
NOX allowances have not already been allocated for the
control period.
(6) Within 60 days of receipt of a NOX allowance
allocation request, the permitting authority will take appropriate
action under paragraph (d)(5) of this section and notify the
NOX authorized account representative that submitted the
request and the Administrator of the number of NOX allowances
(if any) allocated for the control period to the NOX Budget
unit.
(e) For a NOX Budget unit that is allocated
NOX allowances under paragraph (d) of this section for a
control period, the Administrator will deduct NOX allowances
under Sec.96.54(b) or (e) to account for the actual utilization of the
unit during the control period. The Administrator will calculate the
number of NOX allowances to be deducted to account for the
unit's actual utilization using the following formulas and rounding to
the nearest whole NOX allowance as appropriate, provided that
the number of NOX allowances to be deducted shall be zero if
the number calculated is less than zero:
NOX allowances deducted for actual utilization for units
under Sec.96.4(a)(1) = (Unit's NOX allowances allocated for
control period)-(Unit's actual control period utilization x 0.15 lb/
mmBtu); and
NOX allowances deducted for actual utilization for units
under Sec.96.4(a)(2) = (Unit's NOX allowances allocated for
control period)-(Unit's actual control period utilization x 0.17 lb/
mmBtu)
Where:
``Unit's NOX allowances allocated for control period'' is the
number of NOX allowances allocated to the unit for
the control period under paragraph (d) of this section; and
``Unit's actual control period utilization'' is the utilization (in
mmBtu), as defined in Sec.96.2, of the unit during the
control period.
(f) After making the deductions for compliance under Sec.96.54(b)
or (e) for a control period, the Administrator will notify the
permitting authority whether any NOX allowances remain in the
allocation set-aside for the control period. The permitting authority
will allocate any such NOX allowances to the NOX
Budget units in the State using the following formula and rounding to
the nearest whole NOX allowance as appropriate:
Unit's share of NOX allowances remaining in allocation set-
aside = Total NOX allowances remaining in allocation set-
aside x (Unit's NOX allowance allocation / State trading
program budget excluding allocation set-aside)
Where:
``Total NOX allowances remaining in allocation set-aside'' is
the total number of NOX allowances remaining in the
allocation set-aside for the control period to which the
allocation set-aside applies;
``Unit's NOX allowance allocation'' is the number of
NOX allowances allocated under paragraph (b) or (c)
of this section to the unit for the control period to which
the allocation set-aside applies; and
``State trading program budget excluding allocation set-aside'' is the
State trading program budget under Sec.96.40 for the control
period to which the allocation set-aside applies multiplied by
95 percent if the control period is in 2003, 2004, or 2005 or
98 percent if the control period is in any year thereafter,
rounded to the nearest whole NOX allowance as
appropriate.
[63 FR 57514, Oct. 27, 1998, as amended at 63 FR 71225, Dec. 24, 1998]
[[Page 28]]
Subpart F_NOX Allowance Tracking System
Sec.96.50 NOX Allowance Tracking System accounts.
(a) Nature and function of compliance accounts and overdraft
accounts. Consistent with Sec.96.51(a), the Administrator will
establish one compliance account for each NOX Budget unit and
one overdraft account for each source with one or more NOX
Budget units. Allocations of NOX allowances pursuant to
subpart E of this part or Sec.96.88 and deductions or transfers of
NOX allowances pursuant to Sec.96.31, Sec.96.54, Sec.
96.56, subpart G of this part, or subpart I of this part will be
recorded in the compliance accounts or overdraft accounts in accordance
with this subpart.
(b) Nature and function of general accounts. Consistent with Sec.
96.51(b), the Administrator will establish, upon request, a general
account for any person. Transfers of allowances pursuant to subpart G of
this part will be recorded in the general account in accordance with
this subpart.
Sec.96.51 Establishment of accounts.
(a) Compliance accounts and overdraft accounts. Upon receipt of a
complete account certificate of representation under Sec.96.13, the
Administrator will establish:
(1) A compliance account for each NOX Budget unit for
which the account certificate of representation was submitted; and
(2) An overdraft account for each source for which the account
certificate of representation was submitted and that has two or more
NOX Budget units.
(b) General accounts. (1) Any person may apply to open a general
account for the purpose of holding and transferring allowances. A
complete application for a general account shall be submitted to the
Administrator and shall include the following elements in a format
prescribed by the Administrator:
(i) Name, mailing address, e-mail address (if any), telephone
number, and facsimile transmission number (if any) of the NOX
authorized account representative and any alternate NOX
authorized account representative;
(ii) At the option of the NOX authorized account
representative, organization name and type of organization;
(iii) A list of all persons subject to a binding agreement for the
NOX authorized account representative or any alternate
NOX authorized account representative to represent their
ownership interest with respect to the allowances held in the general
account;
(iv) The following certification statement by the NOX
authorized account representative and any alternate NOX
authorized account representative: ``I certify that I was selected as
the NOX authorized account representative or the
NOX alternate authorized account representative, as
applicable, by an agreement that is binding on all persons who have an
ownership interest with respect to allowances held in the general
account. I certify that I have all the necessary authority to carry out
my duties and responsibilities under the NOX Budget 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.''
(v) The signature of the NOX authorized account
representative and any alternate NOX authorized account
representative and the dates signed.
(vi) Unless otherwise required by the permitting authority or the
Administrator, documents of agreement referred to in the account
certificate of representation shall not be submitted to the permitting
authority or the Administrator. Neither the permitting authority nor the
Administrator shall be under any obligation to review or evaluate the
sufficiency of such documents, if submitted.
(2) Upon receipt by the Administrator of a complete application for
a general account under paragraph (b)(1) of this section:
(i) The Administrator will establish a general account for the
person or persons for whom the application is submitted.
(ii) The NOX authorized account representative and any
alternate NOX authorized account representative for the
general account shall represent and, by
[[Page 29]]
his or her representations, actions, inactions, or submissions, legally
bind each person who has an ownership interest with respect to
NOX allowances held in the general account in all matters
pertaining to the NOX Budget Trading Program, not
withstanding any agreement between the NOX authorized account
representative or any alternate NOX authorized account
representative and such person. Any such person shall be bound by any
order or decision issued to the NOX authorized account
representative or any alternate NOX authorized account
representative by the Administrator or a court regarding the general
account.
(iii) Each submission concerning the general account shall be
submitted, signed, and certified by the NOX authorized
account representative or any alternate NOX authorized
account representative for the persons having an ownership interest with
respect to NOX allowances held in the general account. Each
such submission shall include the following certification statement by
the NOX authorized account representative or any alternate
NOX authorized account representative any: ``I am authorized
to make this submission on behalf of the persons having an ownership
interest with respect to the 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.''
(iv) The Administrator will accept or act on a submission concerning
the general account only if the submission has been made, signed, and
certified in accordance with paragraph (b)(2)(iii) of this section.
(3)(i) An application for a general account may designate one and
only one NOX authorized account representative and one and
only one alternate NOX authorized account representative who
may act on behalf of the NOX authorized account
representative. The agreement by which the alternate NOX
authorized account representative is selected shall include a procedure
for authorizing the alternate NOX authorized account
representative to act in lieu of the NOX authorized account
representative.
(ii) Upon receipt by the Administrator of a complete application for
a general account under paragraph (b)(1) of this section, any
representation, action, inaction, or submission by any alternate
NOX authorized account representative shall be deemed to be a
representation, action, inaction, or submission by the NOX
authorized account representative.
(4)(i) The NOX 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 (b)(1) of this section. Notwithstanding any such
change, all representations, actions, inactions, and submissions by the
previous NOX authorized account representative prior to the
time and date when the Administrator receives the superseding
application for a general account shall be binding on the new
NOX authorized account representative and the persons with an
ownership interest with respect to the allowances in the general
account.
(ii) The alternate NOX 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 (b)(1) of this section. Notwithstanding any such
change, all representations, actions, inactions, and submissions by the
previous alternate NOX authorized account representative
prior to the time and date when the Administrator receives the
superseding application for a general account shall be binding on the
new alternate NOX authorized account representative and the
persons with an ownership interest with respect to the allowances in the
general account.
[[Page 30]]
(iii)(A) In the event a new person having an ownership interest with
respect to NOX allowances in the general account is not
included in the list of such persons in the account certificate of
representation, such new person shall be deemed to be subject to and
bound by the account certificate of representation, the representation,
actions, inactions, and submissions of the NOX authorized
account representative and any alternate NOX authorized
account representative of the source or unit, and the decisions, orders,
actions, and inactions of the Administrator, as if the new person were
included in such list.
(B) Within 30 days following any change in the persons having an
ownership interest with respect to NOX allowances in the
general account, including the addition of persons, the NOX
authorized account representative or any alternate NOX
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 NOX allowances in the
general account to include the change.
(5)(i) Once a complete application for a general account under
paragraph (b)(1) of this section has been submitted and received, the
Administrator will rely on the application unless and until a
superseding complete application for a general account under paragraph
(b)(1) of this section is received by the Administrator.
(ii) Except as provided in paragraph (b)(4) of this section, no
objection or other communication submitted to the Administrator
concerning the authorization, or any representation, action, inaction,
or submission of the NOX authorized account representative or
any alternate NOX authorized account representative for a
general account shall affect any representation, action, inaction, or
submission of the NOX authorized account representative or
any alternate NOX authorized account representative or the
finality of any decision or order by the Administrator under the
NOX Budget Trading Program.
(iii) The Administrator will not adjudicate any private legal
dispute concerning the authorization or any representation, action,
inaction, or submission of the NOX authorized account
representative or any alternate NOX authorized account
representative for a general account, including private legal disputes
concerning the proceeds of NOX allowance transfers.
(c) Account identification. The Administrator will assign a unique
identifying number to each account established under paragraph (a) or
(b) of this section.
Sec.96.52 NOX Allowance Tracking System responsibilities of NOX
authorized account representative.
(a) Following the establishment of a NOX Allowance
Tracking System account, all submissions to the Administrator pertaining
to the account, including, but not limited to, submissions concerning
the deduction or transfer of NOX allowances in the account,
shall be made only by the NOX authorized account
representative for the account.
(b) Authorized account representative identification. The
Administrator will assign a unique identifying number to each
NOX authorized account representative.
Sec.96.53 Recordation of NOX allowance allocations.
(a) The Administrator will record the NOX allowances for
2003 in the NOX Budget units' compliance accounts and the
allocation set-asides, as allocated under subpart E of this part. The
Administrator will also record the NOX allowances allocated
under Sec.96.88(a)(1) for each NOX Budget opt-in source in
its compliance account.
(b) Each year, after the Administrator has made all deductions from
a NOX Budget unit's compliance account and the overdraft
account pursuant to Sec.96.54, the Administrator will record
NOX allowances, as allocated to the unit under subpart E of
this part or under Sec.96.88(a)(2), in the compliance account for the
year after the last year for which allowances were previously allocated
to the compliance account. Each year, the Administrator will also record
NOX allowances, as allocated under subpart E of this part, in
the allocation set-aside for the year after the last year for which
allowances were
[[Page 31]]
previously allocated to an allocation set-aside.
(c) Serial numbers for allocated NOX allowances. When
allocating NOX allowances to and recording them in an
account, the Administrator will assign each NOX allowance a
unique identification number that will include digits identifying the
year for which the NOX allowance is allocated.
Sec.96.54 Compliance.
(a) NOX allowance transfer deadline. The NOX
allowances are available to be deducted for compliance with a unit's
NOX Budget emissions limitation for a control period in a
given year only if the NOX allowances:
(1) Were allocated for a control period in a prior year or the same
year; and
(2) Are held in the unit's compliance account, or the overdraft
account of the source where the unit is located, as of the
NOX allowance transfer deadline for that control period or
are transferred into the compliance account or overdraft account by a
NOX allowance transfer correctly submitted for recordation
under Sec.96.60 by the NOX allowance transfer deadline for
that control period.
(b) Deductions for compliance. (1) Following the recordation, in
accordance with Sec.96.61, of NOX allowance transfers
submitted for recordation in the unit's compliance account or the
overdraft account of the source where the unit is located by the
NOX allowance transfer deadline for a control period, the
Administrator will deduct NOX allowances available under
paragraph (a) of this section to cover the unit's NOX
emissions (as determined in accordance with subpart H of this part), or
to account for actual utilization under Sec.96.42(e), for the control
period:
(i) From the compliance account; and
(ii) Only if no more NOX allowances available under
paragraph (a) of this section remain in the compliance account, from the
overdraft account. In deducting allowances for units at the source from
the overdraft account, the Administrator will begin with the unit having
the compliance account with the lowest NOX Allowance Tracking
System account number and end with the unit having the compliance
account with the highest NOX Allowance Tracking System
account number (with account numbers sorted beginning with the left-most
character and ending with the right-most character and the letter
characters assigned values in alphabetical order and less than all
numeric characters).
(2) The Administrator will deduct NOX allowances first
under paragraph (b)(1)(i) of this section and then under paragraph
(b)(1)(ii) of this section:
(i) Until the number of NOX allowances deducted for the
control period equals the number of tons of NOX emissions,
determined in accordance with subpart H of this part, from the unit for
the control period for which compliance is being determined, plus the
number of NOX allowances required for deduction to account
for actual utilization under Sec.96.42(e) for the control period; or
(ii) Until no more NOX allowances available under
paragraph (a) of this section remain in the respective account.
(c)(1) Identification of NOX allowances by serial number.
The NOX authorized account representative for each compliance
account may identify by serial number the NOX allowances to
be deducted from the unit's compliance account under paragraph (b), (d),
or (e) of this section. Such identification shall be made in the
compliance certification report submitted in accordance with Sec.
96.30.
(2) First-in, first-out. The Administrator will deduct
NOX allowances for a control period from the compliance
account, in the absence of an identification or in the case of a partial
identification of NOX allowances by serial number under
paragraph (c)(1) of this section, or the overdraft account on a first-
in, first-out (FIFO) accounting basis in the following order:
(i) Those NOX allowances that were allocated for the
control period to the unit under subpart E or I of this part;
(ii) Those NOX allowances that were allocated for the
control period to any unit and transferred and recorded in the account
pursuant to subpart G of this part, in order of their date of
recordation;
(iii) Those NOX allowances that were allocated for a
prior control period to
[[Page 32]]
the unit under subpart E or I of this part; and
(iv) Those NOX allowances that were allocated for a prior
control period to any unit and transferred and recorded in the account
pursuant to subpart G of this part, in order of their date of
recordation.
(d) Deductions for excess emissions. (1) After making the deductions
for compliance under paragraph (b) of this section, the Administrator
will deduct from the unit's compliance account or the overdraft account
of the source where the unit is located a number of NOX
allowances, allocated for a control period after the control period in
which the unit has excess emissions, equal to three times the number of
the unit's excess emissions.
(2) If the compliance account or overdraft account does not contain
sufficient NOX allowances, the Administrator will deduct the
required number of NOX allowances, regardless of the control
period for which they were allocated, whenever NOX allowances
are recorded in either account.
(3) Any allowance deduction required under paragraph (d) of this
section shall not affect the liability of the owners and operators of
the NOX Budget unit for any fine, penalty, or assessment, or
their obligation to comply with any other remedy, for the same
violation, as ordered under the CAA or applicable State law. The
following guidelines will be followed in assessing fines, penalties or
other obligations:
(i) For purposes of determining the number of days of violation, if
a NOX Budget unit has excess emissions for a control period,
each day in the control period (153 days) constitutes a day in violation
unless the owners and operators of the unit demonstrate that a lesser
number of days should be considered.
(ii) Each ton of excess emissions is a separate violation.
(e) Deductions for units sharing a common stack. In the case of
units sharing a common stack and having emissions that are not
separately monitored or apportioned in accordance with subpart H of this
part:
(1) The NOX authorized account representative of the
units may identify the percentage of NOX allowances to be
deducted from each such unit's compliance account to cover the unit's
share of NOX emissions from the common stack for a control
period. Such identification shall be made in the compliance
certification report submitted in accordance with Sec.96.30.
(2) Notwithstanding paragraph (b)(2)(i) of this section, the
Administrator will deduct NOX allowances for each such unit
until the number of NOX allowances deducted equals the unit's
identified percentage (under paragraph (e)(1) of this section) of the
number of tons of NOX emissions, as determined in accordance
with subpart H of this part, from the common stack for the control
period for which compliance is being determined or, if no percentage is
identified, an equal percentage for each such unit, plus the number of
allowances required for deduction to account for actual utilization
under Sec.96.42(e) for the control period.
(f) The Administrator will record in the appropriate compliance
account or overdraft account all deductions from such an account
pursuant to paragraphs (b), (d), or (e) of this section.
Sec.96.55 Banking.
(a) NOX allowances may be banked for future use or
transfer in a compliance account, an overdraft account, or a general
account, as follows:
(1) Any NOX allowance that is held in a compliance
account, an overdraft account, or a general account will remain in such
account unless and until the NOX allowance is deducted or
transferred under Sec.96.31, Sec.96.54, Sec.96.56, subpart G of
this part, or subpart I of this part.
(2) The Administrator will designate, as a ``banked'' NOX
allowance, any NOX allowance that remains in a compliance
account, an overdraft account, or a general account after the
Administrator has made all deductions for a given control period from
the compliance account or overdraft account pursuant to Sec.96.54.
(b) Each year starting in 2004, after the Administrator has
completed the designation of banked NOX allowances under
paragraph (a)(2) of this section and before May 1 of the year, the
Administrator will determine the extent to which banked NOX
allowances may
[[Page 33]]
be used for compliance in the control period for the current year, as
follows:
(1) The Administrator will determine the total number of banked
NOX allowances held in compliance accounts, overdraft
accounts, or general accounts.
(2) If the total number of banked NOX allowances
determined, under paragraph (b)(1) of this section, to be held in
compliance accounts, overdraft accounts, or general accounts is less
than or equal to 10% of the sum of the State trading program budgets for
the control period for the States in which NOX Budget units
are located, any banked NOX allowance may be deducted for
compliance in accordance with Sec.96.54.
(3) If the total number of banked NOX allowances
determined, under paragraph (b)(1) of this section, to be held in
compliance accounts, overdraft accounts, or general accounts exceeds 10%
of the sum of the State trading program budgets for the control period
for the States in which NOX Budget units are located, any
banked allowance may be deducted for compliance in accordance with Sec.
96.54, except as follows:
(i) The Administrator will determine the following ratio: 0.10
multiplied by the sum of the State trading program budgets for the
control period for the States in which NOX Budget units are
located and divided by the total number of banked NOX
allowances determined, under paragraph (b)(1) of this section, to be
held in compliance accounts, overdraft accounts, or general accounts.
(ii) The Administrator will multiply the number of banked
NOX allowances in each compliance account or overdraft
account. The resulting product is the number of banked NOX
allowances in the account that may be deducted for compliance in
accordance with Sec.96.54. Any banked NOX allowances in
excess of the resulting product may be deducted for compliance in
accordance with Sec.96.54, except that, if such NOX
allowances are used to make a deduction, two such NOX
allowances must be deducted for each deduction of one NOX
allowance required under Sec.96.54.
(c) Any NOX Budget unit may reduce its NOX
emission rate in the 2001 or 2002 control period, the owner or operator
of the unit may request early reduction credits, and the permitting
authority may allocate NOX allowances in 2003 to the unit in
accordance with the following requirements.
(1) Each NOX Budget unit for which the owner or operator
requests any early reduction credits under paragraph (c)(4) of this
section shall monitor NOX emissions in accordance with
subpart H of this part starting in the 2000 control period and for each
control period for which such early reduction credits are requested. The
unit's monitoring system availability shall be not less than 90 percent
during the 2000 control period, and the unit must be in compliance with
any applicable State or Federal emissions or emissions-related
requirements.
(2) NOX emission rate and heat input under paragraphs
(c)(3) through (5) of this section shall be determined in accordance
with subpart H of this part.
(3) Each NOX Budget unit for which the owner or operator
requests any early reduction credits under paragraph (c)(4) of this
section shall reduce its NOX emission rate, for each control
period for which early reduction credits are requested, to less than
both 0.25 lb/mmBtu and 80 percent of the unit's NOX emission
rate in the 2000 control period.
(4) The NOX authorized account representative of a
NOX Budget unit that meets the requirements of paragraphs
(c)(1)and (3) of this section may submit to the permitting authority a
request for early reduction credits for the unit based on NOX
emission rate reductions made by the unit in the control period for 2001
or 2002 in accordance with paragraph (c)(3) of this section.
(i) In the early reduction credit request, the NOX
authorized account may request early reduction credits for such control
period in an amount equal to the unit's heat input for such control
period multiplied by the difference between 0.25 lb/mmBtu and the unit's
NOX emission rate for such control period, divided by 2000
lb/ton, and rounded to the nearest ton.
(ii) The early reduction credit request must be submitted, in a
format specified by the permitting authority, by October 31 of the year
in which the NOX emission rate reductions on which
[[Page 34]]
the request is based are made or such later date approved by the
permitting authority.
(5) The permitting authority will allocate NOX
allowances, to NOX Budget units meeting the requirements of
paragraphs (c)(1) and (3) of this section and covered by early reduction
requests meeting the requirements of paragraph (c)(4)(ii) of this
section, in accordance with the following procedures:
(i) Upon receipt of each early reduction credit request, the
permitting authority will accept the request only if the requirements of
paragraphs (c)(1), (c)(3), and (c)(4)(ii) of this section are met and,
if the request is accepted, will make any necessary adjustments to the
request to ensure that the amount of the early reduction credits
requested meets the requirement of paragraphs (c)(2) and (4) of this
section.
(ii) If the State's compliance supplement pool has an amount of
NOX allowances not less than the number of early reduction
credits in all accepted early reduction credit requests for 2001 and
2002 (as adjusted under paragraph (c)(5)(i) of this section), the
permitting authority will allocate to each NOX Budget unit
covered by such accepted requests one allowance for each early reduction
credit requested (as adjusted under paragraph (c)(5)(i) of this
section).
(iii) If the State's compliance supplement pool has a smaller amount
of NOX allowances than the number of early reduction credits
in all accepted early reduction credit requests for 2001 and 2002 (as
adjusted under paragraph (c)(5)(i) of this section), the permitting
authority will allocate NOX allowances to each NOX
Budget unit covered by such accepted requests according to the following
formula:
Unit's allocated early reduction credits = [(Unit's adjusted early
reduction credits) / (Total adjusted early reduction credits requested
by all units)] x (Available NOX allowances from the State's
compliance supplement pool)
where:
``Unit's adjusted early reduction credits'' is the number of early
reduction credits for the unit for 2001 and 2002 in accepted
early reduction credit requests, as adjusted under paragraph
(c)(5)(i) of this section.
``Total adjusted early reduction credits requested by all units'' is the
number of early reduction credits for all units for 2001 and
2002 in accepted early reduction credit requests, as adjusted
under paragraph (c)(5)(i) of this section.
``Available NOX allowances from the State's compliance
supplement pool'' is the number of NOX allowances
in the State's compliance supplement pool and available for
early reduction credits for 2001 and 2002.
(6) By May 1, 2003, the permitting authority will submit to the
Administrator the allocations of NOX allowances determined
under paragraph (c)(5) of this section. The Administrator will record
such allocations to the extent that they are consistent with the
requirements of paragraphs (c)(1) through (5) of this section.
(7) NOX allowances recorded under paragraph (c)(6) of
this section may be deducted for compliance under Sec.96.54 for the
control periods in 2003 or 2004. Notwithstanding paragraph (a) of this
section, the Administrator will deduct as retired any NOX
allowance that is recorded under paragraph (c)(6) of this section and is
not deducted for compliance in accordance with Sec.96.54 for the
control period in 2003 or 2004.
(8) NOX allowances recorded under paragraph (c)(6) of
this section are treated as banked allowances in 2004 for the purposes
of paragraphs (a) and (b) of this section.
Sec.96.56 Account error.
The Administrator may, at his or her sole discretion and on his or
her own motion, correct any error in any NOX Allowance
Tracking System account. Within 10 business days of making such
correction, the Administrator will notify the NOX authorized
account representative for the account.
Sec.96.57 Closing of general accounts.
(a) The NOX authorized account representative of a
general account may instruct the Administrator to close the account by
submitting a statement requesting deletion of the account from the
NOX Allowance Tracking System and by correctly submitting for
recordation under Sec.96.60 an allowance transfer of all
NOX allowances in the
[[Page 35]]
account to one or more other NOX Allowance Tracking System
accounts.
(b) If a general account shows no activity for a period of a year or
more and does not contain any NOX allowances, the
Administrator may notify the NOX authorized account
representative for the account that the account will be closed and
deleted from the NOX Allowance Tracking System 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 NOX
allowances into the account under Sec.96.60 or a statement submitted
by the NOX authorized account representative demonstrating to
the satisfaction of the Administrator good cause as to why the account
should not be closed.
Subpart G_NOX Allowance Transfers
Sec.96.60 Submission of NOX allowance transfers.
The NOX authorized account representatives seeking
recordation of a NOX allowance transfer shall submit the
transfer to the Administrator. To be considered correctly submitted, the
NOX allowance transfer shall include the following elements
in a format specified by the Administrator:
(a) The numbers identifying both the transferor and transferee
accounts;
(b) A specification by serial number of each NOX
allowance to be transferred; and
(c) The printed name and signature of the NOX authorized
account representative of the transferor account and the date signed.
Sec.96.61 EPA recordation.
(a) Within 5 business days of receiving a NOX allowance
transfer, except as provided in paragraph (b) of this section, the
Administrator will record a NOX allowance transfer by moving
each NOX allowance from the transferor account to the
transferee account as specified by the request, provided that:
(1) The transfer is correctly submitted under Sec.96.60;
(2) The transferor account includes each NOX allowance
identified by serial number in the transfer; and
(3) The transfer meets all other requirements of this part.
(b) A NOX allowance transfer that is submitted for
recordation following the NOX allowance transfer deadline and
that includes any NOX allowances allocated for a control
period prior to or the same as the control period to which the
NOX allowance transfer deadline applies will not be recorded
until after completion of the process of recordation of NOX
allowance allocations in Sec.96.53(b).
(c) Where a NOX allowance transfer submitted for
recordation fails to meet the requirements of paragraph (a) of this
section, the Administrator will not record such transfer.
Sec.96.62 Notification.
(a) Notification of recordation. Within 5 business days of
recordation of a NOX allowance transfer under Sec.96.61,
the Administrator will notify each party to the transfer. Notice will be
given to the NOX authorized account representatives of both
the transferror and transferee accounts.
(b) Notification of non-recordation. Within 10 business days of
receipt of a NOX allowance transfer that fails to meet the
requirements of Sec.96.61(a), the Administrator will notify the
NOX 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.
(c) Nothing in this section shall preclude the submission of a
NOX allowance transfer for recordation following notification
of non-recordation.
Subpart H_Monitoring and Reporting
Sec.96.70 General requirements.
The owners and operators, and to the extent applicable, the
NOX authorized account representative of a NOX
Budget unit, shall comply with the monitoring and reporting requirements
as provided in this subpart and in subpart
[[Page 36]]
H of part 75 of this chapter. For purposes of complying with such
requirements, the definitions in Sec.96.2 and in Sec.72.2 of this
chapter shall apply, and the terms ``affected unit,'' ``designated
representative,'' and ``continuous emission monitoring system'' (or
``CEMS'') in part 75 of this chapter shall be replaced by the terms
``NOX Budget unit,'' ``NOX authorized account
representative,'' and ``continuous emission monitoring system'' (or
``CEMS''), respectively, as defined in Sec.96.2.
(a) Requirements for installation, certification, and data
accounting. The owner or operator of each NOX Budget unit
must meet the following requirements. These provisions also apply to a
unit for which an application for a NOX Budget opt-in permit
is submitted and not denied or withdrawn, as provided in subpart I of
this part:
(1) Install all monitoring systems required under this subpart for
monitoring NOX mass. This includes all systems required to
monitor NOX emission rate, NOX concentration, heat
input, and flow, in accordance with Sec. Sec.75.72 and 75.76.
(2) Install all monitoring systems for monitoring heat input, if
required under Sec.96.76 for developing NOX allowance
allocations.
(3) Successfully complete all certification tests required under
Sec.96.71 and meet all other provisions of this subpart and part 75 of
this chapter applicable to the monitoring systems under paragraphs
(a)(1) and (2) of this section.
(4) Record, and report data from the monitoring systems under
paragraphs (a)(1) and (2) of this section.
(b) Compliance dates. The owner or operator must meet the
requirements of paragraphs (a)(1) through (a)(3) of this section on or
before the following dates and must record and report data on and after
the following dates:
(1) NOX Budget units for which the owner or operator
intends to apply for early reduction credits under Sec.96.55(d) must
comply with the requirements of this subpart by May 1, 2000.
(2) Except for NOX Budget units under paragraph (b)(1) of
this section, NOX Budget units under Sec.96.4 that commence
operation before January 1, 2002, must comply with the requirements of
this subpart by May 1, 2002.
(3) NOX Budget units under Sec.96.4 that commence
operation on or after January 1, 2002 and that report on an annual basis
under Sec.96.74(d) must comply with the requirements of this subpart
by the later of the following dates:
(i) May 1, 2002; or
(ii) The earlier of:
(A) 180 days after the date on which the unit commences operation
or, (B) For units under Sec.96.4(a)(1), 90 days after the date on
which the unit commences commercial operation.
(4) NOX Budget units under Sec.96.4 that commence
operation on or after January 1, 2002 and that report on a control
season basis under Sec.96.74(d) must comply with the requirements of
this subpart by the later of the following dates:
(i) The earlier of:
(A) 180 days after the date on which the unit commences operation
or,
(B) For units under Sec.96.4(a)(1), 90 days after the date on
which the unit commences commercial operation.
(ii) However, if the applicable deadline under paragraph (b)(4)(i)
section does not occur during a control period, May 1; immediately
following the date determined in accordance with paragraph (b)(4)(i) of
this section.
(5) For a NOX Budget unit with a new stack or flue for
which construction is completed after the applicable deadline under
paragraph (b)(1), (b)(2) or (b)(3) of this section or subpart I of this
part:
(i) 90 days after the date on which emissions first exit to the
atmosphere through the new stack or flue;
(ii) However, if the unit reports on a control season basis under
Sec.96.74(d) and the applicable deadline under paragraph (b)(5)(i) of
this section does not occur during the control period, May 1 immediately
following the applicable deadline in paragraph (b)(5)(i) of this
section.
(6) For a unit for which an application for a NOX Budget
opt in permit is submitted and not denied or withdrawn, the compliance
dates specified under subpart I of this part.
(c) Reporting data prior to initial certification. (1) The owner or
operator of a NOX Budget unit that misses the certification
deadline under paragraph (b)(1) of this section is not eligible to apply
for early reduction credits. The owner or operator of the unit becomes
[[Page 37]]
subject to the certification deadline under paragraph (b)(2) of this
section.
(2) The owner or operator of a NOX Budget under
paragraphs (b)(3) or (b)(4) of this section must determine, record and
report NOX mass, heat input (if required for purposes of
allocations) and any other values required to determine NOX
Mass (e.g. NOX emission rate and heat input or NOX
concentration and stack flow) using the provisions of Sec.75.70(g) of
this chapter, from the date and hour that the unit starts operating
until all required certification tests are successfully completed.
(d) Prohibitions. (1) No owner or operator of a NOX
Budget unit or a non-NOX Budget unit monitored under Sec.
75.72(b)(2)(ii) shall use any alternative monitoring system, alternative
reference method, or any other alternative for the required continuous
emission monitoring system without having obtained prior written
approval in accordance with Sec.96.75.
(2) No owner or operator of a NOX Budget unit or a non-
NOX Budget unit monitored under Sec.75.72(b)(2)(ii) shall
operate the unit so as to discharge, or allow to be discharged,
NOX emissions to the atmosphere without accounting for all
such emissions in accordance with the applicable provisions of this
subpart and part 75 of this chapter except as provided for in Sec.
75.74 of this chapter.
(3) No owner or operator of a NOX Budget unit or a non-
NOX Budget unit monitored under Sec.75.72(b)(2)(ii) shall
disrupt the continuous emission monitoring system, any portion thereof,
or any other approved emission monitoring method, and thereby avoid
monitoring and recording NOX mass emissions discharged into
the atmosphere, 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 except as provided for in Sec.75.74 of this chapter.
(4) No owner or operator of a NOX Budget unit or a non-
NOX Budget unit monitored under Sec.75.72(b)(2)(ii) shall
retire or permanently discontinue use of the continuous emission
monitoring system, any component thereof, or any other approved emission
monitoring system under this subpart, except under any one of the
following circumstances:
(i) During the period that the unit is covered by a retired unit
exemption under Sec.96.5 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 permitting authority 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 NOX authorized account representative submits
notification of the date of certification testing of a replacement
monitoring system in accordance with Sec.96.71(b)(2).
Sec.96.71 Initial certification and recertification procedures.
(a) The owner or operator of a NOX Budget unit that is
subject to an Acid Rain emissions limitation shall comply with the
initial certification and recertification procedures of part 75 of this
chapter, except that:
(1) If, prior to January 1, 1998, the Administrator approved a
petition under Sec.75.17(a) or (b) of this chapter for apportioning
the NOX emission rate measured in a common stack or a
petition under Sec.75.66 of this chapter for an alternative to a
requirement in Sec.75.17 of this chapter, the NOX
authorized account representative shall resubmit the petition to the
Administrator under Sec.96.75(a) to determine if the approval applies
under the NOX Budget Trading Program.
(2) For any additional CEMS required under the common stack
provisions in Sec.75.72 of this chapter, or for any NOX
concentration CEMS used under the provisions of Sec.75.71(a)(2) of
this chapter, the owner or operator shall meet the requirements of
paragraph (b) of this section.
(b) The owner or operator of a NOX Budget unit that is
not subject to an Acid Rain emissions limitation shall comply with the
following initial certification and recertification procedures, except
that the owner or operator of a unit that qualifies to use the
[[Page 38]]
low mass emissions excepted monitoring methodology under Sec.75.19
shall also meet the requirements of paragraph (c) of this section and
the owner or operator of a unit that qualifies to use an alternative
monitoring system under subpart E of part 75 of this chapter shall also
meet the requirements of paragraph (d) of this section. The owner or
operator of a NOX Budget unit that is subject to an Acid Rain
emissions limitation, but requires additional CEMS under the common
stack provisions in Sec.75.72 of this chapter, or that uses a
NOX concentration CEMS under Sec.75.71(a)(2) of this
chapter also shall comply with the following initial certification and
recertification procedures.
(1) Requirements for initial certification. The owner or operator
shall ensure that each monitoring system required by subpart H of part
75 of this chapter (which includes the automated data acquisition and
handling system) successfully completes all of the initial certification
testing required under Sec.75.20 of this chapter. The owner or
operator shall ensure that all applicable certification tests are
successfully completed by the deadlines specified in Sec.96.70(b). In
addition, whenever the owner or operator installs a monitoring system in
order to meet the requirements of this part in a location where no such
monitoring system was previously installed, initial certification
according to Sec.75.20 is required.
(2) Requirements for recertification. Whenever the owner or operator
makes a replacement, modification, or change in a certified monitoring
system that the Administrator or the permitting authority determines
significantly affects the ability of the system to accurately measure or
record NOX mass emissions or heat input or to meet the
requirements of Sec.75.21 of this chapter or appendix B to part 75 of
this chapter, the owner or operator shall recertify the monitoring
system according to Sec.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 the
Administrator or the permitting authority determines to significantly
change the flow or concentration profile, the owner or operator shall
recertify the continuous emissions monitoring system according to Sec.
75.20(b) of this chapter. Examples of changes which require
recertification include: replacement of the analyzer, change in location
or orientation of the sampling probe or site, or changing of flow rate
monitor polynomial coefficients.
(3) Certification approval process for initial certifications and
recertification--(i) Notification of certification. The NOX
authorized account representative shall submit to the permitting
authority, the appropriate EPA Regional Office and the permitting
authority a written notice of the dates of certification in accordance
with Sec.96.73.
(ii) Certification application. The NOX authorized
account representative shall submit to the permitting authority a
certification application for each monitoring system required under
subpart H of part 75 of this chapter. A complete certification
application shall include the information specified in subpart H of part
75 of this chapter.
(iii) Except for units using the low mass emission excepted
methodology under Sec.75.19 of this chapter, the provisional
certification date for a monitor shall be determined using the
procedures set forth in Sec.75.20(a)(3) of this chapter. A
provisionally certified monitor may be used under the NOX
Budget Trading Program for a period not to exceed 120 days after receipt
by the permitting authority of the complete certification application
for the monitoring system or component thereof under paragraph
(b)(3)(ii) of this section. Data measured and recorded by the
provisionally certified monitoring system or component thereof, in
accordance with the requirements of part 75 of this chapter, will be
considered valid quality-assured data (retroactive to the date and time
of provisional certification), provided that the permitting authority
does not invalidate the provisional certification by issuing a notice of
disapproval within 120 days of receipt of the complete certification
application by the permitting authority.
[[Page 39]]
(iv) Certification application formal approval process. The
permitting authority will issue a written notice of approval or
disapproval of the certification application to the owner or operator
within 120 days of receipt of the complete certification application
under paragraph (b)(3)(ii) of this section. In the event the permitting
authority does not issue such a notice within such 120-day period, each
monitoring system which 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 NOX Budget Trading
Program.
(A) Approval notice. If the certification application is complete
and shows that each monitoring system meets the applicable performance
requirements of part 75 of this chapter, then the permitting authority
will issue a written notice of approval of the certification application
within 120 days of receipt.
(B) Incomplete application notice. A certification application will
be considered complete when all of the applicable information required
to be submitted under paragraph (b)(3)(ii) of this section has been
received by the permitting authority. If the certification application
is not complete, then the permitting authority will issue a written
notice of incompleteness that sets a reasonable date by which the
NOX authorized account representative must submit the
additional information required to complete the certification
application. If the NOX authorized account representative
does not comply with the notice of incompleteness by the specified date,
then the permitting authority may issue a notice of disapproval under
paragraph (b)(3)(iv)(C) of this section.
(C) Disapproval notice. If the certification application shows that
any monitoring system or component thereof does not meet the performance
requirements of this part, or if the certification application is
incomplete and the requirement for disapproval under paragraph
(b)(3)(iv)(B) of this section has been met, the permitting authority
will issue a written notice of disapproval of the certification
application. Upon issuance of such notice of disapproval, the
provisional certification is invalidated by the permitting authority and
the data measured and recorded by each uncertified monitoring system or
component thereof shall not be considered valid quality-assured data
beginning with the date and hour of provisional certification. The owner
or operator shall follow the procedures for loss of certification in
paragraph (b)(3)(v) of this section for each monitoring system or
component thereof which is disapproved for initial certification.
(D) Audit decertification. The permitting authority may issue a
notice of disapproval of the certification status of a monitor in
accordance with Sec.96.72(b).
(v) Procedures for loss of certification. If the permitting
authority issues a notice of disapproval of a certification application
under paragraph (b)(3)(iv)(C) of this section or a notice of disapproval
of certification status under paragraph (b)(3)(iv)(D) of this section,
then:
(A) The owner or operator shall substitute the following values, for
each hour of unit operation during the period of invalid data beginning
with the date and hour of provisional certification and continuing until
the time, date, and hour specified under Sec.75.20(a)(5)(i) of this
chapter:
(1) For units using or intending to monitor for NOX
emission rate and heat input or for units using the low mass emission
excepted methodology under Sec.75.19 of this chapter, the maximum
potential NOX emission rate and the maximum potential hourly
heat input of the unit.
(2) For units intending to monitor for NOX mass emissions
using a NOX pollutant concentration monitor and a flow
monitor, the maximum potential concentration of NOX and the
maximum potential flow rate of the unit under section 2.1 of appendix A
of part 75 of this chapter;
(B) The NOX authorized account representative shall
submit a notification of certification retest dates and a new
certification application in accordance with paragraphs (b)(3)(i) and
(ii) of this section; and
[[Page 40]]
(C) The owner or operator shall repeat all certification tests or
other requirements that were failed by the monitoring system, as
indicated in the permitting authority's notice of disapproval, no later
than 30 unit operating days after the date of issuance of the notice of
disapproval.
(c) Initial certification and recertification procedures for low
mass emission units using the excepted methodologies under Sec.75.19
of this chapter. The owner or operator of a gas-fired or oil-fired unit
using the low mass emissions excepted methodology under Sec.75.19 of
this chapter shall meet the applicable general operating requirements of
Sec.75.10 of this chapter, the applicable requirements of Sec.75.19
of this chapter, and the applicable certification requirements of Sec.
96.71 of this chapter, except that the excepted methodology shall be
deemed provisionally certified for use under the NOX Budget
Trading Program, as of the following dates:
(1) For units that are reporting on an annual basis under Sec.
96.74(d);
(i) For a unit that has commences operation before its compliance
deadline under Sec.96.71(b), from January 1 of the year following
submission of the certification application for approval to use the low
mass emissions excepted methodology under Sec.75.19 of this chapter
until the completion of the period for the permitting authority review;
or
(ii) For a unit that commences operation after its compliance
deadline under Sec.96.71(b), the date of submission of the
certification application for approval to use the low mass emissions
excepted methodology under Sec.75.19 of this chapter until the
completion of the period for permitting authority review, or
(2) For units that are reporting on a control period basis under
Sec.96.74(b)(3)(ii) of this part:
(i) For a unit that commenced operation before its compliance
deadline under Sec.96.71(b), where the certification application is
submitted before May 1, from May 1 of the year of the submission of the
certification application for approval to use the low mass emissions
excepted methodology under Sec.75.19 of this chapter until the
completion of the period for the permitting authority review; or
(ii) For a unit that commenced operation before its compliance
deadline under Sec.96.71(b), where the certification application is
submitted after May 1, from May 1 of the year following submission of
the certification application for approval to use the low mass emissions
excepted methodology under Sec.75.19 of this chapter until the
completion of the period for the permitting authority review; or
(iii) For a unit that commences operation after its compliance
deadline under Sec.96.71(b), where the unit commences operation before
May 1, from May 1 of the year that the unit commenced operation, until
the completion of the period for the permitting authority's review.
(iv) For a unit that has not operated after its compliance deadline
under Sec.96.71(b), where the certification application is submitted
after May 1, but before October 1st, from the date of submission of a
certification application for approval to use the low mass emissions
excepted methodology under Sec.75.19 of this chapter until the
completion of the period for the permitting authority's review.
(d) Certification/recertification procedures for alternative
monitoring systems. The NOX authorized account representative
representing the owner or operator of each unit applying to monitor
using an alternative monitoring system approved by the Administrator
and, if applicable, the permitting authority under subpart E of part 75
of this chapter shall apply for certification to the permitting
authority prior to use of the system under the NOX Trading
Program. The NOX authorized account representative shall
apply for recertification following a replacement, modification or
change according to the procedures in paragraph (b) of this section. The
owner or operator of an alternative monitoring system shall comply with
the notification and application requirements for certification
according to the procedures specified in paragraph (b)(3) of this
section and Sec.75.20(f) of this chapter .
Sec.96.72 Out of control periods.
(a) Whenever any monitoring system fails to meet the quality
assurance requirements of appendix B of part 75 of
[[Page 41]]
this chapter, data shall be substituted using the applicable procedures
in subpart D, appendix D, or appendix E of 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 system or component should not have been
certified or recertified because it did not meet a particular
performance specification or other requirement under Sec.96.71 or the
applicable provisions of part 75 of this chapter, both at the time of
the initial certification or recertification application submission and
at the time of the audit, the permitting authority will issue a notice
of disapproval of the certification status of such system or component.
For the purposes of this paragraph, an audit shall be either a field
audit or an audit of any information submitted to the permitting
authority or the Administrator. By issuing the notice of disapproval,
the permitting authority revokes prospectively the certification status
of the system or component. The data measured and recorded by the system
or component 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.
The owner or operator shall follow the initial certification or
recertification procedures in Sec.96.71 for each disapproved system.
Sec.96.73 Notifications.
The NOX authorized account representative for a
NOX Budget unit shall submit written notice to the permitting
authority and the Administrator in accordance with Sec.75.61 of this
chapter, except that if the unit is not subject to an Acid Rain
emissions limitation, the notification is only required to be sent to
the permitting authority.
Sec.96.74 Recordkeeping and reporting.
(a) General provisions. (1) The NOX authorized account
representative shall comply with all recordkeeping and reporting
requirements in this section and with the requirements of Sec.
96.10(e).
(2) If the NOX authorized account representative for a
NOX Budget unit subject to an Acid Rain Emission limitation
who signed and certified any submission that is made under subpart F or
G of part 75 of this chapter and which includes data and information
required under this subpart or subpart H of part 75 of this chapter is
not the same person as the designated representative or the alternative
designated representative for the unit under part 72 of this chapter,
the submission must also be signed by the designated representative or
the alternative designated representative.
(b) Monitoring plans. (1) The owner or operator of a unit subject to
an Acid Rain emissions limitation shall comply with requirements of
Sec.75.62 of this chapter, except that the monitoring plan shall also
include all of the information required by subpart H of part 75 of this
chapter.
(2) The owner or operator of a unit that is not subject to an Acid
Rain emissions limitation shall comply with requirements of Sec.75.62
of this chapter, except that the monitoring plan is only required to
include the information required by subpart H of part 75 of this
chapter.
(c) Certification applications. The NOX authorized
account representative shall submit an application to the permitting
authority within 45 days after completing all initial certification or
recertification tests required under Sec.96.71 including the
information required under subpart H of part 75 of this chapter.
(d) Quarterly reports. The NOX authorized account
representative shall submit quarterly reports, as follows:
(1) If a unit is subject to an Acid Rain emission limitation or if
the owner or operator of the NOX budget unit chooses to meet
the annual reporting requirements of this subpart H, the NOX
authorized account representative shall submit a quarterly report for
each calendar quarter beginning with:
(i) For units that elect to comply with the early reduction credit
provisions under Sec.96.55 of this part, the CALENDER quarter that
includes the date of initial provisional certification
[[Page 42]]
under Sec.96.71(b)(3)(iii). Data shall be reported from the date and
hour corresponding to the date and hour of provisional certification; or
(ii) For units commencing operation prior to May 1, 2002 that are
not required to certify monitors by May 1, 2000 under Sec.96.70(b)(1),
the earlier of the CALENDER quarter that includes the date of initial
provisional certification under Sec.96.71(b)(3)(iii) or, if the
certification tests are not completed by May 1, 2002, the partial
CALENDER quarter from May 1, 2002 through June 30, 2002. Data shall be
recorded and reported from the earlier of the date and hour
corresponding to the date and hour of provisional certification or the
first hour on May 1, 2002; or
(iii) For a unit that commences operation after May 1, 2002, the
calendar quarter in which the unit commences operation, Data shall be
reported from the date and hour corresponding to when the unit commenced
operation.
(2) If a NOX budget unit is not subject to an Acid Rain
emission limitation, then the NOX authorized account
representative shall either:
(i) Meet all of the requirements of part 75 related to monitoring
and reporting NOX mass emissions during the entire year and
meet the reporting deadlines specified in paragraph (d)(1) of this
section; or
(ii) Submit quarterly reports only for the periods from the earlier
of May 1 or the date and hour that the owner or operator successfully
completes all of the recertification tests required under Sec.
75.74(d)(3) through September 30 of each year in accordance with the
provisions of Sec.75.74(b) of this chapter. The NOX
authorized account representative shall submit a quarterly report for
each calendar quarter, beginning with:
(A) For units that elect to comply with the early reduction credit
provisions under Sec.96.55, the CALENDER quarter that includes the
date of initial provisional certification under Sec.96.71(b)(3)(iii).
Data shall be reported from the date and hour corresponding to the date
and hour of provisional certification; or
(B) For units commencing operation prior to May 1, 2002 that are not
required to certify monitors by May 1, 2000 under Sec.96.70(b)(1), the
earlier of the CALENDER quarter that includes the date of initial
provisional certification under Sec.96.71(b)(3)(iii), or if the
certification tests are not completed by May 1, 2002, the partial
CALENDER quarter from May 1, 2002 through June 30, 2002. Data shall be
reported from the earlier of the date and hour corresponding to the date
and hour of provisional certification or the first hour of May 1, 2002;
or
(C) For units that commence operation after May 1, 2002 during the
control period, the CALENDER quarter in which the unit commences
operation. Data shall be reported from the date and hour corresponding
to when the unit commenced operation; or
(D) For units that commence operation after May 1, 2002 and before
May 1 of the year in which the unit commences operation, the earlier of
the CALENDER quarter that includes the date of initial provisional
certification under Sec.96.71(b)(3)(iii) or, if the certification
tests are not completed by May 1 of the year in which the unit commences
operation, May 1 of the year in which the unit commences operation. Data
shall be reported from the earlier of the date and hour corresponding to
the date and hour of provisional certification or the first hour of May
1 of the year after the unit commences operation.
(E) For units that commence operation after May 1, 2002 and after
September 30 of the year in which the unit commences operation, the
earlier of the CALENDER quarter that includes the date of initial
provisional certification under Sec.96.71(b)(3)(iii) or, if the
certification tests are not completed by May 1 of the year after the
unit commences operation, May 1 of the year after the unit commences
operation. Data shall be reported from the earlier of the date and hour
corresponding to the date and hour of provisional certification or the
first hour of May 1 of the year after the unit commences operation.
(3) The NOX authorized account representative shall
submit each quarterly report to the Administrator within 30 days
following the end of the calendar quarter covered by the report.
Quarterly reports shall be submitted in the manner specified in subpart
H of part
[[Page 43]]
75 of this chapter and Sec.75.64 of this chapter.
(i) For units subject to an Acid Rain Emissions limitation,
quarterly reports shall include all of the data and information required
in subpart H of part 75 of this chapter for each NOX Budget
unit (or group of units using a common stack) as well as information
required in subpart G of part 75 of this chapter.
(ii) For units not subject to an Acid Rain Emissions limitation,
quarterly reports are only required to include all of the data and
information required in subpart H of part 75 of this chapter for each
NOX Budget unit (or group of units using a common stack).
(4) Compliance certification. The NOX authorized account
representative shall submit to the Administrator a compliance
certification in support of each quarterly report based on reasonable
inquiry of those persons with primary responsibility for ensuring that
all of the unit's emissions are correctly and fully monitored. The
certification shall state that:
(i) 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
(ii) For a unit with add-on NOX emission controls and for
all hours where data are substituted in accordance with Sec.
75.34(a)(1) of this chapter, the add-on emission controls were operating
within the range of parameters listed in the monitoring plan and the
substitute values do not systematically underestimate NOX
emissions; and
(iii) For a unit that is reporting on a control period basis under
Sec.96.74(d) 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.
Sec.96.75 Petitions.
(a) The NOX authorized account representative of a
NOX Budget unit that is subject to an Acid Rain emissions
limitation may submit a petition under Sec.75.66 of this chapter to
the Administrator requesting approval to apply an alternative to any
requirement of this subpart.
(1) Application of an alternative to any requirement of this subpart
is in accordance with this subpart only to the extent that the petition
is approved by the Administrator, in consultation with the permitting
authority.
(2) Notwithstanding paragraph (a)(1) of this section, if the
petition requests approval to apply an alternative to a requirement
concerning any additional CEMS required under the common stack
provisions of Sec.75.72 of this chapter, the petition is governed by
paragraph (b) of this section.
(b) The NOX authorized account representative of a
NOX Budget unit that is not subject to an Acid Rain emissions
limitation may submit a petition under Sec.75.66 of this chapter to
the permitting authority and the Administrator requesting approval to
apply an alternative to any requirement of this subpart.
(1) The NOX authorized account representative of a
NOX Budget unit that is subject to an Acid Rain emissions
limitation may submit a petition under Sec.75.66 of this chapter to
the permitting authority and the Administrator requesting approval to
apply an alternative to a requirement concerning any additional CEMS
required under the common stack provisions of Sec.75.72 of this
chapter or a NOX concentration CEMS used under 75.71(a)(2) of
this chapter.
(2) Application of an alternative to any requirement of this subpart
is in accordance with this subpart only to the extent the petition under
paragraph (b) of this section is approved by both the permitting
authority and the Administrator.
Sec.96.76 Additional requirements to provide heat input data
for allocations purposes.
(a) The owner or operator of a unit that elects to monitor and
report NOX Mass emissions using a NOX
concentration system and a flow system shall also monitor and report
heat input at the unit level using the procedures set forth in part 75
of this chapter for any source located in a state developing
[[Page 44]]
source allocations based upon heat input.
(b) The owner or operator of a unit that monitor and report
NOX Mass emissions using a NOX concentration
system and a flow system shall also monitor and report heat input at the
unit level using the procedures set forth in part 75 of this chapter for
any source that is applying for early reduction credits under Sec.
96.55.
Subpart I_Individual Unit Opt-ins
Sec.96.80 Applicability.
A unit that is in the State, is not a NOX Budget unit
under Sec.96.4, vents all of its emissions to a stack, and is
operating, may qualify, under this subpart, to become a NOX
Budget opt-in source. A unit that is a NOX Budget unit, is
covered by a retired unit exemption under Sec.96.5 that is in effect,
or is not operating is not eligible to become a NOX Budget
opt-in source.
Sec.96.81 General.
Except otherwise as provided in this part, a NOX Budget
opt-in source shall be treated as a NOX Budget unit for
purposes of applying subparts A through H of this part.
Sec.96.82 NOX authorized account representative.
A unit for which an application for a NOX Budget opt-in
permit is submitted and not denied or withdrawn, or a NOX
Budget opt-in source, located at the same source as one or more
NOX Budget units, shall have the same NOX
authorized account representative as such NOX Budget units.
Sec.96.83 Applying for NOX Budget opt-in permit.
(a) Applying for initial NOX Budget opt-in permit. In
order to apply for an initial NOX Budget opt-in permit, the
NOX authorized account representative of a unit qualified
under Sec.96.80 may submit to the permitting authority at any time,
except as provided under Sec.96.86(g):
(1) A complete NOX Budget permit application under Sec.
96.22;
(2) A monitoring plan submitted in accordance with subpart H of this
part; and
(3) A complete account certificate of representation under Sec.
96.13, if no NOX authorized account representative has been
previously designated for the unit.
(b) Duty to reapply. The NOX authorized account
representative of a NOX Budget opt-in source shall submit a
complete NOX Budget permit application under Sec.96.22 to
renew the NOX Budget opt-in permit in accordance with Sec.
96.21(c) and, if applicable, an updated monitoring plan in accordance
with subpart H of this part.
Sec.96.84 Opt-in process.
The permitting authority will issue or deny a NOX Budget
opt-in permit for a unit for which an initial application for a
NOX Budget opt-in permit under Sec.96.83 is submitted, in
accordance with Sec.96.20 and the following:
(a) Interim review of monitoring plan. The permitting authority will
determine, on an interim basis, the sufficiency of the monitoring plan
accompanying the initial application for a NOX Budget opt-in
permit under Sec.96.83. A monitoring plan is sufficient, for purposes
of interim review, if the plan appears to contain information
demonstrating that the NOX emissions rate and heat input of
the unit are monitored and reported in accordance with subpart H of this
part. A determination of sufficiency shall not be construed as
acceptance or approval of the unit's monitoring plan.
(b) If the permitting authority determines that the unit's
monitoring plan is sufficient under paragraph (a) of this section and
after completion of monitoring system certification under subpart H of
this part, the NOX emissions rate and the heat input of the
unit shall be monitored and reported in accordance with subpart H of
this part for one full control period during which monitoring system
availability is not less than 90 percent and during which the unit is in
full compliance with any applicable State or Federal emissions or
emissions-related requirements. Solely for purposes of applying the
requirements in the prior sentence, the unit shall be treated as a
``NOX Budget unit'' prior to issuance of a NOX
Budget opt-in permit covering the unit.
[[Page 45]]
(c) Based on the information monitored and reported under paragraph
(b) of this section, the unit's baseline heat rate shall be calculated
as the unit's total heat input (in mmBtu) for the control period and the
unit's baseline NOX emissions rate shall be calculated as the
unit's total NOX emissions (in lb) for the control period
divided by the unit's baseline heat rate.
(d) After calculating the baseline heat input and the baseline
NOX emissions rate for the unit under paragraph (c) of this
section, the permitting authority will serve a draft NOX
Budget opt-in permit on the NOX authorized account
representative of the unit.
(e) Confirmation of intention to opt-in. Within 20 days after the
issuance of the draft NOX Budget opt-in permit, the
NOX authorized account representative of the unit must submit
to the permitting authority a confirmation of the intention to opt in
the unit or a withdrawal of the application for a NOX Budget
opt-in permit under Sec.96.83. The permitting authority will treat the
failure to make a timely submission as a withdrawal of the
NOX Budget opt-in permit application.
(f) Issuance of draft NOX Budget opt-in permit. If the
NOX authorized account representative confirms the intention
to opt-in the unit under paragraph (e) of this section, the permitting
authority will issue the draft NOX Budget opt-in permit in
accordance with Sec.96.20.
(g) Notwithstanding paragraphs (a) through (f) of this section, if
at any time before issuance of a draft NOX Budget opt-in
permit for the unit, the permitting authority determines that the unit
does not qualify as a NOX Budget opt-in source under Sec.
96.80, the permitting authority will issue a draft denial of a
NOX Budget opt-in permit for the unit in accordance with
Sec.96.20.
(h) Withdrawal of application for NOX Budget opt-in
permit. A NOX authorized account representative of a unit may
withdraw its application for a NOX Budget opt-in permit under
Sec.96.83 at any time prior to the issuance of the final
NOX Budget opt-in permit. Once the application for a
NOX Budget opt-in permit is withdrawn, a NOX
authorized account representative wanting to reapply must submit a new
application for a NOX Budget permit under Sec.96.83.
(i) Effective date. The effective date of the initial NOX
Budget opt-in permit shall be May 1 of the first control period starting
after the issuance of the initial NOX Budget opt-in permit by
the permitting authority. The unit shall be a NOX Budget opt-
in source and a NOX Budget unit as of the effective date of
the initial NOX Budget opt-in permit.
Sec.96.85 NOX Budget opt-in permit contents.
(a) Each NOX Budget opt-in permit (including any draft or
proposed NOX Budget opt-in permit, if applicable) will
contain all elements required for a complete NOX Budget opt-
in permit application under Sec.96.22 as approved or adjusted by the
permitting authority.
(b) Each NOX Budget opt-in permit is deemed to
incorporate automatically the definitions of terms under Sec.96.2 and,
upon recordation by the Administrator under subpart F, G, or I of this
part, every allocation, transfer, or deduction of NOX
allowances to or from the compliance accounts of each NOX
Budget opt-in source covered by the NOX Budget opt-in permit
or the overdraft account of the NOX Budget source where the
NOX Budget opt-in source is located.
Sec.96.86 Withdrawal from NOX Budget Trading Program.
(a) Requesting withdrawal. To withdraw from the NOX
Budget Trading Program, the NOX authorized account
representative of a NOX Budget opt-in source shall submit to
the permitting authority a request to withdraw effective as of a
specified date prior to May 1 or after September 30. The submission
shall be made no later than 90 days prior to the requested effective
date of withdrawal.
(b) Conditions for withdrawal. Before a NOX Budget opt-in
source covered by a request under paragraph (a) of this section may
withdraw from the NOX Budget Trading Program and the
NOX Budget opt-in permit may be terminated under paragraph
(e) of this section, the following conditions must be met:
(1) For the control period immediately before the withdrawal is to
be effective, the NOX authorized account representative must
submit or must
[[Page 46]]
have submitted to the permitting authority an annual compliance
certification report in accordance with Sec.96.30.
(2) If the NOX Budget opt-in source has excess emissions
for the control period immediately before the withdrawal is to be
effective, the Administrator will deduct or has deducted from the
NOX Budget opt-in source's compliance account, or the
overdraft account of the NOX Budget source where the
NOX Budget opt-in source is located, the full amount required
under Sec.96.54(d) for the control period.
(3) After the requirements for withdrawal under paragraphs (b)(1)
and (2) of this section are met, the Administrator will deduct from the
NOX Budget opt-in source's compliance account, or the
overdraft account of the NOX Budget source where the
NOX Budget opt-in source is located, NOX
allowances equal in number to and allocated for the same or a prior
control period as any NOX allowances allocated to that source
under Sec.96.88 for any control period for which the withdrawal is to
be effective. The Administrator will close the NOX Budget
opt-in source's compliance account and will establish, and transfer any
remaining allowances to, a new general account for the owners and
operators of the NOX Budget opt-in source. The NOX
authorized account representative for the NOX Budget opt-in
source shall become the NOX authorized account representative
for the general account.
(c) A NOX Budget opt-in source that withdraws from the
NOX Budget Trading Program shall comply with all requirements
under the NOX Budget Trading Program concerning all years for
which such NOX Budget opt-in source was a NOX
Budget opt-in source, even if such requirements arise or must be
complied with after the withdrawal takes effect.
(d) Notification. (1) After the requirements for withdrawal under
paragraphs (a) and (b) of this section are met (including deduction of
the full amount of NOX allowances required), the permitting
authority will issue a notification to the NOX authorized
account representative of the NOX Budget opt-in source of the
acceptance of the withdrawal of the NOX Budget opt-in source
as of a specified effective date that is after such requirements have
been met and that is prior to May 1 or after September 30.
(2) If the requirements for withdrawal under paragraphs (a) and (b)
of this section are not met, the permitting authority will issue a
notification to the NOX authorized account representative of
the NOX Budget opt-in source that the NOX Budget
opt-in source's request to withdraw is denied. If the NOX
Budget opt-in source's request to withdraw is denied, the NOX
Budget opt-in source shall remain subject to the requirements for a
NOX Budget opt-in source.
(e) Permit amendment. After the permitting authority issues a
notification under paragraph (d)(1) of this section that the
requirements for withdrawal have been met, the permitting authority will
revise the NOX Budget permit covering the NOX
Budget opt-in source to terminate the NOX Budget opt-in
permit as of the effective date specified under paragraph (d)(1) of this
section. A NOX Budget opt-in source shall continue to be a
NOX Budget opt-in source until the effective date of the
termination.
(f) Reapplication upon failure to meet conditions of withdrawal. If
the permitting authority denies the NOX Budget opt-in
source's request to withdraw, the NOX authorized account
representative may submit another request to withdraw in accordance with
paragraphs (a) and (b) of this section.
(g) Ability to return to the NOX Budget Trading Program.
Once a NOX Budget opt-in source withdraws from the
NOX Budget Trading Program and its NOX Budget opt-
in permit is terminated under this section, the NOX authority
account representative may not submit another application for a
NOX Budget opt-in permit under Sec.96.83 for the unit prior
to the date that is 4 years after the date on which the terminated
NOX Budget opt-in permit became effective.
Sec.96.87 Change in regulatory status.
(a) Notification. When a NOX Budget opt-in source becomes
a NOX Budget unit under Sec.96.4, the NOX
authorized account representative shall notify in writing the permitting
authority and the Administrator of such change in
[[Page 47]]
the NOX Budget opt-in source's regulatory status, within 30
days of such change.
(b) Permitting authority's and Administrator's action. (1)(i) When
the NOX Budget opt-in source becomes a NOX Budget
unit under Sec.96.4, the permitting authority will revise the
NOX Budget opt-in source's NOX Budget opt-in
permit to meet the requirements of a NOX Budget permit under
Sec.96.23 as of an effective date that is the date on which such
NOX Budget opt-in source becomes a NOX Budget unit
under Sec.96.4.
(ii)(A) The Administrator will deduct from the compliance account
for the NOX Budget unit under paragraph (b)(1)(i) of this
section, or the overdraft account of the NOX Budget source
where the unit is located, NOX allowances equal in number to
and allocated for the same or a prior control period as:
(1) Any NOX allowances allocated to the NOX
Budget unit (as a NOX Budget opt-in source) under Sec.96.88
for any control period after the last control period during which the
unit's NOX Budget opt-in permit was effective; and
(2) If the effective date of the NOX Budget permit
revision under paragraph (b)(1)(i) of this section is during a control
period, the NOX allowances allocated to the NOX
Budget unit (as a NOX Budget opt-in source) under Sec.96.88
for the control period multiplied by the ratio of the number of days, in
the control period, starting with the effective date of the permit
revision under paragraph (b)(1)(i) of this section, divided by the total
number of days in the control period.
(B) The NOX authorized account representative shall
ensure that the compliance account of the NOX Budget unit
under paragraph (b)(1)(i) of this section, or the overdraft account of
the NOX Budget source where the unit is located, includes the
NOX allowances necessary for completion of the deduction
under paragraph (b)(1)(ii)(A) of this section. If the compliance account
or overdraft account does not contain sufficient NOX
allowances, the Administrator will deduct the required number of
NOX allowances, regardless of the control period for which
they were allocated, whenever NOX allowances are recorded in
either account.
(iii)(A) For every control period during which the NOX
Budget permit revised under paragraph (b)(1)(i) of this section is
effective, the NOX Budget unit under paragraph (b)(1)(i) of
this section will be treated, solely for purposes of NOX
allowance allocations under Sec.96.42, as a unit that commenced
operation on the effective date of the NOX Budget permit
revision under paragraph (b)(1)(i) of this section and will be allocated
NOX allowances under Sec.96.42.
(B) Notwithstanding paragraph (b)(1)(iii)(A) of this section, if the
effective date of the NOX Budget permit revision under
paragraph (b)(1)(i) of this section is during a control period, the
following number of NOX allowances will be allocated to the
NOX Budget unit under paragraph (b)(1)(i) of this section
under Sec.96.42 for the control period: the number of NOX
allowances otherwise allocated to the NOX Budget unit under
Sec.96.42 for the control period multiplied by the ratio of the number
of days, in the control period, starting with the effective date of the
permit revision under paragraph (b)(1)(i) of this section, divided by
the total number of days in the control period.
(2)(i) When the NOX authorized account representative of
a NOX Budget opt-in source does not renew its NOX
Budget opt-in permit under Sec.96.83(b), the Administrator will deduct
from the NOX Budget opt-in unit's compliance account, or the
overdraft account of the NOX Budget source where the
NOX Budget opt-in source is located, NOX
allowances equal in number to and allocated for the same or a prior
control period as any NOX allowances allocated to the
NOX Budget opt-in source under Sec.96.88 for any control
period after the last control period for which the NOX Budget
opt-in permit is effective. The NOX authorized account
representative shall ensure that the NOX Budget opt-in
source's compliance account or the overdraft account of the
NOX Budget source where the NOX Budget opt-in
source is located includes the NOX allowances necessary for
completion of such deduction. If the compliance account or overdraft
account does not contain sufficient NOX allowances, the
Administrator will deduct the required number of NOX
allowances, regardless
[[Page 48]]
of the control period for which they were allocated, whenever
NOX allowances are recorded in either account.
(ii) After the deduction under paragraph (b)(2)(i) of this section
is completed, the Administrator will close the NOX Budget
opt-in source's compliance account. If any NOX allowances
remain in the compliance account after completion of such deduction and
any deduction under Sec.96.54, the Administrator will close the
NOX Budget opt-in source's compliance account and will
establish, and transfer any remaining allowances to, a new general
account for the owners and operators of the NOX Budget opt-in
source. The NOX authorized account representative for the
NOX Budget opt-in source shall become the NOX
authorized account representative for the general account.
Sec.96.88 NOX allowance allocations to opt-in units.
(a) NOX allowance allocation. (1) By December 31
immediately before the first control period for which the NOX
Budget opt-in permit is effective, the permitting authority will
allocate NOX allowances to the NOX Budget opt-in
source and submit to the Administrator the allocation for the control
period in accordance with paragraph (b) of this section.
(2) By no later than December 31, after the first control period for
which the NOX Budget opt-in permit is in effect, and December
31 of each year thereafter, the permitting authority will allocate
NOX allowances to the NOX Budget opt-in source,
and submit to the Administrator allocations for the next control period,
in accordance with paragraph (b) of this section.
(b) For each control period for which the NOX Budget opt-
in source has an approved NOX Budget opt-in permit, the
NOX Budget opt-in source will be allocated NOX
allowances in accordance with the following procedures:
(1) The heat input (in mmBtu) used for calculating NOX
allowance allocations will be the lesser of:
(i) The NOX Budget opt-in source's baseline heat input
determined pursuant to Sec.96.84(c); or
(ii) The NOX Budget opt-in source's heat input, as
determined in accordance with subpart H of this part, for the control
period in the year prior to the year of the control period for which the
NOX allocations are being calculated.
(2) The permitting authority will allocate NOX allowances
to the NOX Budget opt-in source in an amount equaling the
heat input (in mmBtu) determined under paragraph (b)(1) of this section
multiplied by the lesser of:
(i) The NOX Budget opt-in source's baseline
NOX emissions rate (in lb/mmBtu) determined pursuant to Sec.
96.84(c); or
(ii) The most stringent State or Federal NOX emissions
limitation applicable to the NOX Budget opt-in source during
the control period.
Subpart J--Mobile and Area Sources [Reserved]
Subparts K-Z [Reserved]
Subpart AA_CAIR NOX Annual Trading Program General Provisions
Source: 70 FR 25339, May 12, 2005, unless otherwise noted.
Sec.96.101 Purpose.
This subpart and subparts BB through II establish the model rule
comprising general provisions and the designated representative,
permitting, allowance, monitoring, and opt-in provisions for the State
Clean Air Interstate Rule (CAIR) NOX Annual Trading Program,
under section 110 of the Clean Air Act and Sec.51.123 of this chapter,
as a means of mitigating interstate transport of fine particulates and
nitrogen oxides. The owner or operator of a unit or a source shall
comply with the requirements of this subpart and subparts BB through II
as a matter of federal law only if the State with jurisdiction over the
unit and the source incorporates by reference such subparts or otherwise
adopts the requirements of such subparts in accordance with Sec.
51.123(o)(1) or (2) of this chapter, the State submits to the
Administrator one or more revisions of the State implementation plan
that include such adoption, and the Administrator approves such
revisions. If the State
[[Page 49]]
adopts the requirements of such subparts in accordance with Sec.
51.123(o)(1) or (2) of this chapter, then the State authorizes the
Administrator to assist the State in implementing the CAIR
NOX Annual Trading Program by carrying out the functions set
forth for the Administrator in such subparts.
Sec.96.102 Definitions.
The terms used in this subpart and subparts BB through II shall have
the meanings set forth in this section as follows:
Account number means the identification number given by the
Administrator to each CAIR NOX Allowance Tracking System
account.
Acid Rain emissions limitation means a limitation on emissions of
sulfur dioxide or nitrogen oxides under the Acid Rain Program.
Acid Rain Program means a multi-state sulfur dioxide and nitrogen
oxides air pollution control and emission reduction program established
by the Administrator under title IV of the CAA and parts 72 through 78
of this chapter.
Administrator means the Administrator of the United States
Environmental Protection Agency or the Administrator's duly authorized
representative.
Allocate or allocation means, with regard to CAIR NOX
allowances, the determination by a permitting authority or the
Administrator of the amount of such CAIR NOX allowances to be
initially credited to a CAIR NOX unit, a new unit set-aside,
or other entity.
Allowance transfer deadline means, for a control period, midnight of
March 1 (if it is a business day), or midnight of the first business day
thereafter (if March 1 is not a business day), immediately following the
control period and is the deadline by which a CAIR NOX
allowance transfer must be submitted for recordation in a CAIR
NOX source's compliance account in order to be used to meet
the source's CAIR NOX emissions limitation for such control
period in accordance with Sec.96.154.
Alternate CAIR designated representative means, for a CAIR
NOX source and each CAIR NOX 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 subparts BB
and II of this part, to act on behalf of the CAIR designated
representative in matters pertaining to the CAIR NOX Annual
Trading Program. If the CAIR NOX source is also a CAIR
SO2 source, then this natural person shall be the same person
as the alternate CAIR designated representative under the CAIR
SO2 Trading Program. If the CAIR NOX source is
also a CAIR NOX Ozone Season source, then this natural person
shall be the same person as the alternate CAIR designated representative
under the CAIR NOX Ozone Season Trading Program. If the CAIR
NOX source is also subject to the Acid Rain Program, then
this natural person shall be the same person as the alternate designated
representative under the Acid Rain Program. If the CAIR NOX
source is also subject to the Hg Budget Trading Program, then this
natural person shall be the same person as the alternate Hg designated
representative under the Hg Budget Trading Program.
Automated data acquisition and handling system or DAHS means that
component of the continuous emission monitoring system, or other
emissions monitoring system approved for use under subpart HH of this
part, designed to interpret and convert individual output signals from
pollutant concentration monitors, flow monitors, diluent gas monitors,
and other component parts of the monitoring system to produce a
continuous record of the measured parameters in the measurement units
required by subpart HH of this part.
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
nonmerchantable material, 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
[[Page 50]]
(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 cogeneration unit means a cogeneration unit in which
the energy input to the unit is first used to produce useful thermal
energy and at least some of the reject heat from the useful thermal
energy application or process is then used for electricity production.
CAIR authorized account representative means, with regard to a
general account, a responsible natural person who is authorized, in
accordance with subparts BB, FF, and II of this part, to transfer and
otherwise dispose of CAIR NOX allowances held in the general
account and, with regard to a compliance account, the CAIR designated
representative of the source.
CAIR designated representative means, for a CAIR NOX
source and each CAIR NOX 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 subparts BB and II of
this part, to represent and legally bind each owner and operator in
matters pertaining to the CAIR NOX Annual Trading Program. If
the CAIR NOX source is also a CAIR SO2 source,
then this natural person shall be the same person as the CAIR designated
representative under the CAIR SO2 Trading Program. If the
CAIR NOX source is also a CAIR NOX Ozone Season
source, then this natural person shall be the same person as the CAIR
designated representative under the CAIR NOX Ozone Season
Trading Program. If the CAIR NOX source is also subject to
the Acid Rain Program, then this natural person shall be the same person
as the designated representative under the Acid Rain Program. If the
CAIR NOX source is also subject to the Hg Budget Trading
Program, then this natural person shall be the same person as the Hg
designated representative under the Hg Budget Trading Program.
CAIR NOX allowance means a limited authorization issued by a
permitting authority or the Administrator under provisions of a State
implementation plan that are approved under Sec.51.123(o)(1) or (2) or
(p) of this chapter, or under subpart EE of part 97 or Sec.97.188 of
this chapter, to emit one ton of nitrogen oxides during a control period
of the specified calendar year for which the authorization is allocated
or of any calendar year thereafter under the CAIR NOX
Program. An authorization to emit nitrogen oxides that is not issued
under provisions of a State implementation plan that are approved under
Sec.51.123(o)(1) or (2) or (p) of this chapter or subpart EE of part
97 or Sec.97.188 of this chapter shall not be a CAIR NOX
allowance.
CAIR NOX allowance deduction or deduct CAIR NOX allowances means the
permanent withdrawal of CAIR NOX allowances by the
Administrator from a compliance account, e.g., in order to account for a
specified number of tons of total nitrogen oxides emissions from all
CAIR NOX units at a CAIR NOX source for a control
period, determined in accordance with subpart HH of this part, or to
account for excess emissions.
CAIR NOX Allowance Tracking System means the system by
which the Administrator records allocations, deductions, and transfers
of CAIR NOX allowances under the CAIR NOX Annual
Trading Program. Such allowances will be allocated, held, deducted, or
transferred only as whole allowances.
CAIR NOX Allowance Tracking System account means an
account in the CAIR NOX Allowance Tracking System established
by the Administrator for purposes of recording the allocation, holding,
transferring, or deducting of CAIR NOX allowances.
CAIR NOX allowances held or hold CAIR NOX
allowances means the CAIR NOX allowances recorded by the
Administrator, or submitted to the Administrator for recordation, in
accordance with subparts FF, GG, and II of this part, in a CAIR
NOX Allowance Tracking System account.
CAIR NOX Annual Trading Program means a multi-state
nitrogen oxides air
[[Page 51]]
pollution control and emission reduction program approved and
administered by the Administrator in accordance with subparts AA through
II of this part and Sec.51.123(o)(1) or (2) of this chapter or
established by the Administrator in accordance with subparts AA through
II of part 97 of this chapter and Sec. Sec.51.123(p) and 52.35 of this
chapter, as a means of mitigating interstate transport of fine
particulates and nitrogen oxides.
CAIR NOX emissions limitation means, for a CAIR
NOX source, the tonnage equivalent, in NOX
emissions in a control period, of the CAIR NOX allowances
available for deduction for the source under Sec.96.154(a) and (b) for
the control period.
CAIR NOX Ozone Season source means a source that is
subject to the CAIR NOX Ozone Season Trading Program.
CAIR NOX Ozone Season Trading Program means a multi-state
nitrogen oxides air pollution control and emission reduction program
approved and administered by the Administrator in accordance with
subparts AAAA through IIII of this part and Sec.51.123(aa)(1) or (2)
(and (bb)(1)), (bb)(2), or (dd) of this chapter or established by the
Administrator in accordance with subparts AAAA through IIII of part 97
of this chapter and Sec. Sec.51.123(ee) and 52.35 of this chapter, as
a means of mitigating interstate transport of ozone and nitrogen oxides.
CAIR NOX source means a source that includes one or more
CAIR NOX units.
CAIR NOX unit means a unit that is subject to the CAIR
NOX Annual Trading Program under Sec.96.104 and, except for
purposes of Sec.96.105 and subpart EE of this part, a CAIR
NOX opt-in unit under subpart II of this part.
CAIR permit means the legally binding and federally enforceable
written document, or portion of such document, issued by the permitting
authority under subpart CC of this part, including any permit revisions,
specifying the CAIR NOX Annual Trading Program requirements
applicable to a CAIR NOX source, to each CAIR NOX
unit at the source, and to the owners and operators and the CAIR
designated representative of the source and each such unit.
CAIR SO2 source means a source that is subject to the
CAIR SO2 Trading Program.
CAIR SO2 Trading Program means a multi-state sulfur
dioxide air pollution control and emission reduction program approved
and administered by the Administrator in accordance with subparts AAA
through III of this part and Sec.51.124(o)(1) or (2) of this chapter
or established by the Administrator in accordance with subparts AAA
through III of part 97 of this chapter and Sec. Sec.51.124(r) and
52.36 of this chapter, as a means of mitigating interstate transport of
fine particulates and sulfur dioxide.
Clean Air Act or CAA means the Clean Air Act, 42 U.S.C. 7401, et
seq.
Coal means any solid fuel classified as anthracite, bituminous,
subbituminous, or lignite.
Coal-derived fuel means any fuel (whether in a solid, liquid, or
gaseous state) produced by the mechanical, thermal, or chemical
processing of coal.
Coal-fired means:
(1) Except for purposes of subpart EE of this part, combusting any
amount of coal or coal-derived fuel, alone or in combination with any
amount of any other fuel, during any year; or
(2) For purposes of subpart EE of this part, combusting any amount
of coal or coal-derived fuel, alone or in combination with any amount of
any other fuel, during a specified year.
Cogeneration unit means a stationary, fossil-fuel-fired boiler or
stationary, fossil-fuel-fired combustion turbine:
(1) Having equipment used to produce electricity and useful thermal
energy for industrial, commercial, heating, or cooling purposes through
the sequential use of energy; and
(2) Producing during the 12-month period starting on the date the
unit first produces electricity and during any calendar year after the
calendar year in which the unit first produces electricity--
(i) For a topping-cycle cogeneration unit,
(A) Useful thermal energy not less than 5 percent of total energy
output; and
[[Page 52]]
(B) Useful power that, when added to one-half of useful thermal
energy produced, is not less then 42.5 percent of total energy input, if
useful thermal energy produced is 15 percent or more of total energy
output, or not less than 45 percent of total energy input, if useful
thermal energy produced is less than 15 percent of total energy output.
(ii) For a bottoming-cycle cogeneration unit, useful power not less
than 45 percent of total energy input;
(3) Provided that the total energy input under paragraphs (2)(i)(B)
and (2)(ii) of this definition shall equal the unit's total energy input
from all fuel except biomass if the unit is a boiler.
Combustion turbine means:
(1) An enclosed device comprising 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 enclosed device under paragraph (1) of this definition is
combined cycle, 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 Sec.96.105 and Sec.96.184(h).
(i) For a unit that is a CAIR NOX unit under Sec.96.104
on the later of November 15, 1990 or the date the unit commences
commercial operation as defined in paragraph (1) of this definition and
that subsequently undergoes a physical change (other than replacement of
the unit by a unit at the same source), such date shall remain the date
of commencement of commercial operation of the unit, which shall
continue to be treated as the same unit.
(ii) For a unit that is a CAIR NOX unit under Sec.
96.104 on the later of November 15, 1990 or the date the unit commences
commercial operation as defined in paragraph (1) of this definition and
that is subsequently replaced by a unit at the same source (e.g.,
repowered), 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 Sec.96.105, for a unit that is not a CAIR NOX
unit under Sec.96.104 on the later of November 15, 1990 or the date
the unit commences commercial operation as defined in paragraph (1) of
this definition, the unit's date for commencement of commercial
operation shall be the date on which the unit becomes a CAIR
NOX unit under Sec.96.104.
(i) For a unit with a date for commencement of commercial operation
as defined in paragraph (2) of this definition and that subsequently
undergoes a physical change (other than replacement of the unit by a
unit at the same source), such date shall remain the date of
commencement of commercial operation of the unit, which shall continue
to be treated as the same unit.
(ii) For a unit with a date for commencement of commercial operation
as defined in paragraph (2) of this definition and that is subsequently
replaced by a unit at the same source (e.g., repowered), such date shall
remain the replaced unit's date of commencement of commercial operation,
and the replacement unit shall be treated as a separate unit with a
separate date for commencement of commercial operation as defined in
paragraph (1) or (2) of this definition as appropriate.
Commence operation means:
(1) To have begun any mechanical, chemical, or electronic process,
including, with regard to a unit, start-up of a unit's combustion
chamber, except as provided in Sec.96.184(h).
(2) For a unit that undergoes a physical change (other than
replacement of the unit by a unit at the same source) after the date the
unit commences operation as defined in paragraph (1) of this definition,
such date shall remain the date of commencement of operation of the
unit, which shall continue to be treated as the same unit.
(3) For a unit that is replaced by a unit at the same source (e.g.,
repowered) after the date the unit commences operation as defined in
paragraph (1) of this definition, such date shall remain the replaced
unit's date of
[[Page 53]]
commencement of operation, and the replacement unit shall be treated as
a separate unit with a separate date for commencement of operation as
defined in paragraph (1), (2), or (3) of this definition as appropriate,
except as provided in Sec.96.184(h).
Compliance account means a CAIR NOX Allowance Tracking
System account, established by the Administrator for a CAIR
NOX source under subpart FF or II of this part, in which any
CAIR NOX allowance allocations for the CAIR NOX
units at the source are initially recorded and in which are held any
CAIR NOX allowances available for use for a control period in
order to meet the source's CAIR NOX emissions limitation in
accordance with Sec.96.154.
Continuous emission monitoring system or CEMS means the equipment
required under subpart HH of this part to sample, analyze, measure, and
provide, by means of readings recorded at least once every 15 minutes
(using an automated data acquisition and handling system (DAHS)), a
permanent record of nitrogen oxides emissions, stack gas volumetric flow
rate, stack gas moisture content, and oxygen or carbon dioxide
concentration (as applicable), in a manner consistent with part 75 of
this chapter. The following systems are the principal types of
continuous emission monitoring systems required under subpart HH of this
part:
(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 nitrogen oxides 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 nitrogen oxides emission rate (or NOX-diluent)
monitoring system, consisting of a NOX pollutant
concentration monitor, a diluent gas (CO2 or O2)
monitor, and an automated data acquisition and handling system and
providing a permanent, continuous record of NOX
concentration, in parts per million (ppm), diluent gas concentration, in
percent CO2 or O2; and NOX emission
rate, in pounds per million British thermal units (lb/mmBtu);
(4) A moisture monitoring system, as defined in Sec.75.11(b)(2) of
this chapter and providing a permanent, continuous record of the stack
gas moisture content, in percent H2O;
(5) A carbon dioxide monitoring system, consisting of a
CO2 pollutant concentration monitor (or an oxygen monitor
plus suitable mathematical equations from which the CO2
concentration is derived) and an automated data acquisition and handling
system and providing a permanent, continuous record of CO2
emissions, in percent CO2; and
(6) An oxygen monitoring system, consisting of an O2
concentration monitor and an automated data acquisition and handling
system and providing a permanent, continuous record of O2, in
percent O2.
Control period means the period beginning January 1 of a calendar
year, except as provided in Sec.96.106(c)(2), and ending on December
31 of the same year, inclusive.
Emissions means air pollutants exhausted from a unit or source into
the atmosphere, as measured, recorded, and reported to the Administrator
by the CAIR designated representative and as determined by the
Administrator in accordance with subpart HH of this part.
Excess emissions means any ton of nitrogen oxides emitted by the
CAIR NOX units at a CAIR NOX source during a
control period that exceeds the CAIR NOX emissions limitation
for the source.
Fossil fuel means natural gas, petroleum, coal, or any form of
solid, liquid, or gaseous fuel derived from such material.
Fossil-fuel-fired means, with regard to a unit, combusting any
amount of fossil fuel in any calendar year.
Fuel oil means any petroleum-based fuel (including diesel fuel or
petroleum derivatives such as oil tar) and any recycled or blended
petroleum products or petroleum by-products used as a fuel whether in a
liquid, solid, or gaseous state.
[[Page 54]]
General account means a CAIR NOX Allowance Tracking
System account, established under subpart FF of this part, that is not a
compliance account.
Generator means a device that produces electricity.
Gross electrical output means, with regard to a cogeneration unit,
electricity made available for use, including any such electricity used
in the power production process (which process includes, but is not
limited to, any on-site processing or treatment of fuel combusted at the
unit and any on-site emission controls).
Heat input means, with regard to a specified period of time, the
product (in mmBtu/time) of the gross calorific value of the fuel (in
Btu/lb) divided by 1,000,000 Btu/mmBtu and multiplied by the fuel feed
rate into a combustion device (in lb of fuel/time), as measured,
recorded, and reported to the Administrator by the CAIR designated
representative and determined by the Administrator in accordance with
subpart HH of this part and excluding the heat derived from preheated
combustion air, recirculated flue gases, or exhaust from other sources.
Heat input rate means the amount of heat input (in mmBtu) divided by
unit operating time (in hr) or, with regard to a specific fuel, the
amount of heat input attributed to the fuel (in mmBtu) divided by the
unit operating time (in hr) during which the unit combusts the fuel.
Hg Budget Trading Program means a multi-state Hg air pollution
control and emission reduction program approved and administered by the
Administrator in accordance subpart HHHH of part 60 of this chapter and
Sec.60.24(h)(6), or established by the Administrator under section 111
of the Clean Air Act, as a means of reducing national Hg emissions.
Life-of-the-unit, firm power contractual arrangement means a unit
participation power sales agreement under which a utility or industrial
customer reserves, or is entitled to receive, a specified amount or
percentage of nameplate capacity and associated energy generated by any
specified unit and pays its proportional amount of such unit's total
costs, pursuant to a contract:
(1) For the life of the unit;
(2) For a cumulative term of no less than 30 years, including
contracts that permit an election for early termination; or
(3) For a period no less than 25 years or 70 percent of the economic
useful life of the unit determined as of the time the unit is built,
with option rights to purchase or release some portion of the nameplate
capacity and associated energy generated by the unit at the end of the
period.
Maximum design heat input means the maximum amount of fuel per hour
(in Btu/hr) that a unit is capable of combusting on a steady state basis
as of the initial installation of the unit as specified by the
manufacturer of the unit.
Monitoring system means any monitoring system that meets the
requirements of subpart HH of this part, including a continuous
emissions monitoring system, an alternative monitoring system, or an
excepted monitoring system under part 75 of this chapter.
Most stringent State or Federal NOX emissions limitation means, with
regard to a unit, the lowest NOX emissions limitation (in
terms of lb/mmBtu) that is applicable to the unit under State or Federal
law, regardless of the averaging period to which the emissions
limitation applies.
Nameplate capacity means, starting from the initial installation of
a generator, the maximum electrical generating output (in MWe) that the
generator is capable of producing on a steady state basis and during
continuous operation (when not restricted by seasonal or other
deratings) as of such installation as specified by the manufacturer of
the generator or, starting from the completion of any subsequent
physical change in the generator resulting in an increase in the maximum
electrical generating output (in MWe) that the generator is capable of
producing on a steady state basis and during continuous operation (when
not restricted by seasonal or other deratings), such increased maximum
amount as of such completion as specified by the person conducting the
physical change.
Oil-fired means, for purposes of subpart EE of this part, combusting
fuel
[[Page 55]]
oil for more than 15.0 percent of the annual heat input in a specified
year and not qualifying as coal-fired.
Operator means any person who operates, controls, or supervises a
CAIR NOX unit or a CAIR NOX source and shall
include, but not be limited to, any holding company, utility system, or
plant manager of such a unit or source.
Owner means any of the following persons:
(1) With regard to a CAIR NOX source or a CAIR
NOX unit at a source, respectively:
(i) Any holder of any portion of the legal or equitable title in a
CAIR NOX unit at the source or the CAIR NOX unit;
(ii) Any holder of a leasehold interest in a CAIR NOX
unit at the source or the CAIR NOX unit; or
(iii) Any purchaser of power from a CAIR NOX unit at the
source or the CAIR NOX unit under a life-of-the-unit, firm
power contractual arrangement; 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 CAIR NOX unit; or
(2) With regard to any general account, any person who has an
ownership interest with respect to the CAIR NOX allowances
held in the general account and who is subject to the binding agreement
for the CAIR authorized account representative to represent the person's
ownership interest with respect to CAIR NOX allowances.
Permitting authority means the State air pollution control agency,
local agency, other State agency, or other agency authorized by the
Administrator to issue or revise permits to meet the requirements of the
CAIR NOX Annual Trading Program or, if no such agency has
been so authorized, the Administrator.
Potential electrical output capacity means 33 percent of a unit's
maximum design heat input, divided by 3,413 Btu/kWh, divided by 1,000
kWh/MWh, and multiplied by 8,760 hr/yr.
Receive or receipt of means, when referring to the permitting
authority or the Administrator, to come into possession of a document,
information, or correspondence (whether sent in hard copy or by
authorized electronic transmission), as indicated in an official log, or
by a notation made on the document, information, or correspondence, by
the permitting authority or the Administrator in the regular course of
business.
Recordation, record, or recorded means, with regard to CAIR
NOX allowances, the movement of CAIR NOX
allowances by the Administrator into or between CAIR NOX
Allowance Tracking System accounts, for purposes of allocation,
transfer, or deduction.
Reference method means any direct test method of sampling and
analyzing for an air pollutant as specified in Sec.75.22 of this
chapter.
Replacement, replace, or replaced means, with regard to a unit, the
demolishing of a unit, or the permanent shutdown and permanent disabling
of a unit, and the construction of another unit (the replacement unit)
to be used instead of the demolished or shutdown unit (the replaced
unit).
Repowered means, with regard to a unit, replacement of a coal-fired
boiler with one of the following coal-fired technologies at the same
source as the coal-fired boiler:
(1) Atmospheric or pressurized fluidized bed combustion;
(2) Integrated gasification combined cycle;
(3) Magnetohydrodynamics;
(4) Direct and indirect coal-fired turbines;
(5) Integrated gasification fuel cells; or
(6) As determined by the Administrator in consultation with the
Secretary of Energy, a derivative of one or more of the technologies
under paragraphs (1) through (5) of this definition and any other coal-
fired technology capable of controlling multiple combustion emissions
simultaneously with improved boiler or generation efficiency and with
significantly greater waste reduction relative to the performance of
technology in widespread commercial use as of January 1, 2005.
Serial number means, for a CAIR NOX allowance, the unique
identification
[[Page 56]]
number assigned to each CAIR NOX allowance by the
Administrator.
Sequential use of energy means:
(1) For a topping-cycle cogeneration unit, the use of reject heat
from electricity production in a useful thermal energy application or
process; or
(2) For a bottoming-cycle cogeneration unit, the use of reject heat
from useful thermal energy application or process in electricity
production.
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. For purposes of section 502(c) of the Clean
Air Act, a ``source,'' including a ``source'' with multiple units, shall
be considered a single ``facility.''
State means one of the States or the District of Columbia that
adopts the CAIR NOX Annual Trading Program pursuant to Sec.
51.123(o)(1) or (2) 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.
Compliance with any ``submission'' or ``service'' deadline shall be
determined by the date of dispatch, transmission, or mailing and not the
date of receipt.
Title V operating permit means a permit issued under title V of the
Clean Air Act and part 70 or part 71 of this chapter.
Title V operating permit regulations means the regulations that the
Administrator has approved or issued as meeting the requirements of
title V of the Clean Air Act and part 70 or 71 of this chapter.
Ton means 2,000 pounds. For the purpose of determining compliance
with the CAIR NOX emissions limitation, total tons of
nitrogen oxides emissions for a control period shall be calculated as
the sum of all recorded hourly emissions (or the mass equivalent of the
recorded hourly emission rates) in accordance with subpart HH of this
part, but with any remaining fraction of a ton equal to or greater than
0.50 tons deemed to equal one ton and any remaining fraction of a ton
less than 0.50 tons deemed to equal zero tons.
Topping-cycle cogeneration unit means a cogeneration unit in which
the energy input to the unit is first used to produce useful power,
including electricity, and at least some of the reject heat from the
electricity production is then used to provide useful thermal energy.
Total energy input means, with regard to a cogeneration unit, total
energy of all forms supplied to the cogeneration unit, excluding energy
produced by the cogeneration unit itself. 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 fuel in Btu/lb,
HHV = higher heating value of fuel in Btu/lb,
W = Weight % of moisture in fuel, and
H = Weight % of hydrogen in fuel.
Total energy output means, with regard to a cogeneration unit, the
sum of useful power and useful thermal energy produced by the
cogeneration unit.
Unit means a stationary, fossil-fuel-fired boiler or combustion
turbine or other stationary, fossil-fuel-fired combustion device.
Unit operating day means a calendar day in which a unit combusts any
fuel.
Unit operating hour or hour of unit operation means an hour in which
a unit combusts any fuel.
Useful power means, with regard to a cogeneration unit, electricity
or mechanical energy made 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, with regard to a cogeneration unit,
thermal energy that is:
[[Page 57]]
(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., thermal energy used
by 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.
[70 FR 25339, May 12, 2005, as amended at 71 FR 25380, Apr. 28, 2006; 71
FR 74794, Dec. 13, 2006; 72 FR 59205, Oct. 19, 2007]
Sec.96.103 Measurements, abbreviations, and acronyms.
Measurements, abbreviations, and acronyms used in this subpart and
subparts BB through II are defined as follows:
Btu--British thermal unit.
CO2--carbon dioxide
H2O--water
Hg--mercury
hr--hour
kW--kilowatt electrical
kWh--kilowatt hour
lb--pound
mmBtu--million Btu
MWe--megawatt electrical
MWh--megawatt hour
NOX--nitrogen oxides
O2--oxygen
ppm--parts per million
scfh--standard cubic feet per hour
SO2--sulfur dioxide
yr--year
[71 FR 25381, Apr. 28, 2006]
Sec.96.104 Applicability.
(a) Except as provided in paragraph (b) of this section:
(1) The following units in a State shall be CAIR NOX
units, and any source that includes one or more such units shall be a
CAIR NOX source, subject to the requirements of this subpart
and subparts BB through HH of this part: any stationary, fossil-fuel-
fired boiler or stationary, fossil-fuel-fired combustion turbine serving
at any time, since the later of November 15, 1990 or the start-up of the
unit's combustion chamber, a generator with nameplate capacity of more
than 25 MWe producing electricity for sale.
(2) If a stationary boiler or stationary combustion turbine that,
under paragraph (a)(1) of this section, is not a CAIR NOX
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 CAIR NOX 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) The units in a State that meet the requirements set forth in
paragraph (b)(1)(i), (b)(2)(i), or (b)(2)(ii) of this section shall not
be CAIR NOX units:
(1)(i) Any unit that is a CAIR NOX unit under paragraph
(a)(1) or (2) of this section:
(A) Qualifying as a cogeneration unit during the 12-month period
starting on the date the unit first produces electricity and continuing
to qualify as a cogeneration unit; and
(B) Not serving at any time, since the later of November 15, 1990 or
the start-up of the unit's combustion chamber, a generator with
nameplate capacity of more than 25 MWe supplying in any calendar year
more than one-third of the unit's potential electric output capacity or
219,000 MWh, whichever is greater, to any utility power distribution
system for sale.
(ii) If a unit qualifies as a cogeneration unit during the 12-month
period starting on the date the unit first produces electricity and
meets the requirements of paragraphs (b)(1)(i) of this section for at
least one calendar year, but subsequently no longer meets all such
requirements, the unit shall become a CAIR NOX unit starting
on the earlier of January 1 after the first calendar year during which
the unit first no longer qualifies as a cogeneration unit or January 1
after the first calendar year during which the unit no longer meets the
requirements of paragraph (b)(1)(i)(B) of this section.
(2)(i) Any unit that is a CAIR NOX unit under paragraph
(a)(1) or (2) of this section commencing operation before January 1,
1985:
(A) Qualifying as a solid waste incineration unit; and
[[Page 58]]
(B) With an average annual fuel consumption of non-fossil fuel for
1985-1987 exceeding 80 percent (on a Btu basis) and an average annual
fuel consumption of non-fossil fuel for any 3 consecutive calendar years
after 1990 exceeding 80 percent (on a Btu basis).
(ii) Any unit that is a CAIR NOX unit under paragraph
(a)(1) or (2) of this section commencing operation on or after January
1, 1985:
(A) Qualifying as a solid waste incineration unit; and
(B) With an average annual fuel consumption of non-fossil fuel for
the first 3 calendar years of operation exceeding 80 percent (on a Btu
basis) and an average annual fuel consumption of non-fossil fuel for any
3 consecutive calendar years after 1990 exceeding 80 percent (on a Btu
basis).
(iii) If a unit qualifies as a solid waste incineration unit and
meets the requirements of paragraph (b)(2)(i) or (ii) of this section
for at least 3 consecutive calendar years, but subsequently no longer
meets all such requirements, the unit shall become a CAIR NOX
unit starting on the earlier of January 1 after the first calendar year
during which the unit first no longer qualifies as a solid waste
incineration unit or January 1 after the first 3 consecutive calendar
years after 1990 for which the unit has an average annual fuel
consumption of fossil fuel of 20 percent or more.
[71 FR 25382, Apr. 28, 2006]
Sec.96.105 Retired unit exemption.
(a)(1) Any CAIR NOX unit that is permanently retired and
is not a CAIR NOX opt-in unit under subpart II of this part
shall be exempt from the CAIR NOX Annual Trading Program,
except for the provisions of this section, Sec.96.102, Sec.96.103,
Sec.96.104, Sec.96.106(c)(4) through (7), Sec.96.107, Sec.
96.108, and subparts BB and EE through GG.
(2) The exemption under paragraph (a)(1) of this section shall
become effective the day on which the CAIR NOX unit is
permanently retired. Within 30 days of the unit's permanent retirement,
the CAIR designated representative shall submit a statement to the
permitting authority otherwise responsible for administering any CAIR
permit for the unit and shall submit a copy of the statement to the
Administrator. The statement shall state, in a format prescribed by the
permitting authority, that the unit was permanently retired on a
specific date and will comply with the requirements of paragraph (b) of
this section.
(3) After receipt of the statement under paragraph (a)(2) of this
section, the permitting authority will amend any permit under subpart CC
of this part covering the source at which the unit is located to add the
provisions and requirements of the exemption under paragraphs (a)(1) and
(b) of this section.
(b) Special provisions. (1) A unit exempt under paragraph (a) of
this section shall not emit any nitrogen oxides, starting on the date
that the exemption takes effect.
(2) The permitting authority will allocate CAIR NOX
allowances under subpart EE of this part to a unit exempt under
paragraph (a) of this section.
(3) 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 permitting authority or the
Administrator. The owners and operators bear the burden of proof that
the unit is permanently retired.
(4) The owners and operators and, to the extent applicable, the CAIR
designated representative of a unit exempt under paragraph (a) of this
section shall comply with the requirements of the CAIR NOX
Annual 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.
(5) A unit exempt under paragraph (a) of this section and located at
a source that is required, or but for this exemption would be required,
to have a title V operating permit shall not resume operation unless the
CAIR designated representative of the source submits a complete CAIR
permit application under Sec.96.122 for the unit not less than
[[Page 59]]
18 months (or such lesser time provided by the permitting authority)
before the later of January 1, 2009 or the date on which the unit
resumes operation.
(6) On the earlier of the following dates, a unit exempt under
paragraph (a) of this section shall lose its exemption:
(i) The date on which the CAIR designated representative submits a
CAIR permit application for the unit under paragraph (b)(5) of this
section;
(ii) The date on which the CAIR designated representative is
required under paragraph (b)(5) of this section to submit a CAIR permit
application for the unit; or
(iii) The date on which the unit resumes operation, if the CAIR
designated representative is not required to submit a CAIR permit
application for the unit.
(7) For the purpose of applying monitoring, reporting, and
recordkeeping requirements under subpart HH of this part, a unit that
loses its exemption under paragraph (a) of this section shall be treated
as a unit that commences commercial operation on the first date on which
the unit resumes operation.
[70 FR 25339, May 12, 2005, as amended at 71 FR 25382, Apr. 28, 2006; 71
FR 74794, Dec. 13, 2006]
Sec.96.106 Standard requirements.
(a) Permit requirements. (1) The CAIR designated representative of
each CAIR NOX source required to have a title V operating
permit and each CAIR NOX unit required to have a title V
operating permit at the source shall:
(i) Submit to the permitting authority a complete CAIR permit
application under Sec.96.122 in accordance with the deadlines
specified in Sec.96.121; and
(ii) Submit in a timely manner any supplemental information that the
permitting authority determines is necessary in order to review a CAIR
permit application and issue or deny a CAIR permit.
(2) The owners and operators of each CAIR NOX source
required to have a title V operating permit and each CAIR NOX
unit required to have a title V operating permit at the source shall
have a CAIR permit issued by the permitting authority under subpart CC
of this part for the source and operate the source and the unit in
compliance with such CAIR permit.
(3) Except as provided in subpart II of this part, the owners and
operators of a CAIR NOX source that is not otherwise required
to have a title V operating permit and each CAIR NOX unit
that is not otherwise required to have a title V operating permit are
not required to submit a CAIR permit application, and to have a CAIR
permit, under subpart CC of this part for such CAIR NOX
source and such CAIR NOX unit.
(b) Monitoring, reporting, and recordkeeping requirements. (1) The
owners and operators, and the CAIR designated representative, of each
CAIR NOX source and each CAIR NOX unit at the
source shall comply with the monitoring, reporting, and recordkeeping
requirements of subpart HH of this part.
(2) The emissions measurements recorded and reported in accordance
with subpart HH of this part shall be used to determine compliance by
each CAIR NOX source with the CAIR NOX emissions
limitation under paragraph (c) of this section.
(c) Nitrogen oxides emission requirements. (1) As of the allowance
transfer deadline for a control period, the owners and operators of each
CAIR NOX source and each CAIR NOX unit at the
source shall hold, in the source's compliance account, CAIR
NOX allowances available for compliance deductions for the
control period under Sec.96.154(a) in an amount not less than the tons
of total nitrogen oxides emissions for the control period from all CAIR
NOX units at the source, as determined in accordance with
subpart HH of this part.
(2) A CAIR NOX unit shall be subject to the requirements
under paragraph (c)(1) of this section for the control period starting
on the later of January 1, 2009 or the deadline for meeting the unit's
monitor certification requirements under Sec.96.170(b)(1), (2), or (5)
and for each control period thereafter.
(3) A CAIR NOX allowance shall not be deducted, for
compliance with the requirements under paragraph (c)(1) of this section,
for a control period in a calendar year before the year for which the
CAIR NOX allowance was allocated.
[[Page 60]]
(4) CAIR NOX allowances shall be held in, deducted from,
or transferred into or among CAIR NOX Allowance Tracking
System accounts in accordance with subparts FF, GG, and II of this part.
(5) A CAIR NOX allowance is a limited authorization to
emit one ton of nitrogen oxides in accordance with the CAIR
NOX Annual Trading Program. No provision of the CAIR
NOX Annual Trading Program, the CAIR permit application, the
CAIR permit, or an exemption under Sec.96.105 and no provision of law
shall be construed to limit the authority of the State or the United
States to terminate or limit such authorization.
(6) A CAIR NOX allowance does not constitute a property
right.
(7) Upon recordation by the Administrator under subpart EE, FF, GG,
or II of this part, every allocation, transfer, or deduction of a CAIR
NOX allowance to or from a CAIR NOX source's
compliance account is incorporated automatically in any CAIR permit of
the source.
(d) Excess emissions requirements. If a CAIR NOX source
emits nitrogen oxides during any control period in excess of the CAIR
NOX emissions limitation, then:
(1) The owners and operators of the source and each CAIR
NOX unit at the source shall surrender the CAIR
NOX allowances required for deduction under Sec.
96.154(d)(1) and pay any fine, penalty, or assessment or comply with any
other remedy imposed, for the same violations, under the Clean Air Act
or applicable State law; and
(2) Each ton of such excess emissions and each day of such control
period shall constitute a separate violation of this subpart, the Clean
Air Act, and applicable State law.
(e) Recordkeeping and reporting requirements. (1) Unless otherwise
provided, the owners and operators of the CAIR NOX source and
each CAIR NOX unit at the source shall keep on site at the
source each of the following documents 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 permitting
authority or the Administrator.
(i) The certificate of representation under Sec.96.113 for the
CAIR designated representative for the source and each CAIR
NOX unit at the source and all documents that demonstrate the
truth of the statements in the certificate of representation; provided
that the certificate and documents shall be retained on site at the
source beyond such 5-year period until such documents are superseded
because of the submission of a new certificate of representation under
Sec.96.113 changing the CAIR designated representative.
(ii) All emissions monitoring information, in accordance with
subpart HH of this part, provided that to the extent that subpart HH of
this part provides for a 3-year period for recordkeeping, the 3-year
period shall apply.
(iii) Copies of all reports, compliance certifications, and other
submissions and all records made or required under the CAIR
NOX Annual Trading Program.
(iv) Copies of all documents used to complete a CAIR permit
application and any other submission under the CAIR NOX
Annual Trading Program or to demonstrate compliance with the
requirements of the CAIR NOX Annual Trading Program.
(2) The CAIR designated representative of a CAIR NOX
source and each CAIR NOX unit at the source shall submit the
reports required under the CAIR NOX Annual Trading Program,
including those under subpart HH of this part.
(f) Liability. (1) Each CAIR NOX source and each CAIR
NOX unit shall meet the requirements of the CAIR
NOX Annual Trading Program.
(2) Any provision of the CAIR NOX Annual Trading Program
that applies to a CAIR NOX source or the CAIR designated
representative of a CAIR NOX source shall also apply to the
owners and operators of such source and of the CAIR NOX units
at the source.
(3) Any provision of the CAIR NOX Annual Trading Program
that applies to a CAIR NOX unit or the CAIR designated
representative of a CAIR NOX unit shall also apply to the
owners and operators of such unit.
(g) Effect on other authorities. No provision of the CAIR
NOX Annual Trading Program, a CAIR permit application, a
[[Page 61]]
CAIR permit, or an exemption under Sec.96.105 shall be construed as
exempting or excluding the owners and operators, and the CAIR designated
representative, of a CAIR NOX source or CAIR NOX
unit from compliance with any other provision of the applicable,
approved State implementation plan, a federally enforceable permit, or
the Clean Air Act.
[70 FR 25339, May 12, 2005, as amended at 71 FR 25382, Apr. 28, 2006]
Sec.96.107 Computation of time.
(a) Unless otherwise stated, any time period scheduled, under the
CAIR NOX Annual 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
CAIR NOX Annual 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 CAIR NOX Annual Trading Program, falls on a weekend
or a State or Federal holiday, the time period shall be extended to the
next business day.
Sec.96.108 Appeal procedures.
The appeal procedures for decisions of the Administrator under the
CAIR NOX Annual Trading Program are set forth in part 78 of
this chapter.
Subpart BB_CAIR Designated Representative for CAIR NOX Sources
Source: 70 FR 25339, May 12, 2005, unless otherwise noted.
Sec.96.110 Authorization and responsibilities of CAIR designated
representative.
(a) Except as provided under Sec.96.111, each CAIR NOX
source, including all CAIR NOX units at the source, shall
have one and only one CAIR designated representative, with regard to all
matters under the CAIR NOX Annual Trading Program concerning
the source or any CAIR NOX unit at the source.
(b) The CAIR designated representative of the CAIR NOX
source shall be selected by an agreement binding on the owners and
operators of the source and all CAIR NOX units at the source
and shall act in accordance with the certification statement in Sec.
96.113(a)(4)(iv).
(c) Upon receipt by the Administrator of a complete certificate of
representation under Sec.96.113, the CAIR designated representative of
the source shall represent and, by his or her representations, actions,
inactions, or submissions, legally bind each owner and operator of the
CAIR NOX source represented and each CAIR NOX unit
at the source in all matters pertaining to the CAIR NOX
Annual Trading Program, notwithstanding any agreement between the CAIR
designated representative and such owners and operators. The owners and
operators shall be bound by any decision or order issued to the CAIR
designated representative by the permitting authority, the
Administrator, or a court regarding the source or unit.
(d) No CAIR permit will be issued, no emissions data reports will be
accepted, and no CAIR NOX Allowance Tracking System account
will be established for a CAIR NOX unit at a source, until
the Administrator has received a complete certificate of representation
under Sec.96.113 for a CAIR designated representative of the source
and the CAIR NOX units at the source.
(e)(1) Each submission under the CAIR NOX Annual Trading
Program shall be submitted, signed, and certified by the CAIR designated
representative for each CAIR NOX source on behalf of which
the submission is made. Each such submission shall include the following
certification statement by the CAIR 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
[[Page 62]]
certify that the statements and information are to the best of my
knowledge and belief true, accurate, and complete. I am aware that there
are significant penalties for submitting false statements and
information or omitting required statements and information, including
the possibility of fine or imprisonment.''
(2) The permitting authority and the Administrator will accept or
act on a submission made on behalf of owner or operators of a CAIR
NOX source or a CAIR NOX unit only if the
submission has been made, signed, and certified in accordance with
paragraph (e)(1) of this section.
Sec.96.111 Alternate CAIR designated representative.
(a) A certificate of representation under Sec.96.113 may designate
one and only one alternate CAIR designated representative, who may act
on behalf of the CAIR designated representative. The agreement by which
the alternate CAIR designated representative is selected shall include a
procedure for authorizing the alternate CAIR designated representative
to act in lieu of the CAIR designated representative.
(b) Upon receipt by the Administrator of a complete certificate of
representation under Sec.96.113, any representation, action, inaction,
or submission by the alternate CAIR designated representative shall be
deemed to be a representation, action, inaction, or submission by the
CAIR designated representative.
(c) Except in this section and Sec. Sec.96.102, 96.110(a) and (d),
96.112, 96.113, 96.115, 96.151, and 96.182, whenever the term ``CAIR
designated representative'' is used in subparts AA through II of this
part, the term shall be construed to include the CAIR designated
representative or any alternate CAIR designated representative.
[70 FR 25339, May 12, 2005, as amended at 71 FR 25382, Apr. 28, 2006]
Sec.96.112 Changing CAIR designated representative and alternate
CAIR designated representative; changes in owners and operators.
(a) Changing CAIR designated representative. The CAIR designated
representative may be changed at any time upon receipt by the
Administrator of a superseding complete certificate of representation
under Sec.96.113. Notwithstanding any such change, all
representations, actions, inactions, and submissions by the previous
CAIR designated representative before the time and date when the
Administrator receives the superseding certificate of representation
shall be binding on the new CAIR designated representative and the
owners and operators of the CAIR NOX source and the CAIR
NOX units at the source.
(b) Changing alternate CAIR designated representative. The alternate
CAIR designated representative may be changed at any time upon receipt
by the Administrator of a superseding complete certificate of
representation under Sec.96.113. Notwithstanding any such change, all
representations, actions, inactions, and submissions by the previous
alternate CAIR designated representative before the time and date when
the Administrator receives the superseding certificate of representation
shall be binding on the new alternate CAIR designated representative and
the owners and operators of the CAIR NOX source and the CAIR
NOX units at the source.
(c) Changes in owners and operators. (1) In the event an owner or
operator of a CAIR NOX source or a CAIR NOX unit
is not included in the list of owners and operators in the certificate
of representation under Sec.96.113, 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 CAIR
designated representative and any alternate CAIR designated
representative of the source or unit, and the decisions and orders of
the permitting authority, the Administrator, or a court, as if the owner
or operator were included in such list.
(2) Within 30 days following any change in the owners and operators
of a CAIR NOX source or a CAIR NOX unit, including
the addition of a new owner or operator, the CAIR designated
representative or any alternate CAIR designated representative shall
submit a revision to the certificate of representation under Sec.
96.113 amending the list
[[Page 63]]
of owners and operators to include the change.
[70 FR 25339, May 12, 2005, as amended at 71 FR 25382, Apr. 28, 2006]
Sec.96.113 Certificate of representation.
(a) A complete certificate of representation for a CAIR designated
representative or an alternate CAIR designated representative shall
include the following elements in a format prescribed by the
Administrator:
(1) Identification of the CAIR NOX source, and each CAIR
NOX unit at the source, for which the certificate of
representation is submitted, including identification and nameplate
capacity of each generator served by each such unit.
(2) The name, address, e-mail address (if any), telephone number,
and facsimile transmission number (if any) of the CAIR designated
representative and any alternate CAIR designated representative.
(3) A list of the owners and operators of the CAIR NOX
source and of each CAIR NOX unit at the source.
(4) The following certification statements by the CAIR designated
representative and any alternate CAIR designated representative--
(i) ``I certify that I was selected as the CAIR designated
representative or alternate CAIR designated representative, as
applicable, by an agreement binding on the owners and operators of the
source and each CAIR NOX unit at the source.''
(ii) ``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 the owners and operators of the source and
of each CAIR NOX unit at the source and that each such owner
and operator shall be fully bound by my representations, actions,
inactions, or submissions.''
(iii) ``I certify that the owners and operators of the source and of
each CAIR NOX unit at the source shall be bound by any order
issued to me by the Administrator, the permitting authority, or a court
regarding the source or unit.''
(iv) ``Where there are multiple holders of a legal or equitable
title to, or a leasehold interest in, a CAIR NOX unit, or
where a utility or industrial customer purchases power from a CAIR
NOX 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 `CAIR designated representative' or `alternate CAIR
designated representative', as applicable, and of the agreement by which
I was selected to each owner and operator of the source and of each CAIR
NOX unit at the source; and CAIR NOX allowances
and proceeds of transactions involving CAIR NOX 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 CAIR NOX allowances by contract,
CAIR NOX allowances and proceeds of transactions involving
CAIR NOX allowances will be deemed to be held or distributed
in accordance with the contract.''
(5) The signature of the CAIR designated representative and any
alternate CAIR designated representative and the dates signed.
(b) Unless otherwise required by the permitting authority or the
Administrator, documents of agreement referred to in the certificate of
representation shall not be submitted to the permitting authority or the
Administrator. Neither the permitting authority nor the Administrator
shall be under any obligation to review or evaluate the sufficiency of
such documents, if submitted.
[70 FR 25339, May 12, 2005, as amended at 71 FR 25382, Apr. 28, 2006]
Sec.96.114 Objections concerning CAIR designated representative.
(a) Once a complete certificate of representation under Sec.96.113
has been submitted and received, the permitting authority and the
Administrator will rely on the certificate of representation unless and
until a superseding complete certificate of representation under Sec.
96.113 is received by the Administrator.
[[Page 64]]
(b) Except as provided in Sec.96.112(a) or (b), no objection or
other communication submitted to the permitting authority or the
Administrator concerning the authorization, or any representation,
action, inaction, or submission, of the CAIR designated representative
shall affect any representation, action, inaction, or submission of the
CAIR designated representative or the finality of any decision or order
by the permitting authority or the Administrator under the CAIR
NOX Annual Trading Program.
(c) Neither the permitting authority nor the Administrator will
adjudicate any private legal dispute concerning the authorization or any
representation, action, inaction, or submission of any CAIR designated
representative, including private legal disputes concerning the proceeds
of CAIR NOX allowance transfers.
Sec.96.115 Delegation by CAIR designated representative and alternate
CAIR designated representative.
(a) A CAIR 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 part.
(b) An alternate CAIR 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
part.
(c) In order to delegate authority to make an electronic submission
to the Administrator in accordance with paragraph (a) or (b) of this
section, the CAIR designated representative or alternate CAIR 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 CAIR designated
representative or alternate CAIR designated representative;
(2) The name, address, e-mail address, telephone number, and
facsimile transmission number (if any) of each such natural person
(referred to as an ``agent'');
(3) For each such natural person, a list of the type or types of
electronic submissions under paragraph (a) or (b) of this section for
which authority is delegated to him or her; and
(4) The following certification statements by such CAIR designated
representative or alternate CAIR designated representative:
(i) ``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 designated representative or alternate CAIR designated
representative, as appropriate, and before this notice of delegation is
superseded by another notice of delegation under 40 CFR 96.115(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 96.115(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 96.115 is terminated.''
(d) A notice of delegation submitted under paragraph (c) of this
section shall be effective, with regard to the CAIR designated
representative or alternate CAIR 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 CAIR designated representative or alternate CAIR
designated representative, as appropriate. The superseding notice of
delegation may replace any previously identified agent, add a new agent,
or eliminate entirely any delegation of authority.
(e) Any electronic submission covered by the certification in
paragraph (c)(4)(i) of this section and made in accordance with a notice
of delegation effective under paragraph (d) of this section shall be
deemed to be an electronic submission by the CAIR designated
representative or alternate
[[Page 65]]
CAIR designated representative submitting such notice of delegation.
[71 FR 25382, Apr. 28, 2006, as amended at 71 FR 74794, Dec. 13, 2006]
Subpart CC_Permits
Source: 70 FR 25339, May 12, 2005, unless otherwise noted.
Sec.96.120 General CAIR NOX Annual Trading Program permit
requirements.
(a) For each CAIR NOX source required to have a title V
operating permit or required, under subpart II of this part, to have a
title V operating permit or other federally enforceable permit, such
permit shall include a CAIR permit administered by the permitting
authority for the title V operating permit or the federally enforceable
permit as applicable. The CAIR portion of the title V permit or other
federally enforceable permit as applicable shall be administered in
accordance with the permitting authority's title V operating permits
regulations promulgated under part 70 or 71 of this chapter or the
permitting authority's regulations for other federally enforceable
permits as applicable, except as provided otherwise by Sec.96.105,
this subpart, and subpart II of this part.
(b) Each CAIR permit shall contain, with regard to the CAIR
NOX source and the CAIR NOX units at the source
covered by the CAIR permit, all applicable CAIR NOX Annual
Trading Program, CAIR NOX Ozone Season Trading Program, and
CAIR SO2 Trading Program requirements and shall be a complete
and separable portion of the title V operating permit or other federally
enforceable permit under paragraph (a) of this section.
[70 FR 25339, May 12, 2005, as amended at 71 FR 25383, Apr. 28, 2006]
Sec.96.121 Submission of CAIR permit applications.
(a) Duty to apply. The CAIR designated representative of any CAIR
NOX source required to have a title V operating permit shall
submit to the permitting authority a complete CAIR permit application
under Sec.96.122 for the source covering each CAIR NOX unit
at the source at least 18 months (or such lesser time provided by the
permitting authority) before the later of January 1, 2009 or the date on
which the CAIR NOX unit commences commercial operation,
except as provided in Sec.96.183(a).
(b) Duty to Reapply. For a CAIR NOX source required to
have a title V operating permit, the CAIR designated representative
shall submit a complete CAIR permit application under Sec.96.122 for
the source covering each CAIR NOX unit at the source to renew
the CAIR permit in accordance with the permitting authority's title V
operating permits regulations addressing permit renewal, except as
provided in Sec.96.183(b).
[70 FR 25339, May 12, 2005, as amended at 71 FR 25383, Apr. 28, 2006]
Sec.96.122 Information requirements for CAIR permit applications.
A complete CAIR permit application shall include the following
elements concerning the CAIR NOX source for which the
application is submitted, in a format prescribed by the permitting
authority:
(a) Identification of the CAIR NOX source;
(b) Identification of each CAIR NOX unit at the CAIR
NOX source; and
(c) The standard requirements under Sec.96.106.
Sec.96.123 CAIR permit contents and term.
(a) Each CAIR permit will contain, in a format prescribed by the
permitting authority, all elements required for a complete CAIR permit
application under Sec.96.122.
(b) Each CAIR permit is deemed to incorporate automatically the
definitions of terms under Sec.96.102 and, upon recordation by the
Administrator under subpart EE, FF, GG, or II of this part, every
allocation, transfer, or deduction of a CAIR NOX allowance to
or from the compliance account of the CAIR NOX source covered
by the permit.
(c) The term of the CAIR permit will be set by the permitting
authority, as necessary to facilitate coordination of the renewal of the
CAIR permit with issuance, revision, or renewal of the CAIR
NOX source's title V operating
[[Page 66]]
permit or other federally enforceable permit as applicable.
[70 FR 25339, May 12, 2005, as amended at 71 FR 25383, Apr. 28, 2006]
Sec.96.124 CAIR permit revisions.
Except as provided in Sec.96.123(b), the permitting authority will
revise the CAIR permit, as necessary, in accordance with the permitting
authority's title V operating permits regulations or the permitting
authority's regulations for other federally enforceable permits as
applicable addressing permit revisions.
Subpart DD [Reserved]
Subpart EE_CAIR NOX Allowance Allocations
Source: 70 FR 25339, May 12, 2005, unless otherwise noted.
Sec.96.140 State trading budgets.
The State trading budgets for annual allocations of CAIR
NOX allowances for the control periods in 2009 through 2014
and in 2015 and thereafter are respectively as follows:
------------------------------------------------------------------------
State trading
State trading budget for 2015
State budget for 2009- and thereafter
2014 (tons) (tons)
------------------------------------------------------------------------
Alabama............................. 69,020 57,517
Delaware............................ 4,166 3,472
District of Columbia................ 144 120
Florida............................. 99,445 82,871
Georgia............................. 66,321 55,268
Illinois............................ 76,230 63,525
Indiana............................. 108,935 90,779
Iowa................................ 32,692 27,243
Kentucky............................ 83,205 69,337
Louisiana........................... 35,512 29,593
Maryland............................ 27,724 23,104
Michigan............................ 65,304 54,420
Minnesota........................... 31,443 26,203
Mississippi......................... 17,807 14,839
Missouri............................ 59,871 49,892
New Jersey.......................... 12,670 10,558
New York............................ 45,617 38,014
North Carolina...................... 62,183 51,819
Ohio................................ 108,667 90,556
Pennsylvania........................ 99,049 82,541
South Carolina...................... 32,662 27,219
Tennessee........................... 50,973 42,478
Texas............................... 181,014 150,845
Virginia............................ 36,074 30,062
West Virginia....................... 74,220 61,850
Wisconsin........................... 40,759 33,966
------------------------------------------------------------------------
[70 FR 25339, May 12, 2005, as amended at 71 FR 25302, Apr. 28, 2006]
Sec.96.141 Timing requirements for CAIR NOX allowance allocations.
(a) By October 31, 2006, the permitting authority will submit to the
Administrator the CAIR NOX allowance allocations, in a format
prescribed by the Administrator and in accordance with Sec.96.142(a)
and (b), for the control periods in 2009, 2010, 2011, 2012, 2013, and
2014.
(b) By October 31, 2009 and October 31 of each year thereafter, the
permitting authority will submit to the Administrator the CAIR
NOX allowance allocations, in a format prescribed by the
Administrator and in accordance with Sec.96.142(a) and (b), for the
control period in the sixth year after the year of the applicable
deadline for submission under this paragraph.
(c) By October 31, 2009 and October 31 of each year thereafter, the
permitting authority will submit to the Administrator the CAIR
NOX allowance allocations, in a format prescribed by the
Administrator and in accordance with Sec.96.142(a), (c), and (d), for
the control period in the year of the applicable deadline for submission
under this paragraph.
[70 FR 25339, May 12, 2005, as amended at 71 FR 25383, Apr. 28, 2006]
Sec.96.142 CAIR NOX allowance allocations.
(a)(1) The baseline heat input (in mmBtu) used with respect to CAIR
NOX allowance allocations under paragraph (b) of this section
for each CAIR NOX unit will be:
(i) For units commencing operation before January 1, 2001 the
average of the 3 highest amounts of the unit's adjusted control period
heat input for 2000 through 2004, with the adjusted control period heat
input for each year calculated as follows:
(A) If the unit is coal-fired during the year, the unit's control
period heat input for such year is multiplied by 100 percent;
(B) If the unit is oil-fired during the year, the unit's control
period heat input for such year is multiplied by 60 percent; and
(C) If the unit is not subject to paragraph (a)(1)(i)(A) or (B) of
this section, the unit's control period heat input for such year is
multiplied by 40 percent.
[[Page 67]]
(ii) For units commencing operation on or after January 1, 2001 and
operating each calendar year during a period of 5 or more consecutive
calendar years, the average of the 3 highest amounts of the unit's total
converted control period heat input over the first such 5 years.
(2)(i) A unit's control period heat input, and a unit's status as
coal-fired or oil-fired, for a calendar year under paragraph (a)(1)(i)
of this section, and a unit's total tons of NOX emissions
during a calendar year under paragraph (c)(3) of this section, will be
determined in accordance with part 75 of this chapter, to the extent the
unit was otherwise subject to the requirements of part 75 of this
chapter for the year, or will be based on the best available data
reported to the permitting authority for the unit, to the extent the
unit was not otherwise subject to the requirements of part 75 of this
chapter for the year.
(ii) A unit's converted control period heat input for a calendar
year specified under paragraph (a)(1)(ii) of this section equals:
(A) Except as provided in paragraph (a)(2)(ii)(B) or (C) of this
section, the control period gross electrical output of the generator or
generators served by the unit multiplied by 7,900 Btu/kWh, if the unit
is coal-fired for the year, or 6,675 Btu/kWh, if the unit is not coal-
fired for the year, and divided by 1,000,000 Btu/mmBtu, provided that if
a generator is served by 2 or more units, then the gross electrical
output of the generator will be attributed to each unit in proportion to
the unit's share of the total control period heat input of such units
for the year;
(B) For a unit that is a boiler and has equipment used to produce
electricity and useful thermal energy for industrial, commercial,
heating, or cooling purposes through the sequential use of energy, the
total heat energy (in Btu) of the steam produced by the boiler during
the control period, divided by 0.8 and by 1,000,000 Btu/mmBtu; or
(C) For a unit that is a combustion turbine and has equipment used
to produce electricity and useful thermal energy for industrial,
commercial, heating, or cooling purposes through the sequential use of
energy, the control period gross electrical output of the enclosed
device comprising the compressor, combustor, and turbine multiplied by
3,413 Btu/kWh, plus the total heat energy (in Btu) of the steam produced
by any associated heat recovery steam generator during the control
period divided by 0.8, and with the sum divided by 1,000,000 Btu/mmBtu.
(b)(1) For each control period in 2009 and thereafter, the
permitting authority will allocate to all CAIR NOX units in
the State that have a baseline heat input (as determined under paragraph
(a) of this section) a total amount of CAIR NOX allowances
equal to 95 percent for a control period during 2009 through 2014, and
97 percent for a control period during 2015 and thereafter, of the tons
of NOX emissions in the State trading budget under Sec.
96.140 (except as provided in paragraph (d) of this section).
(2) The permitting authority will allocate CAIR NOX
allowances to each CAIR NOX unit under paragraph (b)(1) of
this section in an amount determined by multiplying the total amount of
CAIR NOX allowances allocated under paragraph (b)(1) of this
section by the ratio of the baseline heat input of such CAIR
NOX unit to the total amount of baseline heat input of all
such CAIR NOX units in the State and rounding to the nearest
whole allowance as appropriate.
(c) For each control period in 2009 and thereafter, the permitting
authority will allocate CAIR NOX allowances to CAIR
NOX units in a State that are not allocated CAIR
NOX allowances under paragraph (b) of this section because
the units do not yet have a baseline heat input under paragraph (a) of
this section or because the units have a baseline heat input but all
CAIR NOX allowances available under paragraph (b) of this
section for the control period are already allocated, in accordance with
the following procedures:
(1) The permitting authority will establish a separate new unit set-
aside for each control period. Each new unit set-aside will be allocated
CAIR NOX allowances equal to 5 percent for a control period
in 2009 through 2014, and 3 percent for a control period in 2015and
thereafter, of the amount of tons of
[[Page 68]]
NOX emissions in the State trading budget under Sec.96.140.
(2) The CAIR designated representative of such a CAIR NOX
unit may submit to the permitting authority a request, in a format
specified by the permitting authority, to be allocated CAIR
NOX allowances, starting with the later of the control period
in 2009 or the first control period after the control period in which
the CAIR NOX unit commences commercial operation and until
the first control period for which the unit is allocated CAIR
NOX allowances under paragraph (b) of this section. A
separate CAIR NOX allowance allocation request for each
control period for which CAIR NOX allowances are sought must
be submitted on or before May 1 of such control period and after the
date on which the CAIR NOX unit commences commercial
operation.
(3) In a CAIR NOX allowance allocation request under
paragraph (c)(2) of this section, the CAIR designated representative may
request for a control period CAIR NOX allowances in an amount
not exceeding the CAIR NOX unit's total tons of
NOX emissions during the calendar year immediately before
such control period.
(4) The permitting authority will review each CAIR NOX
allowance allocation request under paragraph (c)(2) of this section and
will allocate CAIR NOX allowances for each control period
pursuant to such request as follows:
(i) The permitting authority will accept an allowance allocation
request only if the request meets, or is adjusted by the permitting
authority as necessary to meet, the requirements of paragraphs (c)(2)
and (3) of this section.
(ii) On or after May 1 of the control period, the permitting
authority will determine the sum of the CAIR NOX allowances
requested (as adjusted under paragraph (c)(4)(i) of this section) in all
allowance allocation requests accepted under paragraph (c)(4)(i) of this
section for the control period.
(iii) If the amount of CAIR NOX allowances in the new
unit set-aside for the control period is greater than or equal to the
sum under paragraph (c)(4)(ii) of this section, then the permitting
authority will allocate the amount of CAIR NOX allowances
requested (as adjusted under paragraph (c)(4)(i) of this section) to
each CAIR NOX unit covered by an allowance allocation request
accepted under paragraph (c)(4)(i) of this section.
(iv) If the amount of CAIR NOX allowances in the new unit
set-aside for the control period is less than the sum under paragraph
(c)(4)(ii) of this section, then the permitting authority will allocate
to each CAIR NOX unit covered by an allowance allocation
request accepted under paragraph (c)(4)(i) of this section the amount of
the CAIR NOX allowances requested (as adjusted under
paragraph (c)(4)(i) of this section), multiplied by the amount of CAIR
NOX allowances in the new unit set-aside for the control
period, divided by the sum determined under paragraph (c)(4)(ii) of this
section, and rounded to the nearest whole allowance as appropriate.
(v) The permitting authority will notify each CAIR designated
representative that submitted an allowance allocation request of the
amount of CAIR NOX allowances (if any) allocated for the
control period to the CAIR NOX unit covered by the request.
(d) If, after completion of the procedures under paragraph (c)(4) of
this section for a control period, any unallocated CAIR NOX
allowances remain in the new unit set-aside for the control period, the
permitting authority will allocate to each CAIR NOX unit that
was allocated CAIR NOX allowances under paragraph (b) of this
section an amount of CAIR NOX allowances equal to the total
amount of such remaining unallocated CAIR NOX allowances,
multiplied by the unit's allocation under paragraph (b) of this section,
divided by 95 percent for a control period during 2009 through 2014, and
97 percent for a control period during 2015 and thereafter, of the
amount of tons of NOX emissions in the State trading budget
under Sec.96.140, and rounded to the nearest whole allowance as
appropriate.
[70 FR 25339, May 12, 2005, as amended at 71 FR 25383, Apr. 28, 2006]
Sec.96.143 Compliance supplement pool.
(a) In addition to the CAIR NOX allowances allocated
under Sec.96.142, the permitting authority may allocate for
[[Page 69]]
the control period in 2009 up to the following amount of CAIR
NOX allowances to CAIR NOX units in the respective
State:
------------------------------------------------------------------------
Compliance
State supplement
pool
------------------------------------------------------------------------
Alabama.................................................... 10,166
Delaware................................................... 843
District Of Columbia....................................... 0
Florida.................................................... 8,335
Georgia.................................................... 12,397
Illinois................................................... 11,299
Indiana.................................................... 20,155
Iowa....................................................... 6,978
Kentucky................................................... 14,935
Louisiana.................................................. 2,251
Maryland................................................... 4,670
Michigan................................................... 8,347
Minnesota.................................................. 6,528
Mississippi................................................ 3,066
Missouri................................................... 9,044
New Jersey................................................. 660
New York................................................... 0
North Carolina............................................. 0
Ohio....................................................... 25,037
Pennsylvania............................................... 16,009
South Carolina............................................. 2,600
Tennessee.................................................. 8,944
Texas...................................................... 772
Virginia................................................... 5,134
West Virginia.............................................. 16,929
Wisconsin.................................................. 4,898
------------------------------------------------------------------------
(b) For any CAIR NOX unit in the State that achieves
NOX emission reductions in 2007 and 2008 that are not
necessary to comply with any State or federal emissions limitation
applicable during such years, the CAIR designated representative of the
unit may request early reduction credits, and allocation of CAIR
NOX allowances from the compliance supplement pool under
paragraph (a) of this section for such early reduction credits, in
accordance with the following:
(1) The owners and operators of such CAIR NOX unit shall
monitor and report the NOX emissions rate and the heat input
of the unit in accordance with subpart HH of this part in each control
period for which early reduction credit is requested.
(2) The CAIR designated representative of such CAIR NOX
unit shall submit to the permitting authority by May 1, 2009 a request,
in a format specified by the permitting authority, for allocation of an
amount of CAIR NOX allowances from the compliance supplement
pool not exceeding the sum of the amounts (in tons) of the unit's
NOX emission reductions in 2007 and 2008 that are not
necessary to comply with any State or federal emissions limitation
applicable during such years, determined in accordance with subpart HH
of this part.
(c) For any CAIR NOX unit in the State whose compliance
with the CAIR NOX emissions limitation for the control period
in 2009 would create an undue risk to the reliability of electricity
supply during such control period, the CAIR designated representative of
the unit may request the allocation of CAIR NOX allowances
from the compliance supplement pool under paragraph (a) of this section,
in accordance with the following:
(1) The CAIR designated representative of such CAIR NOX
unit shall submit to the permitting authority by May 1, 2009 a request,
in a format specified by the permitting authority, for allocation of an
amount of CAIR NOX allowances from the compliance supplement
pool not exceeding the minimum amount of CAIR NOX allowances
necessary to remove such undue risk to the reliability of electricity
supply.
(2) In the request under paragraph (c)(1) of this section, the CAIR
designated representative of such CAIR NOX unit shall
demonstrate that, in the absence of allocation to the unit of the amount
of CAIR NOX allowances requested, the unit's compliance with
the CAIR NOX emissions limitation for the control period in
2009 would create an undue risk to the reliability of electricity supply
during such control period. This demonstration must include a showing
that it would not be feasible for the owners and operators of the unit
to:
(i) Obtain a sufficient amount of electricity from other electricity
generation facilities, during the installation of control technology at
the unit for compliance with the CAIR NOX emissions
limitation, to prevent such undue risk; or
(ii) Obtain under paragraphs (b) and (d) of this section, or
otherwise obtain, a sufficient amount of CAIR NOX allowances
to prevent such undue risk.
(d) The permitting authority will review each request under
paragraph (b) or (c) of this section submitted by May 1, 2009 and will
allocate CAIR NOX allowances for the control period in 2009
[[Page 70]]
to CAIR NOX units in the State and covered by such request as
follows:
(1) Upon receipt of each such request, the permitting authority will
make any necessary adjustments to the request to ensure that the amount
of the CAIR NOX allowances requested meets the requirements
of paragraph (b) or (c) of this section.
(2) If the State's compliance supplement pool under paragraph (a) of
this section has an amount of CAIR NOX allowances not less
than the total amount of CAIR NOX allowances in all such
requests (as adjusted under paragraph (d)(1) of this section), the
permitting authority will allocate to each CAIR NOX unit
covered by such requests the amount of CAIR NOX allowances
requested (as adjusted under paragraph (d)(1) of this section).
(3) If the State's compliance supplement pool under paragraph (a) of
this section has a smaller amount of CAIR NOX allowances than
the total amount of CAIR NOX allowances in all such requests
(as adjusted under paragraph (d)(1) of this section), the permitting
authority will allocate CAIR NOX allowances to each CAIR
NOX unit covered by such requests according to the following
formula and rounding to the nearest whole allowance as appropriate:
Unit's allocation = Unit's adjusted allocation x (State's compliance
supplement pool / Total adjusted allocations for all units)
Where:
`Unit's allocation' is the amount of CAIR NOX allowances
allocated to the unit from the State's compliance supplement
pool. Unit's adjusted allocation'' is the amount of CAIR
NOX allowances requested for the unit under
paragraph (b) or (c) of this section, as adjusted under
paragraph (d)(1) of this section. ``State's compliance
supplement pool'' is the amount of CAIR NOX
allowances in the State's compliance supplement pool. ``Total
adjusted allocations for all units'' is the sum of the amounts
of allocations requested for all units under paragraph (b) or
(c) of this section, as adjusted under paragraph (d)(1) of
this section.
(4) By November 30, 2009, the permitting authority will determine,
and submit to the Administrator, the allocations under paragraph (d)(2)
or (3) of this section.
(5) By January 1, 2010, the Administrator will record the
allocations under paragraph (d)(4) of this section.
[70 FR 25339, May 12, 2005, as amended at 71 FR 25302, 25383, Apr. 28,
2006; 71 FR 74794, Dec. 13, 2006]
Subpart FF_CAIR NOX Allowance Tracking System
Source: 70 FR 25339, May 12, 2005, unless otherwise noted.
Sec.96.150 [Reserved]
Sec.96.151 Establishment of accounts.
(a) Compliance accounts. Except as provided in Sec.96.184(e), upon
receipt of a complete certificate of representation under Sec.96.113,
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.
(b) General accounts--(1) Application for general account. (i) Any
person may apply to open a general account for the purpose of holding
and transferring 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.
(ii) A complete application for a general account shall be submitted
to the Administrator and 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 CAIR
authorized account representative and any alternate CAIR authorized
account representative;
(B) Organization name and type of organization, if applicable;
[[Page 71]]
(C) A list of all persons subject to a binding agreement for the
CAIR authorized account representative and any alternate CAIR authorized
account representative to represent their ownership interest with
respect to the CAIR NOX allowances held in the general
account;
(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.''
(E) The signature of the CAIR authorized account representative and
any alternate CAIR authorized account representative and the dates
signed.
(iii) Unless otherwise required by the permitting authority or the
Administrator, documents of agreement referred to in the application for
a general account shall not be submitted to the permitting authority or
the Administrator. Neither the permitting authority nor the
Administrator shall be under any obligation to review or evaluate the
sufficiency of such documents, if submitted.
(2) Authorization of CAIR authorized account representative and
alternate CAIR authorized account representative. (i) Upon receipt by
the Administrator of a complete application for a general account under
paragraph (b)(1) of this section:
(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.
(C) Any representation, action, inaction, or submission by any
alternate CAIR authorized account representative shall be deemed to be a
representation, action, inaction, or submission by the CAIR authorized
account representative.
(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
[[Page 72]]
omitting required statements and information, including the possibility
of fine or imprisonment.''
(iii) The Administrator will accept or act on a submission
concerning the general account only if the submission has been made,
signed, and certified in accordance with paragraph (b)(2)(ii) of this
section.
(3) Changing CAIR authorized account representative and alternate
CAIR authorized account representative; changes in persons with
ownership interest. (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 (b)(1) of this section. 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 (b)(1) of this section. 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 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
person were included in such list.
(B) Within 30 days following any change in the persons having an
ownership interest with respect to CAIR NOX allowances in the
general account, including the addition of a new person, the CAIR
authorized account representative or any alternate CAIR 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 CAIR NOX allowances in the
general account to include the change.
(4) Objections concerning CAIR authorized account representative and
alternate CAIR authorized account representative. (i) Once a complete
application for a general account under paragraph (b)(1) of this section
has been submitted and received, the Administrator will rely on the
application unless and until a superseding complete application for a
general account under paragraph (b)(1) of this section is received by
the Administrator.
(ii) Except as provided in paragraph (b)(3)(i) or (ii) of this
section, no objection or other communication submitted to the
Administrator concerning the authorization, or any representation,
action, inaction, or submission of the 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.
(iii) The Administrator will not adjudicate any private legal
dispute 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, including private legal disputes concerning the
[[Page 73]]
proceeds of CAIR NOX allowance transfers.
(5) Delegation by CAIR authorized account representative and
alternate CAIR authorized account representative. (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 subparts FF and GG 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 subparts FF and GG of this part.
(iii) In order to delegate authority to make an electronic
submission to the Administrator in accordance with paragraph (b)(5)(i)
or (ii) of this section, the CAIR authorized account representative or
alternate CAIR 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 CAIR authorized account
representative or alternate CAIR authorized account representative;
(B) The name, address, e-mail address, telephone number, and,
facsimile transmission number (if any) of each such natural person
(referred to as an ``agent'');
(C) For each such natural person, a list of the type or types of
electronic submissions under paragraph (b)(5)(i) or (ii) of this section
for which authority is delegated to him or her;
(D) The following certification statement by such 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 40 CFR 96.151(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 40 CFR 96.151 (b)(5)(iv), I agree to
maintain an e-mail account and to notify the Administrator immediately
of any change in my e-mail address unless all delegation of authority by
me under 40 CFR 96.151 (b)(5) is terminated.''
(iv) A notice of delegation submitted under paragraph (b)(5)(iii) of
this section shall be effective, with regard to the CAIR authorized
account representative or alternate CAIR 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 CAIR authorized
account representative or alternate CAIR authorized account
representative, as appropriate. The superseding notice of delegation may
replace any previously identified agent, add a new agent, or eliminate
entirely any delegation of authority.
(v) Any electronic submission covered by the certification in
paragraph (b)(5)(iii)(D) of this section and made in accordance with a
notice of delegation effective under paragraph (b)(5)(iv) of this
section shall be deemed to be an electronic submission by the CAIR
designated representative or alternate CAIR designated representative
submitting such notice of delegation.
(c) Account identification. The Administrator will assign a unique
identifying number to each account established under paragraph (a) or
(b) of this section.
[70 FR 25339, May 12, 2005, as amended at 71 FR 25383, Apr. 28, 2006; 71
FR 74794, Dec. 13, 2006]
Sec.96.152 Responsibilities of CAIR authorized account
representative.
Following the establishment of a CAIR NOX Allowance
Tracking System
[[Page 74]]
account, all submissions to the Administrator pertaining to the account,
including, but not limited to, submissions concerning the deduction or
transfer of CAIR NOX allowances in the account, shall be made
only by the CAIR authorized account representative for the account.
Sec.96.153 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 permitting authority in accordance with Sec.
96.141(a), for the control periods in 2009, 2010, 2011, 2012, 2013, and
2014.
(b) By December 1, 2009, 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 permitting authority in accordance with Sec.
96.141(b), for the control period in 2015.
(c) By December 1, 2009 and December 1 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 permitting
authority in accordance with Sec.96.141(b), for the control period in
the sixth year after the year of the applicable deadline for recordation
under this paragraph.
(d) By December 1, 2009 and December 1 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 permitting
authority or determined by the Administrator in accordance with Sec.
96.141(c), for the control period in the year of the applicable deadline
for recordation under this paragraph.
(e) 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.
[70 FR 25339, May 12, 2005, as amended at 71 FR 25384, Apr. 28, 2006]
Editorial Note: At 71 FR 25384, Apr. 28, 2006, Sec.196.153 was
amended; however, the amendment could not be incorporated due to
inaccurate amendatory instruction.
Sec.96.154 Compliance with CAIR NOX emissions limitation.
(a) Allowance transfer deadline. The CAIR NOX allowances
are available to be deducted for compliance with a source's CAIR
NOX emissions limitation for a control period in a given
calendar year only if the CAIR NOX allowances:
(1) Were allocated for the control period in the year or a prior
year; and
(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 Sec. Sec.96.160 and 96.161 by the allowance
transfer deadline for the control period.
(b) Deductions for compliance. Following the recordation, in
accordance with Sec.96.161, 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 paragraph (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 HH 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 (b)(1) of this section, until no
more CAIR NOX allowances available under paragraph (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
[[Page 75]]
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 paragraph (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 paragraph (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 (c)(1) of
this section, on a first-in, first-out (FIFO) accounting basis in the
following order:
(i) Any CAIR NOX allowances that were allocated to the
units at the source, in the order of recordation; and then
(ii) Any CAIR NOX allowances that were allocated to any
entity and transferred and recorded in the compliance account pursuant
to subpart GG of this part, in the order of recordation.
(d) Deductions for excess emissions. (1) After making the deductions
for compliance under paragraph (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 3
times the number of tons of the source's excess emissions.
(2) Any allowance deduction required under paragraph (d)(1) of this
section 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 Clean Air Act or applicable State law.
(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 and subpart II.
(f) Administrator's action on submissions. (1) The Administrator may
review and conduct independent audits concerning any submission under
the CAIR NOX Annual Trading Program and make appropriate
adjustments of the information in the submissions.
(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 (f)(1) of this section, and record such deductions and
transfers.
[70 FR 25339, May 12, 2005, as amended at 71 FR 25384, Apr. 28, 2006]
Sec.96.155 Banking.
(a) CAIR NOX allowances 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 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
Sec.96.154, Sec.96.156, or subpart GG or II of this part.
[70 FR 25339, May 12, 2005, as amended at 71 FR 25384, Apr. 28, 2006]
Sec.96.156 Account error.
The Administrator may, at his or her sole discretion and on his or
her own motion, correct any error in any CAIR NOX Allowance
Tracking System account. Within 10 business days of making such
correction, the Administrator will notify the CAIR authorized account
representative for the account.
Sec.96.157 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 Sec. Sec.
96.160 and 96.161 for any CAIR NOX allowances in the account
to one or more other CAIR NOX Allowance Tracking System
accounts.
[[Page 76]]
(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
Sec. Sec.96.160 and 96.161 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.
[70 FR 25339, May 12, 2005, as amended at 71 FR 25384, Apr. 28, 2006]
Subpart GG_CAIR NOX Allowance Transfers
Source: 70 FR 25339, May 12, 2005, unless otherwise noted.
Sec.96.160 Submission of CAIR NOX allowance transfers.
A CAIR authorized account representative seeking recordation of a
CAIR NOX allowance transfer shall submit the transfer to the
Administrator. To be considered correctly submitted, the CAIR
NOX allowance transfer shall include the following elements,
in a format specified by the Administrator:
(a) The account numbers for both the transferor and transferee
accounts;
(b) The serial number of each CAIR NOX allowance that is
in the transferor account and is to be transferred; and
(c) The name and signature of the CAIR authorized account
representative of the transferor account and the date signed.
Sec.96.161 EPA recordation.
(a) Within 5 business days (except as provided in paragraph (b) of
this section) of receiving a CAIR NOX allowance transfer, the
Administrator will record a CAIR NOX allowance transfer by
moving each CAIR NOX allowance from the transferor account to
the transferee account as specified by the request, provided that:
(1) The transfer is correctly submitted under Sec.96.160; and
(2) The transferor account includes each CAIR NOX
allowance identified by serial number in the transfer.
(b) A CAIR NOX allowance transfer that is submitted for
recordation after the allowance transfer deadline for a control period
and that includes any CAIR NOX allowances allocated for any
control period before such allowance transfer deadline will not be
recorded until after the Administrator completes the deductions under
Sec.96.154 for the control period immediately before such allowance
transfer deadline.
(c) Where a CAIR NOX allowance transfer submitted for
recordation fails to meet the requirements of paragraph (a) of this
section, the Administrator will not record such transfer.
Sec.96.162 Notification.
(a) Notification of recordation. Within 5 business days of
recordation of a CAIR NOX allowance transfer under Sec.
96.161, the Administrator will notify the CAIR authorized account
representatives of both the transferor and transferee accounts.
(b) Notification of non-recordation. Within 10 business days of
receipt of a CAIR NOX allowance transfer that fails to meet
the requirements of Sec.96.161(a), the Administrator will notify the
CAIR 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.
(c) Nothing in this section shall preclude the submission of a CAIR
NOX allowance transfer for recordation following notification
of non-recordation.
Subpart HH_Monitoring and Reporting
Source: 70 FR 25339, May 12, 2005, unless otherwise noted.
Sec.96.170 General requirements.
The owners and operators, and to the extent applicable, the CAIR
designated representative, of a CAIR NOX unit,
[[Page 77]]
shall comply with the monitoring, recordkeeping, and reporting
requirements as provided in this subpart and in subpart H of part 75 of
this chapter. For purposes of complying with such requirements, the
definitions in Sec.96.102 and in Sec.72.2 of this chapter shall
apply, and 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 ``CAIR
NOX unit,'' ``CAIR designated representative,'' and
``continuous emission monitoring system'' (or ``CEMS'') respectively, as
defined in Sec.96.102. The owner or operator of a unit that is not a
CAIR NOX unit but that is monitored under Sec.
75.72(b)(2)(ii) of this chapter shall comply with the same monitoring,
recordkeeping, and reporting requirements as a CAIR NOX unit.
(a) Requirements for installation, certification, and data
accounting. The owner or operator of each CAIR NOX unit
shall:
(1) Install all monitoring systems required under this subpart for
monitoring NOX mass emissions and individual unit heat input
(including all systems required to monitor NOX emission rate,
NOX concentration, stack gas moisture content, stack gas flow
rate, CO2 or O2 concentration, and fuel flow rate,
as applicable, in accordance with Sec. Sec.75.71 and 75.72 of this
chapter);
(2) Successfully complete all certification tests required under
Sec.96.171 and meet all other requirements of this subpart and part 75
of this chapter applicable to the monitoring systems under paragraph
(a)(1) of this section; and
(3) Record, report, and quality-assure the data from the monitoring
systems under paragraph (a)(1) of this section.
(b) Compliance deadlines. Except as provided in paragraph (e) of
this section, the owner or operator shall meet the monitoring system
certification and other requirements of paragraphs (a)(1) and (2) of
this section on or before the following dates. The owner or operator
shall record, report, and quality-assure the data from the monitoring
systems under paragraph (a)(1) of this section on and after the
following dates.
(1) For the owner or operator of a CAIR NOX unit that
commences commercial operation before July 1, 2007, by January 1, 2008.
(2) For the owner or operator of a CAIR NOX unit that
commences commercial operation on or after July 1, 2007, by the later of
the following dates:
(i) January 1, 2008; or
(ii) 90 unit operating days or 180 calendar days, whichever occurs
first, after the date on which the unit commences commercial operation.
(3) For the owner or operator of a CAIR NOX 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), (4), or (5) of this section, by 90
unit operating days or 180 calendar days, whichever occurs first, after
the date on which emissions first exit to the atmosphere through the new
stack or flue or add-on NOX emissions controls.
(4) Notwithstanding the dates in paragraphs (b)(1) and (2) of this
section, for the owner or operator of a unit for which a CAIR opt-in
permit application is submitted and not withdrawn and a CAIR opt-in
permit is not yet issued or denied under subpart II of this part, by the
date specified in Sec.96.184(b).
(5) Notwithstanding the dates in paragraphs (b)(1) and (2) of this
section, for the owner or operator of a CAIR NOX opt-in unit
under subpart II of this part, by the date on which the CAIR
NOX opt-in unit enters the CAIR NOX Annual Trading
Program as provided in Sec.96.184(g).
(c) Reporting data. The owner or operator of a CAIR NOX
unit that does not meet the applicable compliance date set forth in
paragraph (b) of this section for any monitoring system under paragraph
(a)(1) of this section shall, for each such monitoring system,
determine, record, and report maximum potential (or, as appropriate,
minimum potential) values for NOX concentration,
NOX emission rate, stack gas flow rate, stack gas moisture
content, fuel flow rate, and any other parameters required to determine
NOX mass emissions and heat input in accordance with Sec.
75.31(b)(2) or (c)(3) of this chapter, section 2.4 of appendix D to part
75
[[Page 78]]
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 CAIR NOX
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 Sec.
96.175.
(2) No owner or operator of a CAIR NOX unit shall operate
the unit so as to discharge, or allow to be discharged, NOX
emissions to the atmosphere without accounting for all such emissions in
accordance with the applicable provisions of this subpart and part 75 of
this chapter.
(3) No owner or operator of a CAIR NOX unit shall disrupt
the continuous emission monitoring system, any portion thereof, or any
other approved emission monitoring method, and thereby avoid monitoring
and recording NOX mass emissions discharged into the
atmosphere or heat input, except for periods of recertification or
periods when calibration, quality assurance testing, or maintenance is
performed in accordance with the applicable provisions of this subpart
and part 75 of this chapter.
(4) No owner or operator of a CAIR NOX 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
Sec.96.105 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 permitting authority 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 CAIR 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 Sec.
96.171(d)(3)(i).
(e) Long-term cold storage. The owner or operator of a CAIR
NOX unit is subject to the applicable provisions of part 75
of this chapter concerning units in long-term cold storage.
[70 FR 25339, May 12, 2005, as amended at 71 FR 25384, Apr. 28, 2006]
Sec.96.171 Initial certification and recertification procedures.
(a) The owner or operator of a CAIR NOX unit shall be
exempt from the initial certification requirements of this section for a
monitoring system under Sec.96.170(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 Sec.75.21 of this chapter and appendix B, appendix D,
and appendix E to part 75 of this chapter are fully met for the
certified monitoring system described in paragraph (a)(1) of this
section.
(b) The recertification provisions of this section shall apply to a
monitoring system under Sec.96.170(a)(1) exempt from initial
certification requirements under paragraph (a) of this section.
(c) If the Administrator has previously approved a petition under
Sec.75.17(a) or (b) of this chapter for apportioning the
NOX emission rate measured in a common stack or a petition
under Sec.75.66 of this chapter for an alternative to a requirement in
Sec.75.12 or Sec.75.17 of this chapter, the CAIR designated
representative shall resubmit the petition to the Administrator under
Sec.96.175(a) to determine whether the approval applies under the CAIR
NOX Annual Trading Program.
(d) Except as provided in paragraph (a) of this section, the owner
or operator of a CAIR NOX 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 Sec.96.170(a)(1). The owner or operator
of a unit that qualifies to use the low mass emissions
[[Page 79]]
excepted monitoring methodology under Sec.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 Sec.
96.170(a)(1)(including the automated data acquisition and handling
system) successfully completes all of the initial certification testing
required under Sec.75.20 of this chapter by the applicable deadline in
Sec.96.170(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 Sec.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 Sec.96.170(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-assurance and quality-control requirements of Sec.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 Sec.
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 Sec.75.20(b) of this
chapter. Examples of changes to a continuous emission monitoring system
that require recertification include replacement of the analyzer,
complete replacement of an existing continuous emission monitoring
system, or change in location or orientation of the sampling probe or
site. Any fuel flowmeter system, and any excepted NOX
monitoring system under appendix E to part 75 of this chapter, under
Sec.96.170(a)(1) are subject to the recertification requirements in
Sec.75.20(g)(6) of this chapter.
(3) Approval process for initial certification and recertification.
Paragraphs (d)(3)(i) through (iv) of this section apply to both initial
certification and recertification of a continuous monitoring system
under Sec.96.170(a)(1). For recertifications, replace the words
``certification'' and ``initial certification'' with the word
``recertification'', replace the word ``certified'' with the word
``recertified,'' and follow the procedures in Sec. Sec.75.20(b)(5) and
(g)(7) of this chapter in lieu of the procedures in paragraph (d)(3)(v)
of this section.
(i) Notification of certification. The CAIR designated
representative shall submit to the permitting authority, the appropriate
EPA Regional Office, and the Administrator written notice of the dates
of certification testing, in accordance with Sec.96.173.
(ii) Certification application. The CAIR designated representative
shall submit to the permitting authority a certification application for
each monitoring system. A complete certification application shall
include the information specified in Sec.75.63 of this chapter.
(iii) Provisional certification date. The provisional certification
date for a monitoring system shall be determined in accordance with
Sec.75.20(a)(3) of this chapter. A provisionally certified monitoring
system may be used under the CAIR NOX Annual Trading Program
for a period not to exceed 120 days after receipt by the permitting
authority of the complete certification application for the monitoring
system under paragraph (d)(3)(ii) of this section. Data measured and
recorded by the provisionally certified monitoring system, in accordance
with the requirements of part 75 of this chapter, will be considered
valid quality-assured data (retroactive to the date and time of
provisional certification), provided that the permitting authority does
not invalidate the provisional certification by issuing a notice of
disapproval within 120 days of the date of receipt of the complete
certification application by the permitting authority.
(iv) Certification application approval process. The permitting
authority will issue a written notice of approval or
[[Page 80]]
disapproval of the certification application to the owner or operator
within 120 days of receipt of the complete certification application
under paragraph (d)(3)(ii) of this section. In the event the permitting
authority does not issue such a notice within such 120-day period, each
monitoring system that meets the applicable performance requirements of
part 75 of this chapter and is included in the certification application
will be deemed certified for use under the CAIR NOX Annual
Trading Program.
(A) Approval notice. If the certification application is complete
and shows that each monitoring system meets the applicable performance
requirements of part 75 of this chapter, then the permitting authority
will issue a written notice of approval of the certification application
within 120 days of receipt.
(B) Incomplete application notice. If the certification application
is not complete, then the permitting authority will issue a written
notice of incompleteness that sets a reasonable date by which the CAIR
designated representative must submit the additional information
required to complete the certification application. If the CAIR
designated representative does not comply with the notice of
incompleteness by the specified date, then the permitting authority may
issue a notice of disapproval under paragraph (d)(3)(iv)(C) of this
section. The 120-day review period shall not begin before receipt of a
complete certification application.
(C) Disapproval notice. If the certification application shows that
any monitoring system does not meet the performance requirements of part
75 of this chapter or if the certification application is incomplete and
the requirement for disapproval under paragraph (d)(3)(iv)(B) of this
section is met, then the permitting authority will issue a written
notice of disapproval of the certification application. Upon issuance of
such notice of disapproval, the provisional certification is invalidated
by the permitting authority and the data measured and recorded by each
uncertified monitoring system shall not be considered valid quality-
assured data beginning with the date and hour of provisional
certification (as defined under Sec.75.20(a)(3) of this chapter). The
owner or operator shall follow the procedures for loss of certification
in paragraph (d)(3)(v) of this section for each monitoring system that
is disapproved for initial certification.
(D) Audit decertification. The permitting authority or, for a CAIR
NOX opt-in unit or a unit for which a CAIR opt-in permit
application is submitted and not withdrawn and a CAIR opt-in permit is
not yet issued or denied under subpart II of this part, the
Administrator may issue a notice of disapproval of the certification
status of a monitor in accordance with Sec.96.172(b).
(v) Procedures for loss of certification. If the permitting
authority or the Administrator issues a notice of disapproval of a
certification application under paragraph (d)(3)(iv)(C) of this section
or a notice of disapproval of certification status under paragraph
(d)(3)(iv)(D) of this section, then:
(A) The owner or operator shall substitute the following values, for
each disapproved monitoring system, for each hour of unit operation
during the period of invalid data specified under Sec.
75.20(a)(4)(iii), Sec.75.20(g)(7), or Sec.75.21(e) of this chapter
and continuing until the applicable date and hour specified under Sec.
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 Sec.72.2 of this chapter.
(2) For a disapproved NOX pollutant concentration monitor
and disapproved flow monitor, respectively, the maximum potential
concentration of NOX and the maximum potential flow rate, as
defined in sections 2.1.2.1 and 2.1.4.1 of appendix A to part 75 of this
chapter.
(3) For a disapproved moisture monitoring system and disapproved
diluent gas monitoring system, respectively, the minimum potential
moisture percentage and either the maximum potential CO2
concentration or the minimum potential O2 concentration (as
applicable), as defined in sections 2.1.5, 2.1.3.1, and 2.1.3.2 of
appendix A to part 75 of this chapter.
(4) For a disapproved fuel flowmeter system, the maximum potential
fuel
[[Page 81]]
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 Sec.72.2 of this
chapter.
(B) The CAIR designated representative shall submit a notification
of certification retest dates and a new certification application in
accordance with paragraphs (d)(3)(i) and (ii) of this section.
(C) The owner or operator shall repeat all certification tests or
other requirements that were failed by the monitoring system, as
indicated in the permitting authority's or the Administrator's notice of
disapproval, no later than 30 unit operating days after the date of
issuance of the notice of disapproval.
(e) Initial certification and recertification procedures for units
using the low mass emission excepted methodology under Sec.75.19 of
this chapter. The owner or operator of a unit qualified to use the low
mass emissions (LME) excepted methodology under Sec.75.19 of this
chapter shall meet the applicable certification and recertification
requirements in Sec. Sec.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 Sec.
75.20(g) of this chapter.
(f) Certification/recertification procedures for alternative
monitoring systems. The CAIR designated representative of each unit for
which the owner or operator intends to use an alternative monitoring
system approved by the Administrator and, if applicable, the permitting
authority under subpart E of part 75 of this chapter shall comply with
the applicable notification and application procedures of Sec.75.20(f)
of this chapter.
[70 FR 25339, May 12, 2005, as amended at 71 FR 25385, Apr. 28, 2006]
Sec.96.172 Out of control periods.
(a) Whenever any monitoring system fails to meet the quality-
assurance and quality-control requirements or data validation
requirements of part 75 of this chapter, data shall be substituted using
the applicable missing data procedures in subpart D or subpart H of, or
appendix D or appendix E to, part 75 of this chapter.
(b) Audit decertification. Whenever both an audit of a monitoring
system and a review of the initial certification or recertification
application reveal that any monitoring system should not have been
certified or recertified because it did not meet a particular
performance specification or other requirement under Sec.96.171 or the
applicable provisions of part 75 of this chapter, both at the time of
the initial certification or recertification application submission and
at the time of the audit, the permitting authority or, for a CAIR
NOX opt-in unit or a unit for which a CAIR opt-in permit
application is submitted and not withdrawn and a CAIR opt-in permit is
not yet issued or denied under subpart II of this part, the
Administrator will issue a notice of disapproval of the certification
status of such monitoring system. For the purposes of this paragraph, an
audit shall be either a field audit or an audit of any information
submitted to the permitting authority or the Administrator. By issuing
the notice of disapproval, the permitting authority or the Administrator
revokes prospectively the certification status of the monitoring system.
The data measured and recorded by the monitoring system shall not be
considered valid quality-assured data from the date of issuance of the
notification of the revoked certification status until the date and time
that the owner or operator completes subsequently approved initial
certification or recertification tests for the monitoring system. The
owner or operator shall follow the applicable initial certification or
recertification procedures in Sec.96.171 for each disapproved
monitoring system.
Sec.96.173 Notifications.
The CAIR designated representative for a CAIR NOX unit
shall submit written notice to the permitting authority and the
Administrator in accordance with Sec.75.61 of this chapter.
[70 FR 25339, May 12, 2005, as amended at 71 FR 25385, Apr. 28, 2006]
[[Page 82]]
Sec.96.174 Recordkeeping and reporting.
(a) General provisions. The CAIR designated representative shall
comply with all recordkeeping and reporting requirements in this
section, the applicable recordkeeping and reporting requirements under
Sec.75.73 of this chapter, and the requirements of Sec.96.110(e)(1).
(b) Monitoring Plans. The owner or operator of a CAIR NOX
unit shall comply with requirements of Sec.75.73(c) and (e) of this
chapter and, for a unit for which a CAIR opt-in permit application is
submitted and not withdrawn and a CAIR opt-in permit is not yet issued
or denied under subpart II of this part, Sec. Sec.96.183 and
96.184(a).
(c) Certification Applications. The CAIR designated representative
shall submit an application to the permitting authority within 45 days
after completing all initial certification or recertification tests
required under Sec.96.171, including the information required under
Sec.75.63 of this chapter.
(d) Quarterly reports. The CAIR designated representative shall
submit quarterly reports, as follows:
(1) The CAIR designated representative shall report the
NOX mass emissions data and heat input data for the CAIR
NOX unit, in an electronic quarterly report in a format
prescribed by the Administrator, for each calendar quarter beginning
with:
(i) For a unit that commences commercial operation before July 1,
2007, the calendar quarter covering January 1, 2008 through March 31,
2008;
(ii) For a unit that commences commercial operation on or after July
1, 2007, the calendar quarter corresponding to the earlier of the date
of provisional certification or the applicable deadline for initial
certification under Sec.96.170(b), unless that quarter is the third or
fourth quarter of 2007, in which case reporting shall commence in the
quarter covering January 1, 2008 through March 31, 2008;
(iii) Notwithstanding paragraphs (d)(1)(i) and (ii) of this section,
for a unit for which a CAIR opt-in permit application is submitted and
not withdrawn and a CAIR opt-in permit is not yet issued or denied under
subpart II of this part, the calendar quarter corresponding to the date
specified in Sec.96.184(b); and
(iv) Notwithstanding paragraphs (d)(1)(i) and (ii) of this section,
for a CAIR NOX opt-in unit under subpart II of this part, the
calendar quarter corresponding to the date on which the CAIR
NOX opt-in unit enters the CAIR NOX Annual Trading
Program as provided in Sec.96.184(g).
(2) The CAIR designated representative shall submit each quarterly
report to the Administrator within 30 days following the end of the
calendar quarter covered by the report. Quarterly reports shall be
submitted in the manner specified in Sec.75.73(f) of this chapter.
(3) For CAIR NOX units that are also subject to an Acid
Rain emissions limitation or the CAIR NOX Ozone Season
Trading Program, CAIR SO2 Trading Program, or Hg Budget
Trading Program, quarterly reports shall include the applicable data and
information required by subparts F through I of part 75 of this chapter
as applicable, in addition to the NOX mass emission data,
heat input data, and other information required by this subpart.
(e) Compliance certification. The CAIR designated representative
shall submit to the Administrator a compliance certification (in a
format prescribed by the Administrator) in support of each quarterly
report based on reasonable inquiry of those persons with primary
responsibility for ensuring that all of the unit's emissions are
correctly and fully monitored. The certification shall state that:
(1) The monitoring data submitted were recorded in accordance with
the applicable requirements of this subpart and part 75 of this chapter,
including the quality assurance procedures and specifications; and
(2) For a unit with add-on NOX emission controls and for
all hours where NOX data are substituted in accordance with
Sec.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.
[70 FR 25339, May 12, 2005, as amended at 71 FR 25385, Apr. 28, 2006]
[[Page 83]]
Sec.96.175 Petitions.
(a) Except as provided in paragraph (b)(2) of this section, the CAIR
designated representative of a CAIR NOX unit that is subject
to an Acid Rain emissions limitation may submit a petition under Sec.
75.66 of this chapter to the Administrator requesting approval to apply
an alternative to any requirement of this subpart. Application of an
alternative to any requirement of this subpart is in accordance with
this subpart only to the extent that the petition is approved in writing
by the Administrator, in consultation with the permitting authority.
(b)(1) The CAIR designated representative of a CAIR NOX
unit that is not subject to an Acid Rain emissions limitation may submit
a petition under Sec.75.66 of this chapter to the permitting authority
and the Administrator requesting approval to apply an alternative to any
requirement of this subpart. Application of an alternative to any
requirement of this subpart is in accordance with this subpart only to
the extent that the petition is approved in writing by both the
permitting authority and the Administrator.
(2) The CAIR designated representative of a CAIR NOX unit
that is subject to an Acid Rain emissions limitation may submit a
petition under Sec.75.66 of this chapter to the permitting authority
and the Administrator requesting approval to apply an alternative to a
requirement concerning any additional continuous emission monitoring
system required under Sec.75.72 of this chapter. Application of an
alternative to any such requirement is in accordance with this subpart
only to the extent that the petition is approved in writing by both the
permitting authority and the Administrator.
Subpart II_CAIR NOX Opt-in Units
Source: 70 FR 25339, May 12, 2005, unless otherwise noted.
Sec.96.180 Applicability.
A CAIR NOX opt-in unit must be a unit that:
(a) Is located in the State;
(b) Is not a CAIR NOX unit under Sec.96.104 and is not
covered by a retired unit exemption under Sec.96.105 that is in
effect;
(c) Is not covered by a retired unit exemption under Sec.72.8 of
this chapter that is in effect;
(d) Has or is required or qualified to have a title V operating
permit or other federally enforceable permit; and
(e) Vents all of its emissions to a stack and can meet the
monitoring, recordkeeping, and reporting requirements of subpart HH of
this part.
Sec.96.181 General.
(a) Except as otherwise provided in Sec. Sec.96.101 through
96.104, Sec. Sec.96.106 through 96.108, and subparts BB and CC and
subparts FF through HH of this part, a CAIR NOX opt-in unit
shall be treated as a CAIR NOX unit for purposes of applying
such sections and subparts of this part.
(b) Solely for purposes of applying, as provided in this subpart,
the requirements of subpart HH of this part to a unit for which a CAIR
opt-in permit application is submitted and not withdrawn and a CAIR opt-
in permit is not yet issued or denied under this subpart, such unit
shall be treated as a CAIR NOX unit before issuance of a CAIR
opt-in permit for such unit.
Sec.96.182 CAIR designated representative.
Any CAIR NOX opt-in unit, and any unit for which a CAIR
opt-in permit application is submitted and not withdrawn and a CAIR opt-
in permit is not yet issued or denied under this subpart, located at the
same source as one or more CAIR NOX units shall have the same
CAIR designated representative and alternate CAIR designated
representative as such CAIR NOX units.
Sec.96.183 Applying for CAIR opt-in permit.
(a) Applying for initial CAIR opt-in permit. The CAIR designated
representative of a unit meeting the requirements for a CAIR
NOX opt-in unit in Sec.96.180 may apply for an initial CAIR
opt-in permit at any time, except as provided under Sec.96.186(f) and
(g), and, in order to apply, must submit the following:
(1) A complete CAIR permit application under Sec.96.122;
[[Page 84]]
(2) A certification, in a format specified by the permitting
authority, that the unit:
(i) Is not a CAIR NOX unit under Sec.96.104 and is not
covered by a retired unit exemption under Sec.96.105 that is in
effect;
(ii) Is not covered by a retired unit exemption under Sec.72.8 of
this chapter that is in effect;
(iii) Vents all of its emissions to a stack, and
(iv) Has documented heat input for more than 876 hours during the 6
months immediately preceding submission of the CAIR permit application
under Sec.96.122;
(3) A monitoring plan in accordance with subpart HH of this part;
(4) A complete certificate of representation under Sec.96.113
consistent with Sec.96.182, if no CAIR designated representative has
been previously designated for the source that includes the unit; and
(5) A statement, in a format specified by the permitting authority,
whether the CAIR designated representative requests that the unit be
allocated CAIR NOX allowances under Sec.96.188(b) or Sec.
96.188(c) (subject to the conditions in Sec. Sec.96.184(h) and
96.186(g)). If allocation under Sec.96.188(c) is requested, this
statement shall include a statement that the owners and operators of the
unit intend to repower the unit before January 1, 2015 and that they
will provide, upon request, documentation demonstrating such intent.
(b) Duty to reapply. (1) The CAIR designated representative of a
CAIR NOX opt-in unit shall submit a complete CAIR permit
application under Sec.96.122 to renew the CAIR opt-in unit permit in
accordance with the permitting authority's regulations for title V
operating permits, or the permitting authority's regulations for other
federally enforceable permits if applicable, addressing permit renewal.
(2) Unless the permitting authority issues a notification of
acceptance of withdrawal of the CAIR NOX opt-in unit from the
CAIR NOX Annual Trading Program in accordance with Sec.
96.186 or the unit becomes a CAIR NOX unit under Sec.
96.104, the CAIR NOX opt-in unit shall remain subject to the
requirements for a CAIR NOX opt-in unit, even if the CAIR
designated representative for the CAIR NOX opt-in unit fails
to submit a CAIR permit application that is required for renewal of the
CAIR opt-in permit under paragraph (b)(1) of this section.
[70 FR 25339, May 12, 2005, as amended at 71 FR 25385, Apr. 28, 2006]
Sec.96.184 Opt-in process.
The permitting authority will issue or deny a CAIR opt-in permit for
a unit for which an initial application for a CAIR opt-in permit under
Sec.96.183 is submitted in accordance with the following:
(a) Interim review of monitoring plan. The permitting authority and
the Administrator will determine, on an interim basis, the sufficiency
of the monitoring plan accompanying the initial application for a CAIR
opt-in permit under Sec.96.183. A monitoring plan is sufficient, for
purposes of interim review, if the plan appears to contain information
demonstrating that the NOX emissions rate and heat input of
the unit and all other applicable parameters are monitored and reported
in accordance with subpart HH of this part. A determination of
sufficiency shall not be construed as acceptance or approval of the
monitoring plan.
(b) Monitoring and reporting. (1)(i) If the permitting authority and
the Administrator determine that the monitoring plan is sufficient under
paragraph (a) of this section, the owner or operator shall monitor and
report the NOX emissions rate and the heat input of the unit
and all other applicable parameters, in accordance with subpart HH of
this part, starting on the date of certification of the appropriate
monitoring systems under subpart HH of this part and continuing until a
CAIR opt-in permit is denied under Sec.96.184(f) or, if a CAIR opt-in
permit is issued, the date and time when the unit is withdrawn from the
CAIR NOX Annual Trading Program in accordance with Sec.
96.186.
(ii) The monitoring and reporting under paragraph (b)(1)(i) of this
section shall include the entire control period immediately before the
date on which the unit enters the CAIR NOX Annual Trading
Program under Sec.96.184(g), during which period monitoring system
[[Page 85]]
availability must not be less than 90 percent under subpart HH of this
part and the unit must be in full compliance with any applicable State
or Federal emissions or emissions-related requirements.
(2) To the extent the NOX emissions rate and the heat
input of the unit are monitored and reported in accordance with subpart
HH of this part for one or more control periods, in addition to the
control period under paragraph (b)(1)(ii) of this section, during which
control periods monitoring system availability is not less than 90
percent under subpart HH of this part and the unit is in full compliance
with any applicable State or Federal emissions or emissions-related
requirements and which control periods begin not more than 3 years
before the unit enters the CAIR NOX Annual Trading Program
under Sec.96.184(g), such information shall be used as provided in
paragraphs (c) and (d) of this section.
(c) Baseline heat input. The unit's baseline heat input shall equal:
(1) If the unit's NOX emissions rate and heat input are
monitored and reported for only one control period, in accordance with
paragraph (b)(1) of this section, the unit's total heat input (in mmBtu)
for the control period; or
(2) If the unit's NOX emissions rate and heat input are
monitored and reported for more than one control period, in accordance
with paragraphs (b)(1) and (2) of this section, the average of the
amounts of the unit's total heat input (in mmBtu) for the control
periods under paragraphs (b)(1)(ii) and (2) of this section.
(d) Baseline NOX emission rate. The unit's baseline
NOX emission rate shall equal:
(1) If the unit's NOX emissions rate and heat input are
monitored and reported for only one control period, in accordance with
paragraph (b)(1) of this section, the unit's NOX emissions
rate (in lb/mmBtu) for the control period;
(2) If the unit's NOX emissions rate and heat input are
monitored and reported for more than one control period, in accordance
with paragraphs (b)(1) and (2) of this section, and the unit does not
have add-on NOX emission controls during any such control
periods, the average of the amounts of the unit's NOX
emissions rate (in lb/mmBtu) for the control periods under paragraphs
(b)(1)(ii) and (2) of this section; or
(3) If the unit's NOX emissions rate and heat input are
monitored and reported for more than one control period, in accordance
with paragraphs (b)(1) and (2) of this section, and the unit has add-on
NOX emission controls during any such control periods, the
average of the amounts of the unit's NOX emissions rate (in
lb/mmBtu) for such control periods during which the unit has add-on
NOX emission controls.
(e) Issuance of CAIR opt-in permit. After calculating the baseline
heat input and the baseline NOX emissions rate for the unit
under paragraphs (c) and (d) of this section and if the permitting
authority determines that the CAIR designated representative shows that
the unit meets the requirements for a CAIR NOX opt-in unit in
Sec.96.180 and meets the elements certified in Sec.96.183(a)(2), the
permitting authority will issue a CAIR opt-in permit. The permitting
authority will provide a copy of the CAIR opt-in permit to the
Administrator, who will then establish a compliance account for the
source that includes the CAIR NOX opt-in unit unless the
source already has a compliance account.
(f) Issuance of denial of CAIR opt-in permit. Notwithstanding
paragraphs (a) through (e) of this section, if at any time before
issuance of a CAIR opt-in permit for the unit, the permitting authority
determines that the CAIR designated representative fails to show that
the unit meets the requirements for a CAIR NOX opt-in unit in
Sec.96.180 or meets the elements certified in Sec.96.183(a)(2), the
permitting authority will issue a denial of a CAIR opt-in permit for the
unit.
(g) Date of entry into CAIR NOX Annual Trading Program. A
unit for which an initial CAIR opt-in permit is issued by the permitting
authority shall become a CAIR NOX opt-in unit, and a CAIR
NOX unit, as of the later of January 1, 2009 or January 1 of
the first control period during which such CAIR opt-in permit is issued.
(h) Repowered CAIR NOX opt-in unit. (1) If CAIR
designated representative
[[Page 86]]
requests, and the permitting authority issues a CAIR opt-in permit
providing for, allocation to a CAIR NOX opt-in unit of CAIR
NOX allowances under Sec.96.188(c) and such unit is
repowered after its date of entry into the CAIR NOX Annual
Trading Program under paragraph (g) of this section, the repowered unit
shall be treated as a CAIR NOX opt-in unit replacing the
original CAIR NOX opt-in unit, as of the date of start-up of
the repowered unit's combustion chamber.
(2) Notwithstanding paragraphs (c) and (d) of this section, as of
the date of start-up under paragraph (h)(1) of this section, the
repowered unit shall be deemed to have the same date of commencement of
operation, date of commencement of commercial operation, baseline heat
input, and baseline NOX emission rate as the original CAIR
NOX opt-in unit, and the original CAIR NOX opt-in
unit shall no longer be treated as a CAIR NOX opt-in unit or
a CAIR NOX unit.
[70 FR 25339, May 12, 2005, as amended at 71 FR 25385, Apr. 28, 2006; 71
FR 74794, Dec. 13, 2006]
Sec.96.185 CAIR opt-in permit contents.
(a) Each CAIR opt-in permit will contain:
(1) All elements required for a complete CAIR permit application
under Sec.96.122;
(2) The certification in Sec.96.183(a)(2);
(3) The unit's baseline heat input under Sec.96.184(c);
(4) The unit's baseline NOX emission rate under Sec.
96.184(d);
(5) A statement whether the unit is to be allocated CAIR
NOX allowances Sec.96.188(b) or Sec.96.188(c) (subject to
the conditions in Sec. Sec.96.184(h) and 96.186(g));
(6) A statement that the unit may withdraw from the CAIR
NOX Annual Trading Program only in accordance with Sec.
96.186; and
(7) A statement that the unit is subject to, and the owners and
operators of the unit must comply with, the requirements of Sec.
96.187.
(b) Each CAIR opt-in permit is deemed to incorporate automatically
the definitions of terms under Sec.96.102 and, upon recordation by the
Administrator under subpart FF or GG of this part or this subpart, every
allocation, transfer, or deduction of CAIR NOX allowances to
or from the compliance account of the source that includes a CAIR
NOX opt-in unit covered by the CAIR opt-in permit.
(c) The CAIR opt-in permit shall be included, in a format specified
by the permitting authority, in the CAIR permit for the source where the
CAIR NOX opt-in unit is located and in a title V operating
permit or other federally enforceable permit for the source.
[70 FR 25339, May 12, 2005, as amended at 71 FR 25385, Apr. 28, 2006]
Sec.96.186 Withdrawal from CAIR NOX Annual Trading Program.
Except as provided under paragraph (g) of this section, a CAIR
NOX opt-in unit may withdraw from the CAIR NOX
Annual Trading Program, but only if the permitting authority issues a
notification to the CAIR designated representative of the CAIR
NOX opt-in unit of the acceptance of the withdrawal of the
CAIR NOX opt-in unit in accordance with paragraph (d) of this
section.
(a) Requesting withdrawal. In order to withdraw a CAIR CAIR
NOX opt-in unit from the CAIR NOX Annual Trading
Program, the CAIR designated representative of the CAIR NOX
opt-in unit shall submit to the permitting authority a request to
withdraw effective as of midnight of December 31 of a specified calendar
year, which date must be at least 4 years after December 31 of the year
of entry into the CAIR NOX Annual Trading Program under Sec.
96.184(g). The request must be submitted no later than 90 days before
the requested effective date of withdrawal.
(b) Conditions for withdrawal. Before a CAIR NOX opt-in
unit covered by a request under paragraph (a) of this section may
withdraw from the CAIR NOX Annual Trading Program and the
CAIR opt-in permit may be terminated under paragraph (e) of this
section, the following conditions must be met:
(1) For the control period ending on the date on which the
withdrawal is to be effective, the source that includes the CAIR
NOX opt-in unit must meet the requirement to hold CAIR
NOX allowances under Sec.96.106(c) and cannot have any
excess emissions.
[[Page 87]]
(2) After the requirement for withdrawal under paragraph (b)(1) of
this section is met, the Administrator will deduct from the compliance
account of the source that includes the CAIR NOX opt-in unit
CAIR NOX allowances equal in amount to and allocated for the
same or a prior control period as any CAIR NOX allowances
allocated to the CAIR NOX opt-in unit under Sec.96.188 for
any control period for which the withdrawal is to be effective. If there
are no remaining CAIR NOX units at the source, the
Administrator will close the compliance account, and the owners and
operators of the CAIR NOX opt-in unit may submit a CAIR
NOX allowance transfer for any remaining CAIR NOX
allowances to another CAIR NOX Allowance Tracking System in
accordance with subpart GG of this part.
(c) Notification. (1) After the requirements for withdrawal under
paragraphs (a) and (b) of this section are met (including deduction of
the full amount of CAIR NOX allowances required), the
permitting authority will issue a notification to the CAIR designated
representative of the CAIR NOX opt-in unit of the acceptance
of the withdrawal of the CAIR NOX opt-in unit as of midnight
on December 31 of the calendar year for which the withdrawal was
requested.
(2) If the requirements for withdrawal under paragraphs (a) and (b)
of this section are not met, the permitting authority will issue a
notification to the CAIR designated representative of the CAIR
NOX opt-in unit that the CAIR NOX opt-in unit's
request to withdraw is denied. Such CAIR NOX opt-in unit
shall continue to be a CAIR NOX opt-in unit.
(d) Permit amendment. After the permitting authority issues a
notification under paragraph (c)(1) of this section that the
requirements for withdrawal have been met, the permitting authority will
revise the CAIR permit covering the CAIR NOX opt-in unit to
terminate the CAIR opt-in permit for such unit as of the effective date
specified under paragraph (c)(1) of this section. The unit shall
continue to be a CAIR NOX opt-in unit until the effective
date of the termination and shall comply with all requirements under the
CAIR NOX Annual Trading Program concerning any control
periods for which the unit is a CAIR NOX opt-in unit, even if
such requirements arise or must be complied with after the withdrawal
takes effect.
(e) Reapplication upon failure to meet conditions of withdrawal. If
the permitting authority denies the CAIR NOX opt-in unit's
request to withdraw, the CAIR designated representative may submit
another request to withdraw in accordance with paragraphs (a) and (b) of
this section.
(f) Ability to reapply to the CAIR NOX Annual Trading
Program. Once a CAIR NOX opt-in unit withdraws from the CAIR
NOX Annual Trading Program and its CAIR opt-in permit is
terminated under this section, the CAIR designated representative may
not submit another application for a CAIR opt-in permit under Sec.
96.183 for such CAIR NOX opt-in unit before the date that is
4 years after the date on which the withdrawal became effective. Such
new application for a CAIR opt-in permit will be treated as an initial
application for a CAIR opt-in permit under Sec.96.184.
(g) Inability to withdraw. Notwithstanding paragraphs (a) through
(f) of this section, a CAIR NOX opt-in unit shall not be
eligible to withdraw from the CAIR NOX Annual Trading Program
if the CAIR designated representative of the CAIR NOX opt-in
unit requests, and the permitting authority issues a CAIR NOX
opt-in permit providing for, allocation to the CAIR NOX opt-
in unit of CAIR NOX allowances under Sec.96.188(c).
[70 FR 25339, May 12, 2005, as amended at 71 FR 25385, Apr. 28, 2006]
Sec.96.187 Change in regulatory status.
(a) Notification. If a CAIR NOX opt-in unit becomes a
CAIR NOX unit under Sec.96.104, then the CAIR designated
representative shall notify in writing the permitting authority and the
Administrator of such change in the CAIR NOX opt-in unit's
regulatory status, within 30 days of such change.
(b) Permitting authority's and Administrator's actions. (1) If a
CAIR NOX opt-in unit becomes a CAIR NOX unit under
Sec.96.104, the permitting authority will revise the CAIR
NOX opt-in unit's CAIR opt-in permit to meet the requirements
[[Page 88]]
of a CAIR permit under Sec.96.123, and remove the CAIR opt-in permit
provisions, as of the date on which the CAIR NOX opt-in unit
becomes a CAIR NOX unit under Sec.96.104.
(2)(i) The Administrator will deduct from the compliance account of
the source that includes the CAIR NOX opt-in unit that
becomes a CAIR NOX unit under Sec.96.104, CAIR
NOX allowances equal in amount to and allocated for the same
or a prior control period as:
(A) Any CAIR NOX allowances allocated to the CAIR
NOX opt-in unit under Sec.96.188 for any control period
after the date on which the CAIR NOX opt-in unit becomes a
CAIR NOX unit under Sec.96.104; and
(B) If the date on which the CAIR NOX opt-in unit becomes
a CAIR NOX unit under Sec.96.104 is not December 31, the
CAIR NOX allowances allocated to the CAIR NOX opt-
in unit under Sec.96.188 for the control period that includes the date
on which the CAIR NOX opt-in unit becomes a CAIR
NOX unit under Sec.96.104, multiplied by the ratio of the
number of days, in the control period, starting with the date on which
the CAIR NOX opt-in unit becomes a CAIR NOX unit
under Sec.96.104 divided by the total number of days in the control
period and rounded to the nearest whole allowance as appropriate.
(ii) The CAIR designated representative shall ensure that the
compliance account of the source that includes the CAIR NOX
opt-in unit that becomes a CAIR NOX unit under Sec.96.104
contains the CAIR NOX allowances necessary for completion of
the deduction under paragraph (b)(2)(i) of this section.
(3)(i) For every control period after the date on which the CAIR
NOX opt-in unit becomes a CAIR NOX unit under
Sec.96.104, the CAIR NOX opt-in unit will be allocated CAIR
NOX allowances under Sec.96.142.
(ii) If the date on which the CAIR NOX opt-in unit
becomes a CAIR NOX unit under Sec.96.104 is not December
31, the following amount of CAIR NOX allowances will be
allocated to the CAIR NOX opt-in unit (as a CAIR
NOX unit) under Sec.96.142 for the control period that
includes the date on which the CAIR NOX opt-in unit becomes a
CAIR NOX unit under Sec.96.104:
(A) The amount of CAIR NOX allowances otherwise allocated
to the CAIR NOX opt-in unit (as a CAIR NOX unit)
under Sec.96.142 for the control period multiplied by;
(B) The ratio of the number of days, in the control period, starting
with the date on which the CAIR NOX opt-in unit becomes a
CAIR NOX unit under Sec.96.104, divided by the total number
of days in the control period; and
(C) Rounded to the nearest whole allowance as appropriate.
[70 FR 25339, May 12, 2005, as amended at 71 FR 25385, Apr. 28, 2006; 71
FR 74794, Dec. 13, 2006]
Sec.96.188 CAIR NOX allowance allocations to CAIR NOX opt-in units.
(a) Timing requirements. (1) When the CAIR opt-in permit is issued
under Sec.96.184(e), the permitting authority will allocate CAIR
NOX allowances to the CAIR NOX opt-in unit, and
submit to the Administrator the allocation for the control period in
which a CAIR NOX opt-in unit enters the CAIR NOX
Annual Trading Program under Sec.96.184(g), in accordance with
paragraph (b) or (c) of this section.
(2) By no later than October 31 of the control period after the
control period in which a CAIR NOX opt-in unit enters the
CAIR NOX Annual Trading Program under Sec.96.184(g) and
October 31 of each year thereafter, the permitting authority will
allocate CAIR NOX allowances to the CAIR NOX opt-
in unit, and submit to the Administrator the allocation for the control
period that includes such submission deadline and in which the unit is a
CAIR NOX opt-in unit, in accordance with paragraph (b) or (c)
of this section.
(b) Calculation of allocation. For each control period for which a
CAIR NOX opt-in unit is to be allocated CAIR NOX
allowances, the permitting authority will allocate in accordance with
the following procedures:
(1) The heat input (in mmBtu) used for calculating the CAIR
NOX allowance allocation will be the lesser of:
(i) The CAIR NOX opt-in unit's baseline heat input
determined under Sec.96.184(c); or
(ii) The CAIR NOX opt-in unit's heat input, as determined
in accordance with subpart HH of this part, for the
[[Page 89]]
immediately prior control period, except when the allocation is being
calculated for the control period in which the CAIR NOX opt-
in unit enters the CAIR NOX Annual Trading Program under
Sec.96.184(g).
(2) The NOX emission rate (in lb/mmBtu) used for
calculating CAIR NOX allowance allocations will be the lesser
of:
(i) The CAIR NOX opt-in unit's baseline NOX
emissions rate (in lb/mmBtu) determined under Sec.96.184(d) and
multiplied by 70 percent; or
(ii) The most stringent State or Federal NOX emissions
limitation applicable to the CAIR NOX opt-in unit at any time
during the control period for which CAIR NOX allowances are
to be allocated.
(3) The permitting authority will allocate CAIR NOX
allowances to the CAIR NOX opt-in unit in an amount equaling
the heat input under paragraph (b)(1) of this section, multiplied by the
NOX emission rate under paragraph (b)(2) of this section,
divided by 2,000 lb/ton, and rounded to the nearest whole allowance as
appropriate.
(c) Notwithstanding paragraph (b) of this section and if the CAIR
designated representative requests, and the permitting authority issues
a CAIR opt-in permit (based on a demonstration of the intent to repower
stated under Sec.96.183(a)(5)) providing for, allocation to a CAIR
NOX opt-in unit of CAIR NOX allowances under this
paragraph (subject to the conditions in Sec. Sec.96.184(h) and
96.186(g)), the permitting authority will allocate to the CAIR
NOX opt-in unit as follows:
(1) For each control period in 2009 through 2014 for which the CAIR
NOX opt-in unit is to be allocated CAIR NOX
allowances,
(i) The heat input (in mmBtu) used for calculating CAIR
NOX allowance allocations will be determined as described in
paragraph (b)(1) of this section.
(ii) The NOX emission rate (in lb/mmBtu) used for
calculating CAIR NOX allowance allocations will be the lesser
of:
(A) The CAIR NOX opt-in unit's baseline NOX
emissions rate (in lb/mmBtu) determined under Sec.96.184(d); or
(B) The most stringent State or Federal NOX emissions
limitation applicable to the CAIR NOX opt-in unit at any time
during the control period in which the CAIR NOX opt-in unit
enters the CAIR NOX Annual Trading Program under Sec.
96.184(g).
(iii) The permitting authority will allocate CAIR NOX
allowances to the CAIR NOX opt-in unit in an amount equaling
the heat input under paragraph (c)(1)(i) of this section, multiplied by
the NOX emission rate under paragraph (c)(1)(ii) of this
section, divided by 2,000 lb/ton, and rounded to the nearest whole
allowance as appropriate.
(2) For each control period in 2015 and thereafter for which the
CAIR NOX opt-in unit is to be allocated CAIR NOX
allowances,
(i) The heat input (in mmBtu) used for calculating the CAIR
NOX allowance allocations will be determined as described in
paragraph (b)(1) of this section.
(ii) The NOX emission rate (in lb/mmBtu) used for
calculating the CAIR NOX allowance allocation will be the
lesser of:
(A) 0.15 lb/mmBtu;
(B) The CAIR NOX opt-in unit's baseline NOX
emissions rate (in lb/mmBtu) determined under Sec.96.184(d); or
(C) The most stringent State or Federal NOX emissions
limitation applicable to the CAIR NOX opt-in unit at any time
during the control period for which CAIR NOX allowances are
to be allocated.
(iii) The permitting authority will allocate CAIR NOX
allowances to the CAIR NOX opt-in unit in an amount equaling
the heat input under paragraph (c)(2)(i) of this section, multiplied by
the NOX emission rate under paragraph (c)(2)(ii) of this
section, divided by 2,000 lb/ton, and rounded to the nearest whole
allowance as appropriate.
(d) Recordation. (1) The Administrator will record, in the
compliance account of the source that includes the CAIR NOX
opt-in unit, the CAIR NOX allowances allocated by the
permitting authority to the CAIR NOX opt-in unit under
paragraph (a)(1) of this section.
(2) By December 1 of the control period in which a CAIR
NOX opt-in unit
[[Page 90]]
enters the CAIR NOX Annual Trading Program under Sec.
96.184(g) and December 1 of each year thereafter, the Administrator will
record, in the compliance account of the source that includes the CAIR
NOX opt-in unit, the CAIR NOX allowances allocated
by the permitting authority to the CAIR NOX opt-in unit under
paragraph (a)(2) of this section.
[70 FR 25339, May 12, 2005, as amended at 71 FR 25385, Apr. 28, 2006]
Subparts JJ-ZZ [Reserved]
Subpart AAA_CAIR SO 2 Trading Program General Provisions
Source: 70 FR 25362, May 12, 2005, unless otherwise noted.
Sec.96.201 Purpose.
This subpart and subparts BBB through III establish the model rule
comprising general provisions and the designated representative,
permitting, allowance, monitoring, and opt-in provisions for the State
Clean Air Interstate Rule (CAIR) SO2 Trading Program, under
section 110 of the Clean Air Act and Sec.51.124 of this chapter, as a
means of mitigating interstate transport of fine particulates and sulfur
dioxide. The owner or operator of a unit or a source shall comply with
the requirements of this subpart and subparts BBB through III as a
matter of federal law only if the State with jurisdiction over the unit
and the source incorporates by reference such subparts or otherwise
adopts the requirements of such subparts in accordance with Sec.
51.124(o)(1) or (2) of this chapter, the State submits to the
Administrator one or more revisions of the State implementation plan
that include such adoption, and the Administrator approves such
revisions. If the State adopts the requirements of such subparts in
accordance with Sec.51.124(o)(1) or (2) of this chapter, then the
State authorizes the Administrator to assist the State in implementing
the CAIR SO2 Trading Program by carrying out the functions
set forth for the Administrator in such subparts.
Sec.96.202 Definitions.
The terms used in this subpart and subparts BBB through III shall
have the meanings set forth in this section as follows:
Account number means the identification number given by the
Administrator to each CAIR SO2 Allowance Tracking System
account.
Acid Rain emissions limitation means a limitation on emissions of
sulfur dioxide or nitrogen oxides under the Acid Rain Program.
Acid Rain Program means a multi-state sulfur dioxide and nitrogen
oxides air pollution control and emission reduction program established
by the Administrator under title IV of the CAA and parts 72 through 78
of this chapter.
Administrator means the Administrator of the United States
Environmental Protection Agency or the Administrator's duly authorized
representative.
Allocate or allocation means, with regard to CAIR SO2
allowances issued under the Acid Rain Program, the determination by the
Administrator of the amount of such CAIR SO2 allowances to be
initially credited to a CAIR SO2 unit or other entity and,
with regard to CAIR SO2 allowances issued under provisions of
a State implementation plan that are approved under Sec.51.124(o)(1)
or (2) or (r) of this chapter or Sec.97.288 of this chapter, the
determination by a permitting authority of the amount of such CAIR
SO2 allowances to be initially credited to a CAIR
SO2 unit or other entity.
Allowance transfer deadline means, for a control period, midnight of
March 1 (if it is a business day), or midnight of the first business day
thereafter (if March 1 is not a business day), immediately following the
control period and is the deadline by which a CAIR SO2
allowance transfer must be submitted for recordation in a CAIR
SO2 source's compliance account in order to be used to meet
the source's CAIR SO2 emissions limitation for such control
period in accordance with Sec.96.254.
Alternate CAIR designated representative means, for a CAIR
SO2 source and each CAIR SO2 unit at the source,
the natural person who is authorized by the owners and operators of the
source
[[Page 91]]
and all such units at the source, in accordance with subparts BBB and
III of this part, to act on behalf of the CAIR designated representative
in matters pertaining to the CAIR SO2 Trading Program. If the
CAIR SO2 source is also a CAIR NOX source, then
this natural person shall be the same person as the alternate CAIR
designated representative under the CAIR NOX Annual Trading
Program. If the CAIR SO2 source is also a CAIR NOX
Ozone Season source, then this natural person shall be the same person
as the alternate CAIR designated representative under the CAIR
NOX Ozone Season Trading Program. If the CAIR SO2
source is also subject to the Acid Rain Program, then this natural
person shall be the same person as the alternate designated
representative under the Acid Rain Program. If the CAIR SO2
source is also subject to the Hg Budget Trading Program, then this
natural person shall be the same person as the alternate Hg designated
representative under the Hg Budget Trading Program.
Automated data acquisition and handling system or DAHS means that
component of the continuous emission monitoring system, or other
emissions monitoring system approved for use under subpart HHH of this
part, designed to interpret and convert individual output signals from
pollutant concentration monitors, flow monitors, diluent gas monitors,
and other component parts of the monitoring system to produce a
continuous record of the measured parameters in the measurement units
required by subpart HHH of this part.
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
nonmerchantable material, and that is;
(i) A forest-related organic resource, including mill residues,
precommercial thinnings, slash, brush, or byproduct from conversion of
trees to merchantable material; or
(ii) A wood material, including pallets, crates, dunnage,
manufacturing and construction materials (other than pressure-treated,
chemically-treated, or painted wood products), and landscape or right-
of-way tree trimmings.
Boiler means an enclosed fossil- or other-fuel-fired combustion
device used to produce heat and to transfer heat to recirculating water,
steam, or other medium.
Bottoming-cycle cogeneration unit means a cogeneration unit in which
the energy input to the unit is first used to produce useful thermal
energy and at least some of the reject heat from the useful thermal
energy application or process is then used for electricity production.
CAIR authorized account representative means, with regard to a
general account, a responsible natural person who is authorized, in
accordance with subparts BBB, FFF, and III of this part, to transfer and
otherwise dispose of CAIR SO2 allowances held in the general
account and, with regard to a compliance account, the CAIR designated
representative of the source.
CAIR designated representative means, for a CAIR SO2
source and each CAIR SO2 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 subparts BBB and III of
this part, to represent and legally bind each owner and operator in
matters pertaining to the CAIR SO2 Trading Program. If the
CAIR SO2 source is also a CAIR NOX source, then
this natural person shall be the same person as the CAIR designated
representative under the CAIR NOX Annual Trading Program. If
the CAIR SO2 source is also a CAIR NOX Ozone
Season source, then this natural person shall be the same person as the
CAIR designated representative under the CAIR NOX Ozone
Season Trading Program. If the CAIR SO2 source is also
subject to the Acid Rain Program, then this natural person shall be the
same person as the designated representative under the Acid Rain
Program. If the CAIR SO2 source is also subject to the Hg
Budget Trading Program, then this natural person
[[Page 92]]
shall be the same person as the Hg designated representative under the
Hg Budget Trading Program.
CAIR NO X Annual Trading Program means a multi-state
nitrogen oxides air pollution control and emission reduction program
approved and administered by the Administrator in accordance with
subparts AA through II of this part and Sec.51.123(o)(1) or (2) of
this chapter or established by the Administrator in accordance with
subparts AA through II of part 97 of this chapter and Sec. Sec.
51.123(p) and 52.35 of this chapter, as a means of mitigating interstate
transport of fine particulates and nitrogen oxides.
CAIR NOX Ozone Season source means a source that includes one or
more CAIR NOX Ozone Season units.
CAIR NOX Ozone Season Trading Program means a multi-state nitrogen
oxides air pollution control and emission reduction program approved and
administered by the Administrator in accordance with subparts AAAA
through IIII of this part and Sec.51.123(aa)(1) or (2) (and (bb)(1)),
(bb)(2), or (dd) of this chapter or established by the Administrator in
accordance with subparts AA through II of part 97 of this chapter and
Sec. Sec.51.123(p) and 52.35 of this chapter, as a means of mitigating
interstate transport of ozone and nitrogen oxides.
CAIR NOX source means a source that is subject to the CAIR
NOX Ozone Season Trading Program.
CAIR permit means the legally binding and federally enforceable
written document, or portion of such document, issued by the permitting
authority under subpart CCC of this part, including any permit
revisions, specifying the CAIR SO2 Trading Program
requirements applicable to a CAIR SO2 source, to each CAIR
SO2 unit at the source, and to the owners and operators and
the CAIR designated representative of the source and each such unit.
CAIR SO2 allowance means a limited authorization issued by the
Administrator under the Acid Rain Program, or by a permitting authority
under provisions of a State implementation plan that are approved under
Sec.51.124(o)(1) or (2) or (r) of this chapter or Sec.97.288 of this
chapter,'', by designating the last sentence of the definition as
paragraph (4), and by revising in paragraph (4) the words ``(Program or
under the provisions of a State implementation plan that is approved
under Sec.51.124(o)(1) or (2) of this chapter'' to read ``(Program,
provisions of a State implementation plan that are approved under Sec.
51.124(o)(1) or (2) or (r) of this chapter, or Sec.97.288 of this
chapter, to emit sulfur dioxide during the control period of the
specified calendar year for which the authorization is allocated or of
any calendar year thereafter under the CAIR SO2 Trading
Program as follows:
(1) For one CAIR SO2 allowance allocated for a control
period in a year before 2010, one ton of sulfur dioxide, except as
provided in Sec.96.254(b);
(2) For one CAIR SO2 allowance allocated for a control
period in 2010 through 2014, 0.50 ton of sulfur dioxide, except as
provided in Sec.96.254(b); and
(3) For one CAIR SO2 allowance allocated for a control
period in 2015 or later, 0.35 ton of sulfur dioxide, except as provided
in Sec.96.254(b).
An authorization to emit sulfur dioxide that is not issued under the
Acid Rain Program or under the provisions of a State implementation plan
that is approved under Sec.51.124(o)(1) or (2) of this chapter shall
not be a CAIR SO2 allowance.
CAIR SO2 allowance deduction or deduct CAIR SO2 allowances means the
permanent withdrawal of CAIR SO2 allowances by the
Administrator from a compliance account, e.g., in order to account for a
specified number of tons of total sulfur dioxide emissions from all CAIR
SO2 units at a CAIR SO2 source for a control
period, determined in accordance with subpart HHH of this part, or to
account for excess emissions.
CAIR SO2 Allowance Tracking System means the system by which the
Administrator records allocations, deductions, and transfers of CAIR
SO2 allowances under the CAIR SO2 Trading Program.
This is the same system as the Allowance Tracking System under Sec.
72.2 of this chapter by which the Administrator records allocations,
deduction, and transfers of Acid Rain SO2 allowances under
the Acid Rain Program.
CAIR SO2 Allowance Tracking System account means an account in the
CAIR
[[Page 93]]
SO2 Allowance Tracking System established by the
Administrator for purposes of recording the allocation, holding,
transferring, or deducting of CAIR SO2 allowances. Such
allowances will be allocated, held, deducted, or transferred only as
whole allowances.
CAIR SO2 allowances held or hold CAIR SO2 allowances means the CAIR
SO2 allowances recorded by the Administrator, or submitted to
the Administrator for recordation, in accordance with subparts FFF, GGG,
and III of this part or part 73 of this chapter, in a CAIR
SO2 Allowance Tracking System account.
CAIR SO2 emissions limitation means, for a CAIR SO2
source, the tonnage equivalent, in SO2 emissions in a control
period, of the CAIR SO2 allowances available for deduction
for the source under Sec.96.254(a) and (b) for the control period.
CAIR SO2 source means a source that includes one or more CAIR
SO2 units.
CAIR SO2 Trading Program means a multi-state sulfur dioxide air
pollution control and emission reduction program approved and
administered by the Administrator in accordance with subparts AAA
through III of this part and Sec.51.124(o)(1) or (2) of this chapter
or established by the Administrator in accordance with subparts AAA
through III of part 97 of this chapter and Sec. Sec.51.124(r) and
52.36 of this chapter, as a means of mitigating interstate transport of
fine particulates and sulfur dioxide.
CAIR SO2 unit means a unit that is subject to the CAIR
SO2 Trading Program under Sec.96.204 and, except for
purposes of Sec.96.205, a CAIR SO2 opt-in unit under
subpart III of this part.
Clean Air Act or CAA means the Clean Air Act, 42 U.S.C. 7401, et
seq.
Coal means any solid fuel classified as anthracite, bituminous,
subbituminous, or lignite.
Coal-derived fuel means any fuel (whether in a solid, liquid, or
gaseous state) produced by the mechanical, thermal, or chemical
processing of coal.
Coal-fired means combusting any amount of coal or coal-derived fuel,
alone, or in combination with any amount of any other fuel.
Cogeneration unit means a stationary, fossil-fuel-fired boiler or
stationary, fossil-fuel-fired combustion turbine:
(1) Having equipment used to produce electricity and useful thermal
energy for industrial, commercial, heating, or cooling purposes through
the sequential use of energy; and
(2) Producing during the 12-month period starting on the date the
unit first produces electricity and during any calendar year after the
calendar year in which the unit first produces electricity--
(i) For a topping-cycle cogeneration unit,
(A) Useful thermal energy not less than 5 percent of total energy
output; and
(B) Useful power that, when added to one-half of useful thermal
energy produced, is not less then 42.5 percent of total energy input, if
useful thermal energy produced is 15 percent or more of total energy
output, or not less than 45 percent of total energy input, if useful
thermal energy produced is less than 15 percent of total energy output.
(ii) For a bottoming-cycle cogeneration unit, useful power not less
than 45 percent of total energy input;
(3) Provided that the total energy input under paragraphs (2)(i)(B)
and (2)(ii) of this definition shall equal the unit's total energy input
from all fuel except biomass if the unit is a boiler.
Combustion turbine means:
(1) An enclosed device comprising 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 enclosed device under paragraph (1) of this definition is
combined cycle, 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 Sec.96.205 and Sec.96.284(h).
(i) For a unit that is a CAIR SO2 unit under Sec.96.204
on the later of November 15, 1990 or the date the unit commences
commercial operation as defined in
[[Page 94]]
paragraph (1) of this definition and that subsequently undergoes a
physical change (other than replacement of the unit by a unit at the
same source), such date shall remain the date of commencement of
commercial operation of the unit, which shall continue to be treated as
the same unit.
(ii) For a unit that is a CAIR SO2 unit under Sec.
96.204 on the later of November 15, 1990 or the date the unit commences
commercial operation as defined in paragraph (1) of this definition and
that is subsequently replaced by a unit at the same source (e.g.,
repowered), 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 Sec.96.205, for a unit that is not a CAIR SO2
unit under Sec.96.204 on the later of November 15, 1990 or the date
the unit commences commercial operation as defined in paragraph (1) of
this definition, the unit's date for commencement of commercial
operation shall be the date on which the unit becomes a CAIR
SO2 unit under Sec.96.204.
(i) For a unit with a date for commencement of commercial operation
as defined in paragraph (2) of this definition and that subsequently
undergoes a physical change (other than replacement of the unit by a
unit at the same source), such date shall remain the date of
commencement of commercial operation of the unit, which shall continue
to be treated as the same unit.
(ii) For a unit with a date for commencement of commercial operation
as defined in paragraph (2) of this definition and that is subsequently
replaced by a unit at the same source (e.g., repowered), such date shall
remain the replaced unit's date of commencement of commercial operation,
and the replacement unit shall be treated as a separate unit with a
separate date for commencement of commercial operation as defined in
paragraph (1) or (2) of this definition as appropriate.
Commence operation means:
(1) To have begun any mechanical, chemical, or electronic process,
including, with regard to a unit, start-up of a unit's combustion
chamber, except as provided in Sec.96.284(h).
(2) For a unit that undergoes a physical change (other than
replacement of the unit by a unit at the same source) after the date the
unit commences operation as defined in paragraph (1) of this definition,
such date shall remain the date of commencement of operation of the
unit, which shall continue to be treated as the same unit.
(3) For a unit that is replaced by a unit at the same source (e.g.,
repowered) after the date the unit commences operation as defined in
paragraph (1) of this definition, such date shall remain the replaced
unit's date of commencement of operation, and the replacement unit shall
be treated as a separate unit with a separate date for commencement of
operation as defined in paragraph (1), (2), or (3) of this definition as
appropriate, except as provided in (96.284(h).
Compliance account means a CAIR SO2 Allowance Tracking
System account, established by the Administrator for a CAIR
SO2 source subject to an Acid Rain emissions limitations
under Sec.73.31(a) or (b) of this chapter or for any other CAIR
SO2 source under subpart FFF or III of this part, in which
any CAIR SO2 allowance allocations for the CAIR
SO2 units at the source are initially recorded and in which
are held any CAIR SO2 allowances available for use for a
control period in order to meet the source's CAIR SO2
emissions limitation in accordance with Sec.96.254.
Continuous emission monitoring system or CEMS means the equipment
required under subpart HHH of this part to sample, analyze, measure, and
provide, by means of readings recorded at least once every 15 minutes
(using an automated data acquisition and handling system (DAHS)), a
permanent record of sulfur dioxide emissions, stack gas volumetric flow
rate, stack gas moisture content, and oxygen or carbon dioxide
concentration (as applicable), in a manner consistent with part 75 of
this chapter. The following systems are the principal types of
continuous emission monitoring systems required under subpart HHH of
this part:
[[Page 95]]
(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 sulfur dioxide monitoring system, consisting of a
SO2 pollutant concentration monitor and an automated data
acquisition handling system and providing a permanent, continuous record
of SO2 emissions, in parts per million (ppm);
(3) A moisture monitoring system, as defined in Sec.75.11(b)(2) of
this chapter and providing a permanent, continuous record of the stack
gas moisture content, in percent H2O;
(4) A carbon dioxide monitoring system, consisting of a
CO2 pollutant concentration monitor (or an oxygen monitor
plus suitable mathematical equations from which the CO2
concentration is derived) and an automated data acquisition and handling
system and providing a permanent, continuous record of CO2
emissions, in percent CO2; and
(5) An oxygen monitoring system, consisting of an O2
concentration monitor and an automated data acquisition and handling
system and providing a permanent, continuous record of O2 in
percent O2.
Control period means the period beginning January 1 of a calendar
year, except as provided in Sec.96.206(c)(2), and ending on December
31 of the same year, inclusive.
Emissions means air pollutants exhausted from a unit or source into
the atmosphere, as measured, recorded, and reported to the Administrator
by the CAIR designated representative and as determined by the
Administrator in accordance with subpart HHH of this part.
Excess emissions means any ton, or portion of a ton, of sulfur
dioxide emitted by the CAIR SO2 units at a CAIR
SO2 source during a control period that exceeds the CAIR
SO2 emissions limitation for the source, provided that any
portion of a ton of excess emissions shall be treated as one ton of
excess emissions.
Fossil fuel means natural gas, petroleum, coal, or any form of
solid, liquid, or gaseous fuel derived from such material.
Fossil-fuel-fired means, with regard to a unit, combusting any
amount of fossil fuel in any calendar year.
General account means a CAIR SO2 Allowance Tracking
System account, established under subpart FFF of this part, that is not
a compliance account.
Generator means a device that produces electricity.
Heat input means, with regard to a specified period of time, the
product (in mmBtu/time) of the gross calorific value of the fuel (in
Btu/lb) divided by 1,000,000 Btu/mmBtu and multiplied by the fuel feed
rate into a combustion device (in lb of fuel/time), as measured,
recorded, and reported to the Administrator by the CAIR designated
representative and determined by the Administrator in accordance with
subpart HHH of this part and excluding the heat derived from preheated
combustion air, recirculated flue gases, or exhaust from other sources.
Heat input rate means the amount of heat input (in mmBtu) divided by
unit operating time (in hr) or, with regard to a specific fuel, the
amount of heat input attributed to the fuel (in mmBtu) divided by the
unit operating time (in hr) during which the unit combusts the fuel.
Hg Budget Trading Program means a multi-state Hg air pollution
control and emission reduction program approved and administered by the
Administrator in accordance subpart HHHH of part 60 of this chapter and
Sec.60.24(h)(6), or established by the Administrator under section 111
of the Clean Air Act, as a means of reducing national Hg emissions.
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
[[Page 96]]
(3) For a period no less than 25 years or 70 percent of the economic
useful life of the unit determined as of the time the unit is built,
with option rights to purchase or release some portion of the nameplate
capacity and associated energy generated by the unit at the end of the
period.
Maximum design heat input means the maximum amount of fuel per hour
(in Btu/hr) that a unit is capable of combusting on a steady state basis
as of the initial installation of the unit as specified by the
manufacturer of the unit.
Monitoring system means any monitoring system that meets the
requirements of subpart HHH of this part, including a continuous
emissions monitoring system, an alternative monitoring system, or an
excepted monitoring system under part 75 of this chapter.
Most stringent State or Federal SO2 emissions limitation
means, with regard to a unit, the lowest SO2 emissions
limitation (in terms of lb/mmBtu) that is applicable to the unit under
State or Federal law, regardless of the averaging period to which the
emissions limitation applies.
Nameplate capacity means, starting from the initial installation of
a generator, the maximum electrical generating output (in MWe) that the
generator is capable of producing on a steady state basis and during
continuous operation (when not restricted by seasonal or other
deratings) as of such installation as specified by the manufacturer of
the generator or, starting from the completion of any subsequent
physical change in the generator resulting in an increase in the maximum
electrical generating output (in MWe) that the generator is capable of
producing on a steady state basis and during continuous operation (when
not restricted by seasonal or other deratings), such increased maximum
amount as of such completion as specified by the person conducting the
physical change.
Operator means any person who operates, controls, or supervises a
CAIR SO2 unit or a CAIR SO2 source and shall
include, but not be limited to, any holding company, utility system, or
plant manager of such a unit or source.
Owner means any of the following persons:
(1) With regard to a CAIR SO2 source or a CAIR
SO2 unit at a source, respectively:
(i) Any holder of any portion of the legal or equitable title in a
CAIR SO2 unit at the source or the CAIR SO2 unit;
(ii) Any holder of a leasehold interest in a CAIR SO2
unit at the source or the CAIR SO2 unit; or
(iii) Any purchaser of power from a CAIR SO2 unit at the
source or the CAIR SO2 unit under a life-of-the-unit, firm
power contractual arrangement; 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 CAIR SO2 unit; or
(2) With regard to any general account, any person who has an
ownership interest with respect to the CAIR SO2 allowances
held in the general account and who is subject to the binding agreement
for the CAIR authorized account representative to represent the person's
ownership interest with respect to CAIR SO2 allowances.
Permitting authority means the State air pollution control agency,
local agency, other State agency, or other agency authorized by the
Administrator to issue or revise permits to meet the requirements of the
CAIR SO2 Trading Program or, if no such agency has been so
authorized, the Administrator.
Potential electrical output capacity means 33 percent of a unit's
maximum design heat input, divided by 3,413 Btu/kWh, divided by 1,000
kWh/MWh, and multiplied by 8,760 hr/yr.
Receive or receipt of means, when referring to the permitting
authority or the Administrator, to come into possession of a document,
information, or correspondence (whether sent in hard copy or by
authorized electronic transmission), as indicated in an official log, or
by a notation made on the document, information, or correspondence,
[[Page 97]]
by the permitting authority or the Administrator in the regular course
of business.
Recordation, record, or recorded means, with regard to CAIR
SO2 allowances, the movement of CAIR SO2
allowances by the Administrator into or between CAIR SO2
Allowance Tracking System accounts, for purposes of allocation,
transfer, or deduction.
Reference method means any direct test method of sampling and
analyzing for an air pollutant as specified in Sec.75.22 of this
chapter.
Replacement, replace, or replaced means, with regard to a unit, the
demolishing of a unit, or the permanent shutdown and permanent disabling
of a unit, and the construction of another unit (the replacement unit)
to be used instead of the demolished or shutdown unit (the replaced
unit).
Repowered means, with regard to a unit, replacement of a coal-fired
boiler with one of the following coal-fired technologies at the same
source as the coal-fired boiler:
(1) Atmospheric or pressurized fluidized bed combustion;
(2) Integrated gasification combined cycle;
(3) Magnetohydrodynamics;
(4) Direct and indirect coal-fired turbines;
(5) Integrated gasification fuel cells; or
(6) As determined by the Administrator in consultation with the
Secretary of Energy, a derivative of one or more of the technologies
under paragraphs (1) through (5) of this definition and any other coal-
fired technology capable of controlling multiple combustion emissions
simultaneously with improved boiler or generation efficiency and with
significantly greater waste reduction relative to the performance of
technology in widespread commercial use as of January 1, 2005.
Serial number means, for a CAIR SO2 allowance, the unique
identification number assigned to each CAIR SO2 allowance by
the Administrator.
Sequential use of energy means:
(1) For a topping-cycle cogeneration unit, the use of reject heat
from electricity production in a useful thermal energy application or
process; or
(2) For a bottoming-cycle cogeneration unit, the use of reject heat
from useful thermal energy application or process in electricity
production.
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. For purposes of section 502(c) of the Clean
Air Act, a ``source,'' including a ``source'' with multiple units, shall
be considered a single ``facility.''
State means one of the States or the District of Columbia that
adopts the CAIR SO2 Trading Program pursuant to Sec.51.124
(o)(1) or (2) 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.
Compliance with any ``submission'' or ``service'' deadline shall be
determined by the date of dispatch, transmission, or mailing and not the
date of receipt.
Title V operating permit means a permit issued under title V of the
Clean Air Act and part 70 or part 71 of this chapter.
Title V operating permit regulations means the regulations that the
Administrator has approved or issued as meeting the requirements of
title V of the Clean Air Act and part 70 or 71 of this chapter.
Ton means 2,000 pounds. For the purpose of determining compliance
with the CAIR SO2 emissions limitation, total tons of sulfur
dioxide emissions for a control period shall be calculated as the sum of
all recorded hourly emissions (or the mass equivalent of the recorded
hourly emission rates) in accordance with subpart HHH of this part, but
with any remaining fraction of a ton equal to or greater than 0.50 tons
deemed to equal one ton and any
[[Page 98]]
remaining fraction of a ton less than 0.50 tons deemed to equal zero
tons.
Topping-cycle cogeneration unit means a cogeneration unit in which
the energy input to the unit is first used to produce useful power,
including electricity, and at least some of the reject heat from the
electricity production is then used to provide useful thermal energy.
Total energy input means, with regard to a cogeneration unit, total
energy of all forms supplied to the cogeneration unit, excluding energy
produced by the cogeneration unit itself. 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 fuel in Btu/lb,
HHV = higher heating value of fuel in Btu/lb,
W = Weight % of moisture in fuel, and
H = Weight % of hydrogen in fuel.
Total energy output means, with regard to a cogeneration unit, the
sum of useful power and useful thermal energy produced by the
cogeneration unit.
Unit means a stationary, fossil-fuel-fired boiler or combustion
turbine or other stationary, fossil-fuel-fired combustion device.
Unit operating day means a calendar day in which a unit combusts any
fuel.
Unit operating hour or hour of unit operation means an hour in which
a unit combusts any fuel.
Useful power means, with regard to a cogeneration unit, electricity
or mechanical energy made 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, with regard to a cogeneration unit,
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., thermal energy used
by 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.
[70 FR 25362, May 12, 2005, as amended at 71 FR 25385, Apr. 28, 2006; 71
FR 74794, Dec. 13, 2006; 72 FR 59206, Oct. 19, 2007]
Editorial Notes: 1. At 71 FR 25386, Apr. 28, 2006, Sec.96.202 was
amended in the definition of ``CAIR NOX Ozone Season
source'', by revising the words ``includes one or more CAIR
NOX Ozone Season unit'' to read ``is subject to the CAIR
NOX Ozone Season Trading Program''; however, those words do
not exist in this section and the amendment could not be incorporated.
2. At 71 FR 74794, Dec. 13, 2006, Sec.96.202 was amended in the
definition of ``CAIR SO2 allowance'' in paragraph (4), by
revising the words ``(Program, provisions'' to read ``Program,
provisions''; however, paragraph (4) does not exist in this section and
the amendment could not be incorporated.
Sec.96.203 Measurements, abbreviations, and acronyms.
Measurements, abbreviations, and acronyms used in this subpart and
subparts BBB through III are defined as follows:
Btu--British thermal unit
CO2--carbon dioxide
H2O--water
Hg--mercury
hr--hour
kW--kilowatt electrical
kWh--kilowatt hour
lb--pound
mmBtu--million Btu
MWe--megawatt electrical
MWh--megawatt hour
NOX--nitrogen oxides
O2--oxygen
ppm--parts per million
scfh--standard cubic feet per hour
SO2--sulfur dioxide
yr--year
[71 FR 25387, Apr. 28, 2006]
Sec.96.204 Applicability.
(a) Except as provided in paragraph (b) of this section:
(1) The following units in a State shall be CAIR SO2
units, and any source that includes one or more such units shall be a
CAIR SO2 source, subject to the requirements of this subpart
[[Page 99]]
and subparts BBB through HHH of this part: any stationary, fossil-fuel-
fired boiler or stationary, fossil-fuel-fired combustion turbine serving
at any time, since the later of November 15, 1990 or the start-up of the
unit's combustion chamber, a generator with nameplate capacity of more
than 25 MWe producing electricity for sale.
(2) If a stationary boiler or stationary combustion turbine that,
under paragraph (a)(1) of this section, is not a CAIR SO2
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 CAIR SO2 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) The units in a State that meet the requirements set forth in
paragraph (b)(1)(i), (b)(2)(i), or (b)(2)(ii) of this section shall not
be CAIR SO2 units:
(1)(i) Any unit that is a CAIR SO2 unit under paragraph
(a)(1) or (2) of this section:
(A) Qualifying as a cogeneration unit during the 12-month period
starting on the date the unit first produces electricity and continuing
to qualify as a cogeneration unit; and
(B) Not serving at any time, since the later of November 15, 1990 or
the start-up of the unit's combustion chamber, a generator with
nameplate capacity of more than 25 MWe supplying in any calendar year
more than one-third of the unit's potential electric output capacity or
219,000 MWh, whichever is greater, to any utility power distribution
system for sale.
(ii) If a unit qualifies as a cogeneration unit during the 12-month
period starting on the date the unit first produces electricity and
meets the requirements of paragraphs (b)(1)(i) of this section for at
least one calendar year, but subsequently no longer meets all such
requirements, the unit shall become a CAIR SO2 unit starting
on the earlier of January 1 after the first calendar year during which
the unit first no longer qualifies as a cogeneration unit or January 1
after the first calendar year during which the unit no longer meets the
requirements of paragraph (b)(1)(i)(B) of this section.
(2)(i) Any unit that is a CAIR SO2 unit under paragraph
(a)(1) or (2) of this section commencing operation before January 1,
1985:
(A) Qualifying as a solid waste incineration unit; and
(B) With an average annual fuel consumption of non-fossil fuel for
1985-1987 exceeding 80 percent (on a Btu basis) and an average annual
fuel consumption of non-fossil fuel for any 3 consecutive calendar years
after 1990 exceeding 80 percent (on a Btu basis).
(ii) Any unit that is a CAIR SO2 unit under paragraph
(a)(1) or (2) of this section commencing operation on or after January
1, 1985:
(A) Qualifying as a solid waste incineration unit; and
(B) With an average annual fuel consumption of non-fossil fuel for
the first 3 calendar years of operation exceeding 80 percent (on a Btu
basis) and an average annual fuel consumption of non-fossil fuel for any
3 consecutive calendar years after 1990 exceeding 80 percent (on a Btu
basis).
(iii) If a unit qualifies as a solid waste incineration unit and
meets the requirements of paragraph (b)(2)(i) or (ii) of this section
for at least 3 consecutive calendar years, but subsequently no longer
meets all such requirements, the unit shall become a CAIR SO2
unit starting on the earlier of January 1 after the first calendar year
during which the unit first no longer qualifies as a solid waste
incineration unit or January 1 after the first 3 consecutive calendar
years after 1990 for which the unit has an average annual fuel
consumption of fossil fuel of 20 percent or more.
[71 FR 25387, Apr. 28, 2006]
Sec.96.205 Retired unit exemption.
(a)(1) Any CAIR SO2 unit that is permanently retired and
is not a CAIR SO2 opt-in unit under subpart III of this part
shall be exempt from the CAIR SO2 Trading Program, except for
the provisions of this section, Sec.96.202, Sec.96.203, Sec.
96.204, Sec.96.206(c)(4) through (7), Sec.96.207, Sec.96.208, and
subparts BBB, FFF, and GGG of this part.
[[Page 100]]
(2) The exemption under paragraph (a)(1) of this section shall
become effective the day on which the CAIR SO2 unit is
permanently retired. Within 30 days of the unit's permanent retirement,
the CAIR designated representative shall submit a statement to the
permitting authority otherwise responsible for administering any CAIR
permit for the unit and shall submit a copy of the statement to the
Administrator. The statement shall state, in a format prescribed by the
permitting authority, that the unit was permanently retired on a
specific date and will comply with the requirements of paragraph (b) of
this section.
(3) After receipt of the statement under paragraph (a)(2) of this
section, the permitting authority will amend any permit under subpart
CCC of this part covering the source at which the unit is located to add
the provisions and requirements of the exemption under paragraphs (a)(1)
and (b) of this section.
(b) Special provisions. (1) A unit exempt under paragraph (a) of
this section shall not emit any sulfur dioxide, starting on the date
that the exemption takes effect.
(2) For a period of 5 years from the date the records are created,
the owners and operators of a unit exempt under paragraph (a) of this
section shall retain, at the source that includes the unit, records
demonstrating that the unit is permanently retired. The 5-year period
for keeping records may be extended for cause, at any time before the
end of the period, in writing by the permitting authority or 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 CAIR
designated representative of a unit exempt under paragraph (a) of this
section shall comply with the requirements of the CAIR SO2
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 and located at
a source that is required, or but for this exemption would be required,
to have a title V operating permit shall not resume operation unless the
CAIR designated representative of the source submits a complete CAIR
permit application under Sec.96.222 for the unit not less than 18
months (or such lesser time provided by the permitting authority) before
the later of January 1, 2010 or the date on which the unit resumes
operation.
(5) On the earlier of the following dates, a unit exempt under
paragraph (a) of this section shall lose its exemption:
(i) The date on which the CAIR designated representative submits a
CAIR permit application for the unit under paragraph (b)(4) of this
section;
(ii) The date on which the CAIR designated representative is
required under paragraph (b)(4) of this section to submit a CAIR permit
application for the unit; or
(iii) The date on which the unit resumes operation, if the CAIR
designated representative is not required to submit a CAIR permit
application for the unit.
(6) For the purpose of applying monitoring, reporting, and
recordkeeping requirements under subpart HHH of this part, a unit that
loses its exemption under paragraph (a) of this section shall be treated
as a unit that commences commercial operation on the first date on which
the unit resumes operation.
[70 FR 25362, May 12, 2005, as amended at 71 FR 25388, Apr. 28, 2006]
Sec.96.206 Standard requirements.
(a) Permit requirements. (1) The CAIR designated representative of
each CAIR SO2 source required to have a title V operating
permit and each CAIR SO2 unit required to have a title V
operating permit at the source shall:
(i) Submit to the permitting authority a complete CAIR permit
application under Sec.96.222 in accordance with the deadlines
specified in Sec.96.221; and
(ii) Submit in a timely manner any supplemental information that the
permitting authority determines is necessary in order to review a CAIR
permit application and issue or deny a CAIR permit.
(2) The owners and operators of each CAIR SO2 source
required to have a
[[Page 101]]
title V operating permit and each CAIR SO2 unit required to
have a title V operating permit at the source shall have a CAIR permit
issued by the permitting authority under subpart CCC of this part for
the source and operate the source and the unit in compliance with such
CAIR permit.
(3) Except as provided in subpart III of this part, the owners and
operators of a CAIR SO2 source that is not otherwise required
to have a title V operating permit and each CAIR SO2 unit
that is not otherwise required to have a title V operating permit are
not required to submit a CAIR permit application, and to have a CAIR
permit, under subpart CCC of this part for such CAIR SO2
source and such CAIR SO2 unit.
(b) Monitoring, reporting, and recordkeeping requirements. (1) The
owners and operators, and the CAIR designated representative, of each
CAIR SO2 source and each CAIR SO2 unit at the
source shall comply with the monitoring, reporting, and recordkeeping
requirements of subpart HHH of this part.
(2) The emissions measurements recorded and reported in accordance
with subpart HHH of this part shall be used to determine compliance by
each CAIR SO2 source with the CAIR SO2 emissions
limitation under paragraph (c) of this section.
(c) Sulfur dioxide emission requirements. (1) As of the allowance
transfer deadline for a control period, the owners and operators of each
CAIR SO2 source and each CAIR SO2 unit at the
source shall hold, in the source's compliance account, a tonnage
equivalent in CAIR SO2 allowances available for compliance
deductions for the control period, as determined in accordance with
Sec.96.254(a) and (b), not less than the tons of total sulfur dioxide
emissions for the control period from all CAIR SO2 units at
the source, as determined in accordance with subpart HHH of this part.
(2) A CAIR SO2 unit shall be subject to the requirements
under paragraph (c)(1) of this section for the control period starting
on the later of January 1, 2010 or the deadline for meeting the unit's
monitor certification requirements under Sec.96.270(b)(1), (2), or (5)
and for each control period thereafter.
(3) A CAIR SO2 allowance shall not be deducted, for
compliance with the requirements under paragraph (c)(1) of this section,
for a control period in a calendar year before the year for which the
CAIR SO2 allowance was allocated.
(4) CAIR SO2 allowances shall be held in, deducted from,
or transferred into or among CAIR SO2 Allowance Tracking
System accounts in accordance with subparts FFF, GGG, and III of this
part.
(5) A CAIR SO2 allowance is a limited authorization to
emit sulfur dioxide in accordance with the CAIR SO2 Trading
Program. No provision of the CAIR SO2 Trading Program, the
CAIR permit application, the CAIR permit, or an exemption under Sec.
96.205 and no provision of law shall be construed to limit the authority
of the State or the United States to terminate or limit such
authorization.
(6) A CAIR SO2 allowance does not constitute a property
right.
(7) Upon recordation by the Administrator under subpart FFF, GGG, or
III of this part, every allocation, transfer, or deduction of a CAIR
SO2 allowance to or from a CAIR SO2 source's
compliance account is incorporated automatically in any CAIR permit of
the source.
(d) Excess emissions requirements-- If a CAIR SO2 source
emits sulfur dioxide during any control period in excess of the CAIR
SO2 emissions limitation, then:
(1) The owners and operators of the source and each CAIR
SO2 unit at the source shall surrender the CAIR
SO2 allowances required for deduction under Sec.
96.254(d)(1) and pay any fine, penalty, or assessment or comply with any
other remedy imposed, for the same violations, under the Clean Air Act
or applicable State law; and
(2) Each ton of such excess emissions and each day of such control
period shall constitute a separate violation of this subpart, the Clean
Air Act, and applicable State law.
(e) Recordkeeping and reporting requirements. (1) Unless otherwise
provided, the owners and operators of the CAIR SO2 source and
each CAIR SO2 unit at the source shall keep on site at
[[Page 102]]
the source each of the following documents 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 permitting
authority or the Administrator.
(i) The certificate of representation under Sec.96.213 for the
CAIR designated representative for the source and each CAIR
SO2 unit at the source and all documents that demonstrate the
truth of the statements in the certificate of representation; provided
that the certificate and documents shall be retained on site at the
source beyond such 5-year period until such documents are superseded
because of the submission of a new certificate of representation under
Sec.96.213 changing the CAIR designated representative.
(ii) All emissions monitoring information, in accordance with
subpart HHH of this part, provided that to the extent that subpart HHH
of this part provides for a 3-year period for recordkeeping, the 3-year
period shall apply.
(iii) Copies of all reports, compliance certifications, and other
submissions and all records made or required under the CAIR
SO2 Trading Program.
(iv) Copies of all documents used to complete a CAIR permit
application and any other submission under the CAIR SO2
Trading Program or to demonstrate compliance with the requirements of
the CAIR SO2 Trading Program.
(2) The CAIR designated representative of a CAIR SO2
source and each CAIR SO2 unit at the source shall submit the
reports required under the CAIR SO2 Trading Program,
including those under subpart HHH of this part.
(f) Liability. (1) Each CAIR SO2 source and each CAIR
SO2 unit shall meet the requirements of the CAIR
SO2 Trading Program.
(2) Any provision of the CAIR SO2 Trading Program that
applies to a CAIR SO2 source or the CAIR designated
representative of a CAIR SO2 source shall also apply to the
owners and operators of such source and of the CAIR SO2 units
at the source.
(3) Any provision of the CAIR SO2 Trading Program that
applies to a CAIR SO2 unit or the CAIR designated
representative of a CAIR SO2 unit shall also apply to the
owners and operators of such unit.
(g) Effect on other authorities. No provision of the CAIR
SO2 Trading Program, a CAIR permit application, a CAIR
permit, or an exemption under Sec.96.205 shall be construed as
exempting or excluding the owners and operators, and the CAIR designated
representative, of a CAIR SO2 source or CAIR SO2
unit from compliance with any other provision of the applicable,
approved State implementation plan, a federally enforceable permit, or
the Clean Air Act.
[70 FR 25362, May 12, 2005, as amended at 71 FR 25388, Apr. 28, 2006; 71
FR 74794, Dec. 13, 2006]
Sec.96.207 Computation of time.
(a) Unless otherwise stated, any time period scheduled, under the
CAIR SO2 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
CAIR SO2 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 CAIR SO2 Trading Program, falls on a weekend or a
State or Federal holiday, the time period shall be extended to the next
business day.
Sec.96.208 Appeal procedures.
The appeal procedures for decisions of the Administrator under the
CAIR SO2 Trading Program are set forth in part 78 of this
chapter.
Subpart BBB_CAIR Designated Representative for CAIR SO2 Sources
Source: 70 FR 25362, May 12, 2005, unless otherwise noted.
Sec.96.210 Authorization and responsibilities of CAIR designated
representative.
(a) Except as provided under Sec.96.211, each CAIR SO2
source, including all CAIR SO2 units at the source, shall
have one and only one CAIR designated
[[Page 103]]
representative, with regard to all matters under the CAIR SO2
Trading Program concerning the source or any CAIR SO2 unit at
the source.
(b) The CAIR designated representative of the CAIR SO2
source shall be selected by an agreement binding on the owners and
operators of the source and all CAIR SO2 units at the source
and shall act in accordance with the certification statement in Sec.
96.213(a)(4)(iv).
(c) Upon receipt by the Administrator of a complete certificate of
representation under Sec.96.213, the CAIR designated representative of
the source shall represent and, by his or her representations, actions,
inactions, or submissions, legally bind each owner and operator of the
CAIR SO2 source represented and each CAIR SO2 unit
at the source in all matters pertaining to the CAIR SO2
Trading Program, notwithstanding any agreement between the CAIR
designated representative and such owners and operators. The owners and
operators shall be bound by any decision or order issued to the CAIR
designated representative by the permitting authority, the
Administrator, or a court regarding the source or unit.
(d) No CAIR permit will be issued, no emissions data reports will be
accepted, and no CAIR SO2 Allowance Tracking System account
will be established for a CAIR SO2 unit at a source, until
the Administrator has received a complete certificate of representation
under Sec.96.213 for a CAIR designated representative of the source
and the CAIR SO2 units at the source.
(e)(1) Each submission under the CAIR SO2 Trading Program
shall be submitted, signed, and certified by the CAIR designated
representative for each CAIR SO2 source on behalf of which
the submission is made. Each such submission shall include the following
certification statement by the CAIR 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.''
(2) The permitting authority and the Administrator will accept or
act on a submission made on behalf of owner or operators of a CAIR
SO2 source or a CAIR SO2 unit only if the
submission has been made, signed, and certified in accordance with
paragraph (e)(1) of this section.
Sec.96.211 Alternate CAIR designated representative.
(a) A certificate of representation under Sec.96.213 may designate
one and only one alternate CAIR designated representative, who may act
on behalf of the CAIR designated representative. The agreement by which
the alternate CAIR designated representative is selected shall include a
procedure for authorizing the alternate CAIR designated representative
to act in lieu of the CAIR designated representative.
(b) Upon receipt by the Administrator of a complete certificate of
representation under Sec.96.213, any representation, action, inaction,
or submission by the alternate CAIR designated representative shall be
deemed to be a representation, action, inaction, or submission by the
CAIR designated representative.
(c) Except in this section and Sec. Sec.96.202, 96.210(a) and (d),
96.212, 96.213, 96.215, 96.251, and 96.282, whenever the term ``CAIR
designated representative'' is used in subparts AAA through III of this
part, the term shall be construed to include the CAIR designated
representative or any alternate CAIR designated representative.
[70 FR 25362, May 12, 2005, as amended at 71 FR 25388, Apr. 28, 2006]
[[Page 104]]
Sec.96.212 Changing CAIR designated representative and alternate
CAIR designated representative; changes in owners and operators.
(a) Changing CAIR designated representative. The CAIR designated
representative may be changed at any time upon receipt by the
Administrator of a superseding complete certificate of representation
under Sec.96.213. Notwithstanding any such change, all
representations, actions, inactions, and submissions by the previous
CAIR designated representative before the time and date when the
Administrator receives the superseding certificate of representation
shall be binding on the new CAIR designated representative and the
owners and operators of the CAIR SO2 source and the CAIR
SO2 units at the source.
(b) Changing alternate CAIR designated representative. The alternate
CAIR designated representative may be changed at any time upon receipt
by the Administrator of a superseding complete certificate of
representation under Sec.96.213. Notwithstanding any such change, all
representations, actions, inactions, and submissions by the previous
alternate CAIR designated representative before the time and date when
the Administrator receives the superseding certificate of representation
shall be binding on the new alternate CAIR designated representative and
the owners and operators of the CAIR SO2 source and the CAIR
SO2 units at the source.
(c) Changes in owners and operators. (1) In the event an owner or
operator of a CAIR SO2 source or a CAIR SO2 unit
is not included in the list of owners and operators in the certificate
of representation under Sec.96.213, 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 CAIR
designated representative and any alternate CAIR designated
representative of the source or unit, and the decisions and orders of
the permitting authority, the Administrator, or a court, as if the owner
or operator were included in such list.
(2) Within 30 days following any change in the owners and operators
of a CAIR SO2 source or a CAIR SO2 unit, including
the addition of a new owner or operator, the CAIR designated
representative or any alternate CAIR designated representative shall
submit a revision to the certificate of representation under Sec.
96.213 amending the list of owners and operators to include the change.
[70 FR 25362, May 12, 2005, as amended at 71 FR 25388, Apr. 28, 2006]
Sec.96.213 Certificate of representation.
(a) A complete certificate of representation for a CAIR designated
representative or an alternate CAIR designated representative shall
include the following elements in a format prescribed by the
Administrator:
(1) Identification of the CAIR SO2 source, and each CAIR
SO2 unit at the source, for which the certificate of
representation is submitted, including identification and nameplate
capacity of each generator served by each such unit.
(2) The name, address, e-mail address (if any), telephone number,
and facsimile transmission number (if any) of the CAIR designated
representative and any alternate CAIR designated representative.
(3) A list of the owners and operators of the CAIR SO2
source and of each CAIR SO2 unit at the source.
(4) The following certification statements by the CAIR designated
representative and any alternate CAIR designated representative--
(i) ``I certify that I was selected as the CAIR designated
representative or alternate CAIR designated representative, as
applicable, by an agreement binding on the owners and operators of the
source and each CAIR SO2 unit at the source.''
(ii) ``I certify that I have all the necessary authority to carry
out my duties and responsibilities under the CAIR SO2 Trading
Program on behalf of the owners and operators of the source and of each
CAIR SO2 unit at the source and that each such owner and
operator shall be fully bound by my representations, actions, inactions,
or submissions.''
(iii) ``I certify that the owners and operators of the source and of
each CAIR SO2 unit at the source shall be bound by any order
issued to me by the
[[Page 105]]
Administrator, the permitting authority, or a court regarding the source
or unit.''
(iv) ``Where there are multiple holders of a legal or equitable
title to, or a leasehold interest in, a CAIR SO2 unit, or
where a utility or industrial customer purchases power from a CAIR
SO2 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 `CAIR designated representative' or `alternate CAIR
designated representative', as applicable, and of the agreement by which
I was selected to each owner and operator of the source and of each CAIR
SO2 unit at the source; and CAIR SO2 allowances
and proceeds of transactions involving CAIR SO2 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 CAIR SO2 allowances by contract,
CAIR SO2 allowances and proceeds of transactions involving
CAIR SO2 allowances will be deemed to be held or distributed
in accordance with the contract.''
(5) The signature of the CAIR designated representative and any
alternate CAIR designated representative and the dates signed.
(b) Unless otherwise required by the permitting authority or the
Administrator, documents of agreement referred to in the certificate of
representation shall not be submitted to the permitting authority or the
Administrator. Neither the permitting authority nor the Administrator
shall be under any obligation to review or evaluate the sufficiency of
such documents, if submitted.
[70 FR 25362, May 12, 2005, as amended at 71 FR 25388, Apr. 28, 2006]
Sec.96.214 Objections concerning CAIR designated representative.
(a) Once a complete certificate of representation under Sec.96.213
has been submitted and received, the permitting authority and the
Administrator will rely on the certificate of representation unless and
until a superseding complete certificate of representation under Sec.
96.213 is received by the Administrator.
(b) Except as provided in Sec.96.212(a) or (b), no objection or
other communication submitted to the permitting authority or the
Administrator concerning the authorization, or any representation,
action, inaction, or submission, of the CAIR designated representative
shall affect any representation, action, inaction, or submission of the
CAIR designated representative or the finality of any decision or order
by the permitting authority or the Administrator under the CAIR
SO2 Trading Program.
(c) Neither the permitting authority nor the Administrator will
adjudicate any private legal dispute concerning the authorization or any
representation, action, inaction, or submission of any CAIR designated
representative, including private legal disputes concerning the proceeds
of CAIR SO2 allowance transfers.
Sec.96.215 Delegation by CAIR designated representative and alternate
CAIR designated representative.
(a) A CAIR 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 part.
(b) An alternate CAIR 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
part.
(c) In order to delegate authority to make an electronic submission
to the Administrator in accordance with paragraph (a) or (b) of this
section, the CAIR designated representative or alternate CAIR 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 CAIR designated
representative or alternate CAIR designated representative;
[[Page 106]]
(2) The name, address, e-mail address, telephone number, and
facsimile transmission number (if any) of each such natural person
``referred to as an ``agent'');
(3) For each such natural person, a list of the type or types of
electronic submissions under paragraph (a) or (b) of this section for
which authority is delegated to him or her; and
(4) The following certification statements by such CAIR designated
representative or alternate CAIR designated representative:
(i) ``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 designated representative or alternate CAIR designated
representative, as appropriate, and before this notice of delegation is
superseded by another notice of delegation under 40 CFR 96.215(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 96.215(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 96.215 is terminated.''.
(d) A notice of delegation submitted under paragraph (c) of this
section shall be effective, with regard to the CAIR designated
representative or alternate CAIR 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 CAIR designated representative or alternate CAIR
designated representative, as appropriate. The superseding notice of
delegation may replace any previously identified agent, add a new agent,
or eliminate entirely any delegation of authority.
(e) Any electronic submission covered by the certification in
paragraph (c)(4)(i) of this section and made in accordance with a notice
of delegation effective under paragraph (d) of this section shall be
deemed to be an electronic submission by the CAIR designated
representative or alternate CAIR designated representative submitting
such notice of delegation.
[71 FR 25388, Apr. 28, 2006, as amended at 71 FR 74794, Dec. 13, 2006]
Subpart CCC_Permits
Source: 70 FR 25362, May 12, 2005, unless otherwise noted.
Sec.96.220 General CAIR SO [bdi2] Trading Program permit
requirements.
(a) For each CAIR SO2 source required to have a title V
operating permit or required, under subpart III of this part, to have a
title V operating permit or other federally enforceable permit, such
permit shall include a CAIR permit administered by the permitting
authority for the title V operating permit or the federally enforceable
permit as applicable. The CAIR portion of the title V permit or other
federally enforceable permit as applicable shall be administered in
accordance with the permitting authority's title V operating permits
regulations promulgated under part 70 or 71 of this chapter or the
permitting authority's regulations for other federally enforceable
permits as applicable, except as provided otherwise by Sec.96.205,
this subpart, and subpart III of this part.
(b) Each CAIR permit shall contain, with regard to the CAIR
SO2 source and the CAIR SO2 units at the source
covered by the CAIR permit, all applicable CAIR SO2 Trading
Program, CAIR NOX Annual Trading Program, and CAIR
NOX Ozone Season Trading Program requirements and shall be a
complete and separable portion of the title V operating permit or other
federally enforceable permit under paragraph (a) of this section.
[70 FR 25362, May 12, 2005, as amended at 71 FR 25388, Apr. 28, 2006]
Sec.96.221 Submission of CAIR permit applications.
(a) Duty to apply. The CAIR designated representative of any CAIR
SO2 source required to have a title V operating permit shall
submit to the permitting authority a complete CAIR permit application
under Sec.96.222 for the source covering each CAIR SO2 unit
at
[[Page 107]]
the source at least 18 months (or such lesser time provided by the
permitting authority) before the later of January 1, 2010 or the date on
which the CAIR SO2 unit commences commercial operation,
except as provided in Sec.96.283(a).
(b) Duty to Reapply. For a CAIR SO2 source required to
have a title V operating permit, the CAIR designated representative
shall submit a complete CAIR permit application under Sec.96.222 for
the source covering each CAIR SO2 unit at the source to renew
the CAIR permit in accordance with the permitting authority's title V
operating permits regulations addressing permit renewal, except as
provided in Sec.96.283(b).
[70 FR 25362, May 12, 2005, as amended at 71 FR 25388, Apr. 28, 2006]
Sec.96.222 Information requirements for CAIR permit applications.
A complete CAIR permit application shall include the following
elements concerning the CAIR SO2 source for which the
application is submitted, in a format prescribed by the permitting
authority:
(a) Identification of the CAIR SO2 source;
(b) Identification of each CAIR SO2 unit at the CAIR
SO2 source; and
(c) The standard requirements under Sec.96.206.
Sec.96.223 CAIR permit contents and term.
(a) Each CAIR permit will contain, in a format prescribed by the
permitting authority, all elements required for a complete CAIR permit
application under Sec.96.222.
(b) Each CAIR permit is deemed to incorporate automatically the
definitions of terms under Sec.96.202 and, upon recordation by the
Administrator under subpart FFF, GGG, or III of this part, every
allocation, transfer, or deduction of a CAIR SO2 allowance to
or from the compliance account of the CAIR SO2 source covered
by the permit.
(c) The term of the CAIR permit will be set by the permitting
authority, as necessary to facilitate coordination of the renewal of the
CAIR permit with issuance, revision, or renewal of the CAIR
SO2 source's title V operating permit or other federally
enforceable permit as applicable.
Sec.96.224 CAIR permit revisions.
Except as provided in Sec.96.223(b), the permitting authority will
revise the CAIR permit, as necessary, in accordance with the permitting
authority's title V operating permits regulations or the permitting
authority's regulations for other federally enforceable permits as
applicable addressing permit revisions.
Subparts DDD-EEE [Reserved]
Subpart FFF_CAIR SO2 Allowance Tracking System
Source: 70 FR 25362, May 12, 2005, unless otherwise noted.
Sec.96.250 [Reserved]
Sec.96.251 Establishment of accounts.
(a) Compliance accounts. Except as provided in Sec.96.284(e), upon
receipt of a complete certificate of representation under Sec.96.213,
the Administrator will establish a compliance account for the CAIR
SO2 source for which the certificate of representation was
submitted, unless the source already has a compliance account.
(b) General accounts--(1) Application for general account. (i) Any
person may apply to open a general account for the purpose of holding
and transferring CAIR SO2 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.
(ii) A complete application for a general account shall be submitted
to the Administrator and shall include the following elements in a
format prescribed by the Administrator:
(A) Name, mailing address, e-mail address (if any), telephone
number, and
[[Page 108]]
facsimile transmission number (if any) of the CAIR authorized account
representative and any alternate CAIR authorized account representative;
(B) Organization name and type of organization, if applicable;
(C) A list of all persons subject to a binding agreement for the
CAIR authorized account representative and any alternate CAIR authorized
account representative to represent their ownership interest with
respect to the CAIR SO2 allowances held in the general
account;
(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
SO2 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 SO2 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.''
(E) The signature of the CAIR authorized account representative and
any alternate CAIR authorized account representative and the dates
signed.
(iii) Unless otherwise required by the permitting authority or the
Administrator, documents of agreement referred to in the application for
a general account shall not be submitted to the permitting authority or
the Administrator. Neither the permitting authority nor the
Administrator shall be under any obligation to review or evaluate the
sufficiency of such documents, if submitted.
(2) Authorization of CAIR authorized account representative and
alternate CAIR authorized account representative. (i) Upon receipt by
the Administrator of a complete application for a general account under
paragraph (b)(1) of this section:
(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 SO2 allowances held in the general account in
all matters pertaining to the CAIR SO2 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.
(C) Any representation, action, inaction, or submission by any
alternate CAIR authorized account representative shall be deemed to be a
representation, action, inaction, or submission by the CAIR authorized
account representative.
(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
SO2 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 SO2 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
[[Page 109]]
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) The Administrator will accept or act on a submission
concerning the general account only if the submission has been made,
signed, and certified in accordance with paragraph (b)(2)(ii) of this
section.
(3) Changing CAIR authorized account representative and alternate
CAIR authorized account representative; changes in persons with
ownership interest. (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 (b)(1) of this section. 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 SO2 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 (b)(1) of this section. 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 SO2 allowances in the
general account.
(iii)(A) In the event a person having an ownership interest with
respect to CAIR SO2 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 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
person were included in such list.
(B) Within 30 days following any change in the persons having an
ownership interest with respect to CAIR SO2 allowances in the
general account, including the addition of a new person, the CAIR
authorized account representative or any alternate CAIR 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 CAIR SO2 allowances in the
general account to include the change.
(4) Objections concerning CAIR authorized account representative and
alternate CAIR authorized account representative. (i) Once a complete
application for a general account under paragraph (b)(1) of this section
has been submitted and received, the Administrator will rely on the
application unless and until a superseding complete application for a
general account under paragraph (b)(1) of this section is received by
the Administrator.
(ii) Except as provided in paragraph (b)(3)(i) or (ii) of this
section, no objection or other communication submitted to the
Administrator concerning the authorization, or any representation,
action, inaction, or submission of the 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 SO2
Trading Program.
[[Page 110]]
(iii) The Administrator will not adjudicate any private legal
dispute 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, including private legal disputes concerning the proceeds of
CAIR SO2 allowance transfers.
(5) Delegation by CAIR authorized account representative and
alternate CAIR authorized account representative. (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 subparts FFF and GGG 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 subparts FFF and GGG of this part.
(iii) In order to delegate authority to make an electronic
submission to the Administrator in accordance with paragraph (b)(5)(i)
or (ii) of this section, the CAIR authorized account representative or
alternate CAIR 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 CAIR authorized account
representative or alternate CAIR authorized account representative;
(B) The name, address, e-mail address, telephone number, and,
facsimile transmission number (if any) of each such natural person
(referred to as an ``agent'');
(C) For each such natural person, a list of the type or types of
electronic submissions under paragraph (b)(5)(i) or (ii) of this section
for which authority is delegated to him or her;
(D) The following certification statement by such 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 40 CFR 96.251(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 40 CFR 96.251 (b)(5)(iv), I agree to
maintain an e-mail account and to notify the Administrator immediately
of any change in my e-mail address unless all delegation of authority by
me under 40 CFR 96.251 (b)(5) is terminated.''
(iv) A notice of delegation submitted under paragraph (b)(5)(iii) of
this section shall be effective, with regard to the CAIR authorized
account representative or alternate CAIR 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 CAIR authorized
account representative or alternate CAIR authorized account
representative, as appropriate. The superseding notice of delegation may
replace any previously identified agent, add a new agent, or eliminate
entirely any delegation of authority.
(v) Any electronic submission covered by the certification in
paragraph (b)(5)(iii)(D) of this section and made in accordance with a
notice of delegation effective under paragraph (b)(5)(iv) of this
section shall be deemed to be an electronic submission by the CAIR
designated representative or alternate CAIR designated representative
submitting such notice of delegation.
[[Page 111]]
(c) Account identification. The Administrator will assign a unique
identifying number to each account established under paragraph (a) or
(b) of this section.
[70 FR 25362, May 12, 2005, as amended at 71 FR 25388, Apr. 28, 2006; 71
FR 74794, Dec. 13, 2006]
Sec.96.252 Responsibilities of CAIR authorized account representative.
Following the establishment of a CAIR SO2 Allowance
Tracking System account, all submissions to the Administrator pertaining
to the account, including, but not limited to, submissions concerning
the deduction or transfer of CAIR SO2 allowances in the
account, shall be made only by the CAIR authorized account
representative for the account.
Sec.96.253 Recordation of CAIR SO [bdi2] allowances.
(a)(1) After a compliance account is established under Sec.
96.251(a) or Sec.73.31(a) or (b) of this chapter, the Administrator
will record in the compliance account any CAIR SO2 allowance
allocated to any CAIR SO2 unit at the source for each of the
30 years starting the later of 2010 or the year in which the compliance
account is established and any CAIR SO2 allowance allocated
for each of the 30 years starting the later of 2010 or the year in which
the compliance account is established and transferred to the source in
accordance with subpart GGG of this part or subpart D of part 73 of this
chapter.
(2) In 2011 and each year thereafter, after Administrator has
completed all deductions under Sec.96.254(b), the Administrator will
record in the compliance account any CAIR SO2 allowance
allocated to any CAIR SO2 unit at the source for the new 30th
year (i.e., the year that is 30 years after the calendar year for which
such deductions are or could be made) and any CAIR SO2
allowance allocated for the new 30th year and transferred to the source
in accordance with subpart GGG of this part or subpart D of part 73 of
this chapter.
(b)(1) After a general account is established under Sec.96.251(b)
or Sec.73.31(c) of this chapter, the Administrator will record in the
general account any CAIR SO2 allowance allocated for each of
the 30 years starting the later of 2010 or the year in which the general
account is established and transferred to the general account in
accordance with subpart GGG of this part or subpart D of part 73 of this
chapter.
(2) In 2011 and each year thereafter, after Administrator has
completed all deductions under Sec.96.254(b), the Administrator will
record in the general account any CAIR SO2 allowance
allocated for the new 30th year (i.e., the year that is 30 years after
the calendar year for which such deductions are or could be made) and
transferred to the general account in accordance with subpart GGG of
this part or subpart D of part 73 of this chapter.
(c) Serial numbers for allocated CAIR SO2 allowances.
When recording the allocation of CAIR SO2 allowances issued
by a permitting authority under Sec.96.288, the Administrator will
assign each such CAIR SO2 allowance a unique identification
number that will include digits identifying the year of the control
period for which the CAIR SO2 allowance is allocated.
Sec.96.254 Compliance with CAIR SO [bdi2] emissions limitation.
(a) Allowance transfer deadline. The CAIR SO2 allowances
are available to be deducted for compliance with a source's CAIR
SO2 emissions limitation for a control period in a given
calendar year only if the CAIR SO2 allowances:
(1) Were allocated for the control period in the year or a prior
year; and
(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 SO2 allowance transfer correctly submitted
for recordation under Sec. Sec.96.260 and 96.261 by the allowance
transfer deadline for the control period.
(b) Deductions for compliance. Following the recordation, in
accordance with Sec.96.261, of CAIR SO2 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 SO2 allowances
available under paragraph (a) of this section in order to determine
whether the source meets
[[Page 112]]
the CAIR SO2 emissions limitation for the control period as
follows:
(1) For a CAIR SO2 source subject to an Acid Rain
emissions limitation, the Administrator will, in the following order:
(i) Deduct the amount of CAIR SO2 allowances, available
under paragraph (a) of this section and not issued by a permitting
authority under Sec.96.288, that is required under Sec. Sec.73.35(b)
and (c) of this part. If there are sufficient CAIR SO2
allowances to complete this deduction, the deduction will be treated as
satisfying the requirements of Sec. Sec.73.35(b) and (c) of this
chapter.
(ii) Deduct the amount of CAIR SO2 allowances, not issued
by a permitting authority under Sec.96.288, that is required under
Sec. Sec.73.35(d) and 77.5 of this part. If there are sufficient CAIR
SO2 allowances to complete this deduction, the deduction will
be treated as satisfying the requirements of Sec. Sec.73.35(d) and
77.5 of this chapter.
(iii) Treating the CAIR SO2 allowances deducted under
paragraph (b)(1)(i) of this section as also being deducted under this
paragraph (b)(1)(iii), deduct CAIR SO2 allowances available
under paragraph (a) of this section (including any issued by a
permitting authority under Sec.96.288) in order to determine whether
the source meets the CAIR SO2 emissions limitation for the
control period, as follows:
(A) Until the tonnage equivalent of the CAIR SO2
allowances deducted equals, or exceeds in accordance with paragraphs
(c)(1) and (2) of this section, the number of tons of total sulfur
dioxide emissions, determined in accordance with subpart HHH of this
part, from all CAIR SO2 units at the source for the control
period; or
(B) If there are insufficient CAIR SO2 allowances to
complete the deductions in paragraph (b)(1)(iii)(A) of this section,
until no more CAIR SO2 allowances available under paragraph
(a) of this section (including any issued by a permitting authority
under Sec.96.288) remain in the compliance account.
(2) For a CAIR SO2 source not subject to an Acid Rain
emissions limitation, the Administrator will deduct CAIR SO2
allowances available under paragraph (a) of this section (including any
issued by a permitting authority under Sec.96.288) in order to
determine whether the source meets the CAIR SO2 emissions
limitation for the control period, as follows:
(i) Until the tonnage equivalent of the CAIR SO2
allowances deducted equals, or exceeds in accordance with paragraphs
(c)(1) and (2) of this section, the number of tons of total sulfur
dioxide emissions, determined in accordance with subpart HHH of this
part, from all CAIR SO2 units at the source for the control
period; or
(ii) If there are insufficient CAIR SO2 allowances to
complete the deductions in paragraph (b)(2)(i) of this section, until no
more CAIR SO2 allowances available under paragraph (a) of
this section (including any issued by a permitting authority under Sec.
96.288) remain in the compliance account.
(c)(1) Identification of CAIR SO2 allowances by serial
number. The CAIR authorized account representative for a source's
compliance account may request that specific CAIR SO2
allowances, identified by serial number, in the compliance account be
deducted for emissions or excess emissions for a control period in
accordance with paragraph (b) or (d) of this section. 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 SO2 source and
the appropriate serial numbers.
(2) First-in, first-out. The Administrator will deduct CAIR
SO2 allowances under paragraph (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
SO2 allowances by serial number under paragraph (c)(1) of
this section, on a first-in, first-out (FIFO) accounting basis in the
following order:
(i) Any CAIR SO2 allowances that were allocated to the
units at the source for a control period before 2010, in the order of
recordation;
(ii) Any CAIR SO2 allowances that were allocated to any
entity for a control period before 2010 and transferred and recorded in
the compliance account pursuant to subpart GGG of this
[[Page 113]]
part or subpart D of part 73 of this chapter, in the order of
recordation;
(iii) Any CAIR SO2 allowances that were allocated to the
units at the source for a control period during 2010 through 2014, in
the order of recordation;
(iv) Any CAIR SO2 allowances that were allocated to any
entity for a control period during 2010 through 2014 and transferred and
recorded in the compliance account pursuant to subpart GGG of this part
or subpart D of part 73 of this chapter, in the order of recordation;
(v) Any CAIR SO2 allowances that were allocated to the
units at the source for a control period in 2015 or later, in the order
of recordation; and
(vi) Any CAIR SO2 allowances that were allocated to any
entity for a control period in 2015 or later and transferred and
recorded in the compliance account pursuant to subpart GGG of this part
or subpart D of part 73 of this chapter, in the order of recordation.
(d) Deductions for excess emissions. (1) After making the deductions
for compliance under paragraph (b) of this section for a control period
in a calendar year in which the CAIR SO2 source has excess
emissions, the Administrator will deduct from the source's compliance
account the tonnage equivalent in CAIR SO2 allowances,
allocated for the control period in the immediately following calendar
year (including any issued by a permitting authority under Sec.
96.288), equal to, or exceeding in accordance with paragraphs (c)(1) and
(2) of this section, 3 times the following amount: the number of tons of
the source's excess emissions minus, if the source is subject to an Acid
Rain emissions limitation, the amount of the CAIR SO2
allowances required to be deducted under paragraph (b)(1)(ii) of this
section.
(2) Any allowance deduction required under paragraph (d)(1) of this
section shall not affect the liability of the owners and operators of
the CAIR SO2 source or the CAIR SO2 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 Clean Air Act or applicable State law.
(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 and subpart III.
(f) Administrator's action on submissions. (1) The Administrator may
review and conduct independent audits concerning any submission under
the CAIR SO2 Trading Program and make appropriate adjustments
of the information in the submissions.
(2) The Administrator may deduct CAIR SO2 allowances from
or transfer CAIR SO2 allowances to a source's compliance
account based on the information in the submissions, as adjusted under
paragraph (f)(1) of this section, and record such deductions and
transfers.
[70 FR 25362, May 12, 2005, as amended at 71 FR 25389, Apr. 28, 2006; 71
FR 74794, Dec. 13, 2006]
Sec.96.255 Banking.
(a) CAIR SO2 allowances 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 CAIR SO2 allowance that is held in a compliance
account or a general account will remain in such account unless and
until the CAIR SO2 allowance is deducted or transferred under
Sec.96.254, Sec.96.256, or subpart GGG or III of this part.
[70 FR 25362, May 12, 2005, as amended at 71 FR 25389, Apr. 28, 2006]
Sec.96.256 Account error.
The Administrator may, at his or her sole discretion and on his or
her own motion, correct any error in any CAIR SO2 Allowance
Tracking System account. Within 10 business days of making such
correction, the Administrator will notify the CAIR authorized account
representative for the account.
Sec.96.257 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 Sec. Sec.
96.260 and 96.261 for
[[Page 114]]
any CAIR SO2 allowances in the account to one or more other
CAIR SO2 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
SO2 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 SO2 allowances into the account under
Sec. Sec.96.260 and 96.261 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.
[70 FR 25362, May 12, 2005, as amended at 71 FR 25389, Apr. 28, 2006]
Subpart GGG_CAIR SO2 Allowance Transfers
Source: 70 FR 25362, May 12, 2005, unless otherwise noted.
Sec.96.260 Submission of CAIR SO [bdi2] allowance transfers.
(a) A CAIR authorized account representative seeking recordation of
a CAIR SO2 allowance transfer shall submit the transfer to
the Administrator. To be considered correctly submitted, the CAIR
SO2 allowance transfer shall include the following elements,
in a format specified by the Administrator:
(1) The account numbers of both the transferor and transferee
accounts;
(2) The serial number of each CAIR SO2 allowance that is
in the transferor account and is to be transferred; and
(3) The name and signature of the CAIR authorized account
representatives of the transferor and transferee accounts and the dates
signed.
(b)(1) The CAIR authorized account representative for the transferee
account can meet the requirements in paragraph (a)(3) of this section by
submitting, in a format prescribed by the Administrator, a statement
signed by the CAIR authorized account representative and identifying
each account into which any transfer of allowances, submitted on or
after the date on which the Administrator receives such statement, is
authorized. Such authorization shall be binding on any CAIR authorized
account representative for such account and shall apply to all transfers
into the account that are submitted on or after such date of receipt,
unless and until the Administrator receives a statement signed by the
CAIR authorized account representative retracting the authorization for
the account.
(2) The statement under paragraph (b)(1) of this section shall
include the following: ``By this signature I authorize any transfer of
allowances into each account listed herein, except that I do not waive
any remedies under State or Federal law to obtain correction of any
erroneous transfers into such accounts. This authorization shall be
binding on any CAIR authorized account representative for such account
unless and until a statement signed by the CAIR authorized account
representative retracting this authorization for the account is received
by the Administrator.''
Sec.96.261 EPA recordation.
(a) Within 5 business days (except as necessary to perform a
transfer in perpetuity of CAIR SO2 allowances allocated to a
CAIR SO2 unit or as provided in paragraph (b) of this
section) of receiving a CAIR SO2 allowance transfer, the
Administrator will record a CAIR SO2 allowance transfer by
moving each CAIR SO2 allowance from the transferor account to
the transferee account as specified by the request, provided that:
(1) The transfer is correctly submitted under Sec.96.260;
(2) The transferor account includes each CAIR SO2
allowance identified by serial number in the transfer; and
(3) The transfer is in accordance with the limitation on transfer
under Sec.74.42 of this chapter and Sec.74.47(c) of this chapter, as
applicable.
(b) A CAIR SO2 allowance transfer that is submitted for
recordation after the allowance transfer deadline for a control period
and that includes any CAIR SO2 allowances allocated for any
[[Page 115]]
control period before such allowance transfer deadline will not be
recorded until after the Administrator completes the deductions under
Sec.96.254 for the control period immediately before such allowance
transfer deadline.
(c) Where a CAIR SO2 allowance transfer submitted for
recordation fails to meet the requirements of paragraph (a) of this
section, the Administrator will not record such transfer.
[70 FR 25362, May 12, 2005, as amended at 71 FR 25389, Apr. 28, 2006]
Sec.96.262 Notification.
(a) Notification of recordation. Within 5 business days of
recordation of a CAIR SO2 allowance transfer under Sec.
96.261, the Administrator will notify the CAIR authorized account
representatives of both the transferor and transferee accounts.
(b) Notification of non-recordation. Within 10 business days of
receipt of a CAIR SO2 allowance transfer that fails to meet
the requirements of Sec.96.261(a), the Administrator will notify the
CAIR 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.
(c) Nothing in this section shall preclude the submission of a CAIR
SO2 allowance transfer for recordation following notification
of non-recordation.
Subpart HHH_Monitoring and Reporting
Source: 70 FR 25362, May 12, 2005, unless otherwise noted.
Sec.96.270 General requirements.
The owners and operators, and to the extent applicable, the CAIR
designated representative, of a CAIR SO2 unit, shall comply
with the monitoring, recordkeeping, and reporting requirements as
provided in this subpart and in subparts F and G of part 75 of this
chapter. For purposes of complying with such requirements, the
definitions in Sec.96.202 and in Sec.72.2 of this chapter shall
apply, and 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 ``CAIR
SO2 unit,'' ``CAIR designated representative,'' and
``continuous emission monitoring system'' (or ``CEMS'') respectively, as
defined in Sec.96.202. The owner or operator of a unit that is not a
CAIR SO2 unit but that is monitored under Sec.75.16(b)(2)
of this chapter shall comply with the same monitoring, recordkeeping,
and reporting requirements as a CAIR SO2 unit.
(a) Requirements for installation, certification, and data
accounting. The owner or operator of each CAIR SO2 unit
shall:
(1) Install all monitoring systems required under this subpart for
monitoring SO2 mass emissions and individual unit heat input
(including all systems required to monitor SO2 concentration,
stack gas moisture content, stack gas flow rate, CO2 or
O2 concentration, and fuel flow rate, as applicable, in
accordance with Sec. Sec.75.11 and 75.16 of this chapter);
(2) Successfully complete all certification tests required under
Sec.96.271 and meet all other requirements of this subpart and part 75
of this chapter applicable to the monitoring systems under paragraph
(a)(1) of this section; and
(3) Record, report, and quality-assure the data from the monitoring
systems under paragraph (a)(1) of this section.
(b) Compliance deadlines. Except as provided in paragraph (e) of
this section, the owner or operator shall meet the monitoring system
certification and other requirements of paragraphs (a)(1) and (2) of
this section on or before the following dates. The owner or operator
shall record, report, and quality-assure the data from the monitoring
systems under paragraph (a)(1) of this section on and after the
following dates.
(1) For the owner or operator of a CAIR SO2 unit that
commences commercial operation before July 1, 2008, by January 1, 2009.
(2) For the owner or operator of a CAIR SO2 unit that
commences commercial operation on or after July 1, 2008, by the later of
the following dates:
(i) January 1, 2009; or
[[Page 116]]
(ii) 90 unit operating days or 180 calendar days, whichever occurs
first, after the date on which the unit commences commercial operation.
(3) For the owner or operator of a CAIR SO2 unit for
which construction of a new stack or flue or installation of add-on
SO2 emission controls is completed after the applicable
deadline under paragraph (b)(1), (2), (4), or (5) of this section, by 90
unit operating days or 180 calendar days, whichever occurs first, after
the date on which emissions first exit to the atmosphere through the new
stack or flue or add-on SO2 emissions controls.
(4) Notwithstanding the dates in paragraphs (b)(1) and (2) of this
section, for the owner or operator of a unit for which a CAIR opt-in
permit application is submitted and not withdrawn and a CAIR opt-in
permit is not yet issued or denied under subpart III of this part, by
the date specified in Sec.96.284(b).
(5) Notwithstanding the dates in paragraphs (b)(1) and (2) of this
section, for the owner or operator of a CAIR SO2 opt-in unit
under subpart III of this part, by the date on which the CAIR
SO2 opt-in unit enters the CAIR SO2 Trading
Program as provided in Sec.96.284(g).
(c) Reporting data. The owner or operator of a CAIR SO2
unit that does not meet the applicable compliance date set forth in
paragraph (b) of this section for any monitoring system under paragraph
(a)(1) of this section shall, for each such monitoring system,
determine, record, and report maximum potential (or, as appropriate,
minimum potential) values for SO2 concentration, stack gas
flow rate, stack gas moisture content, fuel flow rate, and any other
parameters required to determine SO2 mass emissions and heat
input in accordance with Sec.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 CAIR SO2
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 Sec.
96.275.
(2) No owner or operator of a CAIR SO2 unit shall operate
the unit so as to discharge, or allow to be discharged, SO2
emissions to the atmosphere without accounting for all such emissions in
accordance with the applicable provisions of this subpart and part 75 of
this chapter.
(3) No owner or operator of a CAIR SO2 unit shall disrupt
the continuous emission monitoring system, any portion thereof, or any
other approved emission monitoring method, and thereby avoid monitoring
and recording SO2 mass emissions discharged into the
atmosphere or heat input, except for periods of recertification or
periods when calibration, quality assurance testing, or maintenance is
performed in accordance with the applicable provisions of this subpart
and part 75 of this chapter.
(4) No owner or operator of a CAIR SO2 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
Sec.96.205 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 permitting authority 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 CAIR 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 Sec.
96.271(d)(3)(i).
(e) Long-term cold storage. The owner or operator of a CAIR
SO2 unit is subject to the applicable provisions of part 75
of this chapter concerning units in long-term cold storage.
[70 FR 25362, May 12, 2005, as amended at 71 FR 25389, Apr. 28, 2006]
[[Page 117]]
Sec.96.271 Initial certification and recertification procedures.
(a) The owner or operator of a CAIR SO2 unit shall be
exempt from the initial certification requirements of this section for a
monitoring system under Sec.96.270(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 Sec.75.21 of this chapter and appendix B and appendix
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 Sec.96.270(a)(1) exempt from initial
certification requirements under paragraph (a) of this section.
(c) [Reserved]
(d) Except as provided in paragraph (a) of this section, the owner
or operator of a CAIR SO2 unit shall comply with the
following initial certification and recertification procedures, for a
continuous monitoring system (i.e., a continuous emission monitoring
system and an excepted monitoring system under appendix D to part 75 of
this chapter) under Sec.96.270(a)(1). The owner or operator of a unit
that qualifies to use the low mass emissions excepted monitoring
methodology under Sec.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 Sec.
96.270(a)(1) (including the automated data acquisition and handling
system) successfully completes all of the initial certification testing
required under Sec.75.20 of this chapter by the applicable deadline in
Sec.96.270(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 Sec.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 Sec.96.270(a)(1) that may
significantly affect the ability of the system to accurately measure or
record SO2 mass emissions or heat input rate or to meet the
quality-assurance and quality-control requirements of Sec.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 Sec.
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 Sec.75.20(b) of this
chapter. Examples of changes to a continuous emission monitoring system
that require recertification include: replacement of the analyzer,
complete replacement of an existing continuous emission monitoring
system, or change in location or orientation of the sampling probe or
site. Any fuel flowmeter system under Sec.96.270(a)(1) is subject to
the recertification requirements in Sec.75.20(g)(6) of this chapter.
(3) Approval process for initial certification and recertification.
Paragraphs (d)(3)(i) through (iv) of this section apply to both initial
certification and recertification of a continuous monitoring system
under Sec.96.270(a)(1). For recertifications, replace the words
``certification'' and ``initial certification'' with the word
``recertification'', replace the word ``certified'' with the word
``recertified,'' and follow the procedures in Sec. Sec.75.20(b)(5) and
(g)(7) of this chapter in lieu of the procedures in paragraph (d)(3)(v)
of this section.
(i) Notification of certification. The CAIR designated
representative shall submit to the permitting authority, the appropriate
EPA Regional Office, and the Administrator written notice of the dates
of certification testing, in accordance with Sec.96.273.
[[Page 118]]
(ii) Certification application. The CAIR designated representative
shall submit to the permitting authority a certification application for
each monitoring system. A complete certification application shall
include the information specified in Sec.75.63 of this chapter.
(iii) Provisional certification date. The provisional certification
date for a monitoring system shall be determined in accordance with
Sec.75.20(a)(3) of this chapter. A provisionally certified monitoring
system may be used under the CAIR SO2 Trading Program for a
period not to exceed 120 days after receipt by the permitting authority
of the complete certification application for the monitoring system
under paragraph (d)(3)(ii) of this section. Data measured and recorded
by the provisionally certified monitoring system, in accordance with the
requirements of part 75 of this chapter, will be considered valid
quality-assured data (retroactive to the date and time of provisional
certification), provided that the permitting authority does not
invalidate the provisional certification by issuing a notice of
disapproval within 120 days of the date of receipt of the complete
certification application by the permitting authority.
(iv) Certification application approval process. The permitting
authority will issue a written notice of approval or disapproval of the
certification application to the owner or operator within 120 days of
receipt of the complete certification application under paragraph
(d)(3)(ii) of this section. In the event the permitting authority does
not issue such a notice within such 120-day period, each monitoring
system that meets the applicable performance requirements of part 75 of
this chapter and is included in the certification application will be
deemed certified for use under the CAIR SO2 Trading Program.
(A) Approval notice. If the certification application is complete
and shows that each monitoring system meets the applicable performance
requirements of part 75 of this chapter, then the permitting authority
will issue a written notice of approval of the certification application
within 120 days of receipt.
(B) Incomplete application notice. If the certification application
is not complete, then the permitting authority will issue a written
notice of incompleteness that sets a reasonable date by which the CAIR
designated representative must submit the additional information
required to complete the certification application. If the CAIR
designated representative does not comply with the notice of
incompleteness by the specified date, then the permitting authority may
issue a notice of disapproval under paragraph (d)(3)(iv)(C) of this
section. The 120-day review period shall not begin before receipt of a
complete certification application.
(C) Disapproval notice. If the certification application shows that
any monitoring system does not meet the performance requirements of part
75 of this chapter or if the certification application is incomplete and
the requirement for disapproval under paragraph (d)(3)(iv)(B) of this
section is met, then the permitting authority will issue a written
notice of disapproval of the certification application. Upon issuance of
such notice of disapproval, the provisional certification is invalidated
by the permitting authority and the data measured and recorded by each
uncertified monitoring system shall not be considered valid quality-
assured data beginning with the date and hour of provisional
certification (as defined under Sec.75.20(a)(3) of this chapter). The
owner or operator shall follow the procedures for loss of certification
in paragraph (d)(3)(v) of this section for each monitoring system that
is disapproved for initial certification.
(D) Audit decertification. The permitting authority or, for a CAIR
SO2 opt-in unit or a unit for which a CAIR opt-in permit
application is submitted and not withdrawn and a CAIR opt-in permit is
not yet issued or denied under subpart III of this part, the
Administrator may issue a notice of disapproval of the certification
status of a monitor in accordance with Sec.96.272(b).
(v) Procedures for loss of certification. If the permitting
authority or the Administrator issues a notice of disapproval of a
certification application under paragraph (d)(3)(iv)(C) of this
[[Page 119]]
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 Sec.
75.20(a)(4)(iii), Sec.75.20(g)(7), or Sec.75.21(e) of this chapter
and continuing until the applicable date and hour specified under Sec.
75.20(a)(5)(i) or (g)(7) of this chapter:
(1) For a disapproved SO2 pollutant concentration monitor
and disapproved flow monitor, respectively, the maximum potential
concentration of SO2 and the maximum potential flow rate, as
defined in sections 2.1.1.1 and 2.1.4.1 of appendix A to part 75 of this
chapter.
(2) For a disapproved moisture monitoring system and disapproved
diluent gas monitoring system, respectively, the minimum potential
moisture percentage and either the maximum potential CO2
concentration or the minimum potential O2 concentration (as
applicable), as defined in sections 2.1.5, 2.1.3.1, and 2.1.3.2 of
appendix A to part 75 of this chapter.
(3) For a disapproved fuel flowmeter system, the maximum potential
fuel flow rate, as defined in section 2.4.2.1 of appendix D to part 75
of this chapter.
(B) The CAIR designated representative shall submit a notification
of certification retest dates and a new certification application in
accordance with paragraphs (d)(3)(i) and (ii) of this section.
(C) The owner or operator shall repeat all certification tests or
other requirements that were failed by the monitoring system, as
indicated in the permitting authority's or the Administrator's notice of
disapproval, no later than 30 unit operating days after the date of
issuance of the notice of disapproval.
(e) Initial certification and recertification procedures for units
using the low mass emission excepted methodology under Sec.75.19 of
this chapter. The owner or operator of a unit qualified to use the low
mass emissions (LME) excepted methodology under Sec.75.19 of this
chapter shall meet the applicable certification and recertification
requirements in Sec. Sec.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 Sec.
75.20(g) of this chapter.
(f) Certification/recertification procedures for alternative
monitoring systems. The CAIR designated representative of each unit for
which the owner or operator intends to use an alternative monitoring
system approved by the Administrator and, if applicable, the permitting
authority under subpart E of part 75 of this chapter shall comply with
the applicable notification and application procedures of Sec.75.20(f)
of this chapter.
[70 FR 25362, May 12, 2005, as amended at 71 FR 25390, Apr. 28, 2006; 71
FR 74794, Dec. 13, 2006]
Sec.96.272 Out of control periods.
(a) Whenever any monitoring system fails to meet the quality-
assurance and quality-control requirements or data validation
requirements of part 75 of this chapter, data shall be substituted using
the applicable missing data procedures in subpart D of or appendix D to
part 75 of this chapter.
(b) Audit decertification. Whenever both an audit of a monitoring
system and a review of the initial certification or recertification
application reveal that any monitoring system should not have been
certified or recertified because it did not meet a particular
performance specification or other requirement under Sec.96.271 or the
applicable provisions of part 75 of this chapter, both at the time of
the initial certification or recertification application submission and
at the time of the audit, the permitting authority or, for a CAIR
SO2 opt-in unit or a unit for which a CAIR opt-in permit
application is submitted and not withdrawn and a CAIR opt-in permit is
not yet issued or denied under subpart III of this part, the
Administrator will issue a notice of disapproval of the certification
status of such monitoring system. For the purposes of this paragraph, an
audit shall be either a field audit or an audit of any information
submitted to the permitting authority or the Administrator. By issuing
the notice of disapproval, the permitting authority or
[[Page 120]]
the Administrator revokes prospectively the certification status of the
monitoring system. The data measured and recorded by the monitoring
system shall not be considered valid quality-assured data from the date
of issuance of the notification of the revoked certification status
until the date and time that the owner or operator completes
subsequently approved initial certification or recertification tests for
the monitoring system. The owner or operator shall follow the applicable
initial certification or recertification procedures in Sec.96.271 for
each disapproved monitoring system.
Sec.96.273 Notifications.
The CAIR designated representative for a CAIR SO2 unit
shall submit written notice to the permitting authority and the
Administrator in accordance with Sec.75.61 of this chapter.
[70 FR 25362, May 12, 2005, as amended at 71 FR 25390, Apr. 28, 2006]
Sec.96.274 Recordkeeping and reporting.
(a) General provisions. The CAIR designated representative shall
comply with all recordkeeping and reporting requirements in this
section, the applicable recordkeeping and reporting requirements in
subparts F and G of part 75 of this chapter, and the requirements of
Sec.96.210(e)(1).
(b) Monitoring plans. The owner or operator of a CAIR SO2
unit shall comply with requirements of Sec.75.62 of this chapter and,
for a unit for which a CAIR opt-in permit application is submitted and
not withdrawn and a CAIR opt-in permit is not yet issued or denied under
subpart III of this part, Sec. Sec.96.283 and 96.284(a).
(c) Certification applications. The CAIR designated representative
shall submit an application to the permitting authority within 45 days
after completing all initial certification or recertification tests
required under Sec.96.271, including the information required under
Sec.75.63 of this chapter.
(d) Quarterly reports. The CAIR designated representative shall
submit quarterly reports, as follows:
(1) The CAIR designated representative shall report the
SO2 mass emissions data and heat input data for the CAIR
SO2 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,
2008, the calendar quarter covering January 1, 2009 through March 31,
2009;
(ii) For a unit that commences commercial operation on or after July
1, 2008, the calendar quarter corresponding to the earlier of the date
of provisional certification or the applicable deadline for initial
certification under Sec.96.270(b), unless that quarter is the third or
fourth quarter of 2008, in which case reporting shall commence in the
quarter covering January 1, 2009 through March 31, 2009;
(iii) Notwithstanding paragraphs (d)(1)(i) and (ii) of this section,
for a unit for which a CAIR opt-in permit application is submitted and
not withdrawn and a CAIR opt-in permit is not yet issued or denied under
subpart III of this part, the calendar quarter corresponding to the date
specified in Sec.96.284(b); and
(iv) Notwithstanding paragraphs (d)(1)(i) and (ii) of this section,
for a CAIR SO2 opt-in unit under subpart III of this part,
the calendar quarter corresponding to the date on which the CAIR
SO2 opt-in unit enters the CAIR SO2 Trading
Program as provided in Sec.96.284(g).
(2) The CAIR designated representative shall submit each quarterly
report to the Administrator within 30 days following the end of the
calendar quarter covered by the report. Quarterly reports shall be
submitted in the manner specified in Sec.75.64 of this chapter.
(3) For CAIR SO2 units that are also subject to an Acid
Rain emissions limitation or the CAIR NOX Annual Trading
Program CAIR NOX Ozone Season Trading Program, or Hg Budget
Trading Program, quarterly reports shall include the applicable data and
information required by subparts F through I of part 75 of this chapter
as applicable, in addition to the SO2 mass emission data,
heat input data, and other information required by this subpart.
(e) Compliance certification. The CAIR designated representative
shall submit to the Administrator a compliance certification (in a
format prescribed by the Administrator) in support of each
[[Page 121]]
quarterly report based on reasonable inquiry of those persons with
primary responsibility for ensuring that all of the unit's emissions are
correctly and fully monitored. The certification shall state that:
(1) The monitoring data submitted were recorded in accordance with
the applicable requirements of this subpart and part 75 of this chapter,
including the quality assurance procedures and specifications; and
(2) For a unit with add-on SO2 emission controls and for
all hours where SO2 data are substituted in accordance with
Sec.75.34(a)(1) of this chapter, the add-on emission controls were
operating within the range of parameters listed in the quality
assurance/quality control program under appendix B to part 75 of this
chapter and the substitute data values do not systematically
underestimate SO2 emissions.
[70 FR 25362, May 12, 2005, as amended at 71 FR 25390, Apr. 28, 2006]
Sec.96.275 Petitions.
(a) The CAIR designated representative of a CAIR SO2 unit
that is subject to an Acid Rain emissions limitation may submit a
petition under Sec.75.66 of this chapter to the Administrator
requesting approval to apply an alternative to any requirement of this
subpart. Application of an alternative to any requirement of this
subpart is in accordance with this subpart only to the extent that the
petition is approved in writing by the Administrator, in consultation
with the permitting authority.
(b) The CAIR designated representative of a CAIR SO2 unit
that is not subject to an Acid Rain emissions limitation may submit a
petition under Sec.75.66 of this chapter to the permitting authority
and the Administrator requesting approval to apply an alternative to any
requirement of this subpart. Application of an alternative to any
requirement of this subpart is in accordance with this subpart only to
the extent that the petition is approved in writing by both the
permitting authority and the Administrator.
Subpart III_CAIR SO 2 Opt-in Units
Source: 70 FR 25362, May 12, 2005, unless otherwise noted.
Sec.96.280 Applicability.
A CAIR SO2 opt-in unit must be a unit that:
(a) Is located in the State;
(b) Is not a CAIR SO2 unit under Sec.96.204 and is not
covered by a retired unit exemption under Sec.96.205 that is in
effect;
(c) Is not covered by a retired unit exemption under Sec.72.8 of
this chapter that is in effect and is not an opt-in source under part 74
of this chapter;
(d) Has or is required or qualified to have a title V operating
permit or other federally enforceable permit; and
(e) Vents all of its emissions to a stack and can meet the
monitoring, recordkeeping, and reporting requirements of subpart HHH of
this part.
Sec.96.281 General.
(a) Except as otherwise provided in Sec. Sec.96.201 through
96.204, Sec. Sec.96.206 through 96.208, and subparts BBB and CCC and
subparts FFF through HHH of this part, a CAIR SO2 opt-in unit
shall be treated as a CAIR SO2 unit for purposes of applying
such sections and subparts of this part.
(b) Solely for purposes of applying, as provided in this subpart,
the requirements of subpart HHH of this part to a unit for which a CAIR
opt-in permit application is submitted and not withdrawn and a CAIR opt-
in permit is not yet issued or denied under this subpart, such unit
shall be treated as a CAIR SO2 unit before issuance of a CAIR
opt-in permit for such unit.
Sec.96.282 CAIR designated representative.
Any CAIR SO2 opt-in unit, and any unit for which a CAIR
opt-in permit application is submitted and not withdrawn and a CAIR opt-
in permit is not yet issued or denied under this subpart, located at the
same source as one or more CAIR SO2 units shall have the same
CAIR designated representative and alternate CAIR designated
representative as such CAIR SO2 units.
[[Page 122]]
Sec.96.283 Applying for CAIR opt-in permit.
(a) Applying for initial CAIR opt-in permit. The CAIR designated
representative of a unit meeting the requirements for a CAIR
SO2 opt-in unit in Sec.96.280 may apply for an initial CAIR
opt-in permit at any time, except as provided under Sec.96.286(f) and
(g), and, in order to apply, must submit the following:
(1) A complete CAIR permit application under Sec.96.222;
(2) A certification, in a format specified by the permitting
authority, that the unit:
(i) Is not a CAIR SO2 unit under Sec.96.204 and is not
covered by a retired unit exemption under Sec.96.205 that is in
effect;
(ii) Is not covered by a retired unit exemption under Sec.72.8 of
this chapter that is in effect;
(iii) Is not and, so long as the unit is a CAIR SO2 opt-
in unit, will not become, an opt-in source under part 74 of this
chapter;
(iv) Vents all of its emissions to a stack; and
(v) Has documented heat input for more than 876 hours during the 6
months immediately preceding submission of the CAIR permit application
under Sec.96.222;
(3) A monitoring plan in accordance with subpart HHH of this part;
(4) A complete certificate of representation under Sec.96.213
consistent with Sec.96.282, if no CAIR designated representative has
been previously designated for the source that includes the unit; and
(5) A statement, in a format specified by the permitting authority,
whether the CAIR designated representative requests that the unit be
allocated CAIR SO2 allowances under Sec.96.288(b) or Sec.
96.288(c) (subject to the conditions in Sec. Sec.96.284(h) and
96.286(g)). If allocation under Sec.96.288(c) is requested, this
statement shall include a statement that the owners and operators of the
unit intend to repower the unit before January 1, 2015 and that they
will provide, upon request, documentation demonstrating such intent.
(b) Duty to reapply. (1) The CAIR designated representative of a
CAIR SO2 opt-in unit shall submit a complete CAIR permit
application under Sec.96.222 to renew the CAIR opt-in unit permit in
accordance with the permitting authority's regulations for title V
operating permits, or the permitting authority's regulations for other
federally enforceable permits if applicable, addressing permit renewal.
(2) Unless the permitting authority issues a notification of
acceptance of withdrawal of the CAIR SO2 opt-in unit from the
CAIR SO2 Trading Program in accordance with Sec.96.286 or
the unit becomes a CAIR SO2 unit under Sec.96.204, the CAIR
SO2 opt-in unit shall remain subject to the requirements for
a CAIR SO2 opt-in unit, even if the CAIR designated
representative for the CAIR SO2 opt-in unit fails to submit a
CAIR permit application that is required for renewal of the CAIR opt-in
permit under paragraph (b)(1) of this section.
[70 FR 25362, May 12, 2005, as amended at 71 FR 25390, Apr. 28, 2006]
Sec.96.284 Opt-in process.
The permitting authority will issue or deny a CAIR opt-in permit for
a unit for which an initial application for a CAIR opt-in permit under
Sec.96.283 is submitted in accordance with the following:
(a) Interim review of monitoring plan. The permitting authority and
the Administrator will determine, on an interim basis, the sufficiency
of the monitoring plan accompanying the initial application for a CAIR
opt-in permit under Sec.96.283. A monitoring plan is sufficient, for
purposes of interim review, if the plan appears to contain information
demonstrating that the SO2 emissions rate and heat input of
the unit and all other applicable parameters are monitored and reported
in accordance with subpart HHH of this part. A determination of
sufficiency shall not be construed as acceptance or approval of the
monitoring plan.
(b) Monitoring and reporting. (1)(i) If the permitting authority and
the Administrator determine that the monitoring plan is sufficient under
paragraph (a) of this section, the owner or operator shall monitor and
report the SO2 emissions rate and the heat input of the unit
and all other applicable parameters, in accordance with subpart HHH of
this part, starting on the date
[[Page 123]]
of certification of the appropriate monitoring systems under subpart HHH
of this part and continuing until a CAIR opt-in permit is denied under
Sec.96.284(f) or, if a CAIR opt-in permit is issued, the date and time
when the unit is withdrawn from the CAIR SO2 Trading Program
in accordance with Sec.96.286.
(ii) The monitoring and reporting under paragraph (b)(1)(i) of this
section shall include the entire control period immediately before the
date on which the unit enters the CAIR SO2 Trading Program
under Sec.96.284(g), during which period monitoring system
availability must not be less than 90 percent under subpart HHH of this
part and the unit must be in full compliance with any applicable State
or Federal emissions or emissions-related requirements.
(2) To the extent the SO2 emissions rate and the heat
input of the unit are monitored and reported in accordance with subpart
HHH of this part for one or more control periods, in addition to the
control period under paragraph (b)(1)(ii) of this section, during which
control periods monitoring system availability is not less than 90
percent under subpart HHH of this part and the unit is in full
compliance with any applicable State or Federal emissions or emissions-
related requirements and which control periods begin not more than 3
years before the unit enters the CAIR SO2 Trading Program
under Sec.96.284(g), such information shall be used as provided in
paragraphs (c) and (d) of this section.
(c) Baseline heat input. The unit's baseline heat input shall equal:
(1) If the unit's SO2 emissions rate and heat input are
monitored and reported for only one control period, in accordance with
paragraph (b)(1) of this section, the unit's total heat input (in mmBtu)
for the control period; or
(2) If the unit's SO2 emissions rate and heat input are
monitored and reported for more than one control period, in accordance
with paragraphs (b)(1) and (2) of this section, the average of the
amounts of the unit's total heat input (in mmBtu) for the control
periods under paragraphs (b)(1)(ii) and (2) of this section and the
control periods under paragraph (b)(2) of this section.
(d) Baseline SO2 emission rate. The unit's baseline
SO2 emission rate shall equal:
(1) If the unit's SO2 emissions rate and heat input are
monitored and reported for only one control period, in accordance with
paragraph (b)(1) of this section, the unit's SO2 emissions
rate (in lb/mmBtu) for the control period;
(2) If the unit's SO2 emissions rate and heat input are
monitored and reported for more than one control period, in accordance
with paragraphs (b)(1) and (2) of this section, and the unit does not
have add-on SO2 emission controls during any such control
periods, the average of the amounts of the unit's SO2
emissions rate (in lb/mmBtu) for the control periods under paragraphs
(b)(1)(ii) and (2) of this section; or
(3) If the unit's SO2 emissions rate and heat input are
monitored and reported for more than one control period, in accordance
with paragraphs (b)(1) and (2) of this section, and the unit has add-on
SO2 emission controls during any such control periods, the
average of the amounts of the unit's SO2 emissions rate (in
lb/mmBtu) for such control periods during which the unit has add-on
SO2 emission controls.
(e) Issuance of CAIR opt-in permit. After calculating the baseline
heat input and the baseline SO2 emissions rate for the unit
under paragraphs (c) and (d) of this section and if the permitting
authority determines that the CAIR designated representative shows that
the unit meets the requirements for a CAIR SO2 opt-in unit in
Sec.96.280 and meets the elements certified in Sec.96.283(a)(2), the
permitting authority will issue a CAIR opt-in permit. The permitting
authority will provide a copy of the CAIR opt-in permit to the
Administrator, who will then establish a compliance account for the
source that includes the CAIR SO2 opt-in unit unless the
source already has a compliance account.
(f) Issuance of denial of CAIR opt-in permit. Notwithstanding
paragraphs (a) through (e) of this section, if at any time before
issuance of a CAIR opt-in permit for the unit, the permitting authority
determines that the CAIR designated representative fails to show
[[Page 124]]
that the unit meets the requirements for a CAIR SO2 opt-in
unit in Sec.96.280 or meets the elements certified in Sec.
96.283(a)(2), the permitting authority will issue a denial of a CAIR
opt-in permit for the unit.
(g) Date of entry into CAIR SO2 Trading Program. A unit
for which an initial CAIR opt-in permit is issued by the permitting
authority shall become a CAIR SO2 opt-in unit, and a CAIR
SO2 unit, as of the later of January 1, 2010 or January 1 of
the first control period during which such CAIR opt-in permit is issued.
(h) Repowered CAIR SO2 opt-in unit. (1) If CAIR
designated representative requests, and the permitting authority issues
a CAIR opt-in permit providing for, allocation to a CAIR SO2
opt-in unit of CAIR SO2 allowances under Sec.96.288(c) and
such unit is repowered after its date of entry into the CAIR
SO2 Trading Program under paragraph (g) of this section, the
repowered unit shall be treated as a CAIR SO2 opt-in unit
replacing the original CAIR SO2 opt-in unit, as of the date
of start-up of the repowered unit's combustion chamber.
(2) Notwithstanding paragraphs (c) and (d) of this section, as of
the date of start-up under paragraph (h)(1) of this section, the
repowered unit shall be deemed to have the same date of commencement of
operation, date of commencement of commercial operation, baseline heat
input, and baseline SO2 emission rate as the original CAIR
SO2 opt-in unit, and the original CAIR SO2 opt-in
unit shall no longer be treated as a CAIR SO2 opt-in unit or
a CAIR SO2 unit.
[70 FR 25362, May 12, 2005, as amended at 71 FR 25390, Apr. 28, 2006; 71
FR 74794, Dec. 13, 2006]
Sec.96.285 CAIR opt-in permit contents.
(a) Each CAIR opt-in permit will contain:
(1) All elements required for a complete CAIR permit application
under Sec.96.222;
(2) The certification in Sec.96.283(a)(2);
(3) The unit's baseline heat input under Sec.96.284(c);
(4) The unit's baseline SO2 emission rate under Sec.
96.284(d);
(5) A statement whether the unit is to be allocated CAIR
SO2 allowances Sec.96.288(b) or Sec.96.288(c) (subject to
the conditions in Sec. Sec.96.284(h) and 96.286(g));
(6) A statement that the unit may withdraw from the CAIR
SO2 Trading Program only in accordance with Sec.96.286; and
(7) A statement that the unit is subject to, and the owners and
operators of the unit must comply with, the requirements of Sec.
96.287.
(b) Each CAIR opt-in permit is deemed to incorporate automatically
the definitions of terms under Sec.96.202 and, upon recordation by the
Administrator under subpart FFF or GGG of this part or this subpart,
every allocation, transfer, or deduction of CAIR SO2
allowances to or from the compliance account of the source that includes
a CAIR SO2 opt-in unit covered by the CAIR opt-in permit.
(c) The CAIR opt-in permit shall be included, in a format specified
by the permitting authority, in the CAIR permit for the source where the
CAIR SO2 opt-in unit is located and in a title V operating
permit or other federally enforceable permit for the source.
[70 FR 25362, May 12, 2005, as amended at 71 FR 25390, Apr. 28, 2006]
Sec.96.286 Withdrawal from CAIR SO [bdi2] Trading Program.
Except as provided under paragraph (g) of this section, a CAIR
SO2 opt-in unit may withdraw from the CAIR SO2
Trading Program, but only if the permitting authority issues a
notification to the CAIR designated representative of the CAIR
SO2 opt-in unit of the acceptance of the withdrawal of the
CAIR SO2 opt-in unit in accordance with paragraph (d) of this
section.
(a) Requesting withdrawal. In order to withdraw a CAIR
SO2 opt-in unit from the CAIR SO2 Trading Program,
the CAIR designated representative of the CAIR SO2 opt-in
unit shall submit to the permitting authority a request to withdraw
effective as of midnight of December 31 of a specified calendar year,
which date must be at least 4 years after December 31 of the year of
entry into the CAIR SO2 Trading Program under Sec.
96.284(g). The request must be submitted no later than 90
[[Page 125]]
days before the requested effective date of withdrawal.
(b) Conditions for withdrawal. Before a CAIR SO2 opt-in
unit covered by a request under paragraph (a) of this section may
withdraw from the CAIR SO2 Trading Program and the CAIR opt-
in permit may be terminated under paragraph (e) of this section, the
following conditions must be met:
(1) For the control period ending on the date on which the
withdrawal is to be effective, the source that includes the CAIR
SO2 opt-in unit must meet the requirement to hold CAIR
SO2 allowances under Sec.96.206(c) and cannot have any
excess emissions.
(2) After the requirement for withdrawal under paragraph (b)(1) of
this section is met, the Administrator will deduct from the compliance
account of the source that includes the CAIR SO2 opt-in unit
CAIR SO2 allowances equal in amount to and allocated for the
same or a prior control period as any CAIR SO2 allowances
allocated to the CAIR SO2 opt-in unit under Sec.96.288 for
any control period for which the withdrawal is to be effective. If there
are no remaining CAIR SO2 units at the source, the
Administrator will close the compliance account, and the owners and
operators of the CAIR SO2 opt-in unit may submit a CAIR
SO2 allowance transfer for any remaining CAIR SO2
allowances to another CAIR SO2 Allowance Tracking System in
accordance with subpart GGG of this part.
(c) Notification. (1) After the requirements for withdrawal under
paragraphs (a) and (b) of this section are met (including deduction of
the full amount of CAIR SO2 allowances required), the
permitting authority will issue a notification to the CAIR designated
representative of the CAIR SO2 opt-in unit of the acceptance
of the withdrawal of the CAIR SO2 opt-in unit as of midnight
on December 31 of the calendar year for which the withdrawal was
requested.
(2) If the requirements for withdrawal under paragraphs (a) and (b)
of this section are not met, the permitting authority will issue a
notification to the CAIR designated representative of the CAIR
SO2 opt-in unit that the CAIR SO2 opt-in unit's
request to withdraw is denied. Such CAIR SO2 opt-in unit
shall continue to be a CAIR SO2 opt-in unit.
(d) Permit amendment. After the permitting authority issues a
notification under paragraph (c)(1) of this section that the
requirements for withdrawal have been met, the permitting authority will
revise the CAIR permit covering the CAIR SO2 opt-in unit to
terminate the CAIR opt-in permit for such unit as of the effective date
specified under paragraph (c)(1) of this section. The unit shall
continue to be a CAIR SO2 opt-in unit until the effective
date of the termination and shall comply with all requirements under the
CAIR SO2 Trading Program concerning any control periods for
which the unit is a CAIR SO2 opt-in unit, even if such
requirements arise or must be complied with after the withdrawal takes
effect.
(e) Reapplication upon failure to meet conditions of withdrawal. If
the permitting authority denies the CAIR SO2 opt-in unit's
request to withdraw, the CAIR designated representative may submit
another request to withdraw in accordance with paragraphs (a) and (b) of
this section.
(f) Ability to reapply to the CAIR SO2 Trading Program.
Once a CAIR SO2 opt-in unit withdraws from the CAIR
SO2 Trading Program and its CAIR opt-in permit is terminated
under this section, the CAIR designated representative may not submit
another application for a CAIR opt-in permit under Sec.96.283 for such
CAIR SO2 opt-in unit before the date that is 4 years after
the date on which the withdrawal became effective. Such new application
for a CAIR opt-in permit will be treated as an initial application for a
CAIR opt-in permit under Sec.96.284.
(g) Inability to withdraw. Notwithstanding paragraphs (a) through
(f) of this section, a CAIR SO2 opt-in unit shall not be
eligible to withdraw from the CAIR SO2 Trading Program if the
CAIR designated representative of the CAIR SO2 opt-in unit
requests, and the permitting authority issues a CAIR opt-in permit
providing for, allocation to the CAIR SO2 opt-in unit of CAIR
SO2 allowances under Sec.96.288(c).
[70 FR 25362, May 12, 2005, as amended at 71 FR 25390, Apr. 28, 2006]
[[Page 126]]
Sec.96.287 Change in regulatory status.
(a) Notification. If a CAIR SO2 opt-in unit becomes a
CAIR SO2 unit under Sec.96.204, then the CAIR designated
representative shall notify in writing the permitting authority and the
Administrator of such change in the CAIR SO2 opt-in unit's
regulatory status, within 30 days of such change.
(b) Permitting authority's and Administrator's actions. (1) If a
CAIR SO2 opt-in unit becomes a CAIR SO2 unit under
Sec.96.204, the permitting authority will revise the CAIR
SO2 opt-in unit's CAIR opt-in permit to meet the requirements
of a CAIR permit under Sec.96.223, and remove the CAIR opt-in permit
provisions, as of the date on which the CAIR SO2 opt-in unit
becomes a CAIR SO2 unit under Sec.96.204.
(2)(i) The Administrator will deduct from the compliance account of
the source that includes a CAIR SO2 opt-in unit that becomes
a CAIR SO2 unit under Sec.96.204, CAIR SO2
allowances equal in amount to and allocated for the same or a prior
control period as:
(A) Any CAIR SO2 allowances allocated to the CAIR
SO2 opt-in unit under Sec.96.288 for any control period
after the date on which the CAIR SO2 opt-in unit becomes a
CAIR SO2 unit under Sec.96.204; and
(B) If the date on which the CAIR SO2 opt-in unit becomes
a CAIR SO2 unit under Sec.96.204 is not December 31, the
CAIR SO2 allowances allocated to the CAIR SO2 opt-
in unit under Sec.96.288 for the control period that includes the date
on which the CAIR SO2 opt-in unit becomes a CAIR
SO2 unit under Sec.96.204, multiplied by the ratio of the
number of days, in the control period, starting with the date on which
the CAIR SO2 opt-in unit becomes a CAIR SO2 unit
under Sec.96.204 divided by the total number of days in the control
period and rounded to the nearest whole allowance as appropriate.
(ii) The CAIR designated representative shall ensure that the
compliance account of the source that includes the CAIR SO2
opt-in unit that becomes a CAIR SO2 unit under Sec.96.204
contains the CAIR SO2 allowances necessary for completion of
the deduction under paragraph (b)(2)(i) of this section.
[70 FR 25362, May 12, 2005, as amended at 71 FR 25390, Apr. 28, 2006; 71
FR 74794, Dec. 13, 2006]
Sec.96.288 CAIR SO [bdi2] allowance allocations to CAIR SO [bdi2]
opt-in units.
(a) Timing requirements. (1) When the CAIR opt-in permit is issued
under Sec.96.284(e), the permitting authority will allocate CAIR
SO2 allowances to the CAIR SO2 opt-in unit, and
submit to the Administrator the allocation for the control period in
which a CAIR SO2 opt-in unit enters the CAIR SO2
Trading Program under Sec.96.284(g), in accordance with paragraph (b)
or (c) of this section.
(2) By no later than October 31 of the control period after the
control period in which a CAIR SO2 opt-in unit enters the
CAIR SO2 Trading Program under Sec.96.284(g) and October 31
of each year thereafter, the permitting authority will allocate CAIR
SO2 allowances to the CAIR SO2 opt-in unit, and
submit to the Administrator the allocation for the control period that
includes such submission deadline and in which the unit is a CAIR
SO2 opt-in unit, in accordance with paragraph (b) or (c) of
this section.
(b) Calculation of allocation. For each control period for which a
CAIR SO2 opt-in unit is to be allocated CAIR SO2
allowances, the permitting authority will allocate in accordance with
the following procedures:
(1) The heat input (in mmBtu) used for calculating the CAIR
SO2 allowance allocation will be the lesser of:
(i) The CAIR SO2 opt-in unit's baseline heat input
determined under Sec.96.284(c); or
(ii) The CAIR SO2 opt-in unit's heat input, as determined
in accordance with subpart HHH of this part, for the immediately prior
control period, except when the allocation is being calculated for the
control period in which the CAIR SO2 opt-in unit enters the
CAIR SO2 Trading Program under Sec.96.284(g).
(2) The SO2 emission rate (in lb/mmBtu) used for
calculating CAIR SO2 allowance allocations will be the lesser
of:
[[Page 127]]
(i) The CAIR SO2 opt-in unit's baseline SO2
emissions rate (in lb/mmBtu) determined under Sec.96.284(d) and
multiplied by 70 percent; or
(ii) The most stringent State or Federal SO2 emissions
limitation applicable to the CAIR SO2 opt-in unit at any time
during the control period for which CAIR SO2 allowances are
to be allocated.
(3) The permitting authority will allocate CAIR SO2
allowances to the CAIR SO2 opt-in unit with a tonnage
equivalent equal to, or less than by the smallest possible amount, the
heat input under paragraph (b)(1) of this section, multiplied by the
SO2 emission rate under paragraph (b)(2) of this section, and
divided by 2,000 lb/ton.
(c) Notwithstanding paragraph (b) of this section and if the CAIR
designated representative requests, and the permitting authority issues
a CAIR opt-in permit (based on a demonstration of the intent to repower
stated under Sec.96.283(a)(5)) providing for, allocation to a CAIR
SO2 opt-in unit of CAIR SO2 allowances under this
paragraph (subject to the conditions in Sec. Sec.96.284(h) and
96.286(g)), the permitting authority will allocate to the CAIR
SO2 opt-in unit as follows:
(1) For each control period in 2010 through 2014 for which the CAIR
SO2 opt-in unit is to be allocated CAIR SO2
allowances,
(i) The heat input (in mmBtu) used for calculating CAIR
SO2 allowance allocations will be determined as described in
paragraph (b)(1) of this section.
(ii) The SO2 emission rate (in lb/mmBtu) used for
calculating CAIR SO2 allowance allocations will be the lesser
of:
(A) The CAIR SO2 opt-in unit's baseline SO2
emissions rate (in lb/mmBtu) determined under Sec.96.284(d); or
(B) The most stringent State or Federal SO2 emissions
limitation applicable to the CAIR SO2 opt-in unit at any time
during the control period in which the CAIR SO2 opt-in unit
enters the CAIR SO2 Trading Program under Sec.96.284(g).
(iii) The permitting authority will allocate CAIR SO2
allowances to the CAIR SO2 opt-in unit with a tonnage
equivalent equal to, or less than by the smallest possible amount, the
heat input under paragraph (c)(1)(i) of this section, multiplied by the
SO2 emission rate under paragraph (c)(1)(ii) of this section,
and divided by 2,000 lb/ton.
(2) For each control period in 2015 and thereafter for which the
CAIR SO2 opt-in unit is to be allocated CAIR SO2
allowances,
(i) The heat input (in mmBtu) used for calculating the CAIR
SO2 allowance allocations will be determined as described in
paragraph (b)(1) of this section.
(ii) The SO2 emission rate (in lb/mmBtu) used for
calculating the CAIR SO2 allowance allocation will be the
lesser of:
(A) The CAIR SO2 opt-in unit's baseline SO2
emissions rate (in lb/mmBtu) determined under Sec.96.284(d) multiplied
by 10 percent; or
(B) The most stringent State or Federal SO2 emissions
limitation applicable to the CAIR SO2 opt-in unit at any time
during the control period for which CAIR SO2 allowances are
to be allocated.
(iii) The permitting authority will allocate CAIR SO2
allowances to the CAIR SO2 opt-in unit with a tonnage
equivalent equal to, or less than by the smallest possible amount, the
heat input under paragraph (c)(2)(i) of this section, multiplied by the
SO2 emission rate under paragraph (c)(2)(ii) of this section,
and divided by 2,000 lb/ton.
(d) Recordation. (1) The Administrator will record, in the
compliance account of the source that includes the CAIR SO2
opt-in unit, the CAIR SO2 allowances allocated by the
permitting authority to the CAIR SO2 opt-in unit under
paragraph (a)(1) of this section.
(2) By December 1 of the control period in which a CAIR
SO2 opt-in unit enters the CAIR SO2 Trading
Program under Sec.96.284(g), and December 1 of each year thereafter,
the Administrator will record, in the compliance account of the source
that includes the CAIR SO2 opt-in unit, the CAIR
SO2 allowances allocated by the permitting authority to the
CAIR SO2 opt-in unit under paragraph (a)(2) of this section.
[70 FR 25362, May 12, 2005, as amended at 71 FR 25390, Apr. 28, 2006]
Subparts JJJ-ZZZ [Reserved]
[[Page 128]]
Subpart AAAA_CAIR NOX Ozone Season Trading Program General Provisions
Source: 70 FR 25382, May 12, 2005, unless otherwise noted.
Sec.96.301 Purpose.
This subpart and subparts BBBB through IIII establish the model rule
comprising general provisions and the designated representative,
permitting, allowance, monitoring, and opt-in provisions for the State
Clean Air Interstate Rule (CAIR) NOX Ozone Season Trading
Program, under section 110 of the Clean Air Act and Sec.51.123 of this
chapter, as a means of mitigating interstate transport of ozone and
nitrogen oxides. The owner or operator of a unit or a source shall
comply with the requirements of this subpart and subparts BBBB through
IIII as a matter of federal law only if the State with jurisdiction over
the unit and the source incorporates by reference such subparts or
otherwise adopts the requirements of such subparts in accordance with
Sec.51.123(aa)(1) or (2), of this chapter, the State submits to the
Administrator one or more revisions of the State implementation plan
that include such adoption, and the Administrator approves such
revisions. If the State adopts the requirements of such subparts in
accordance with Sec.51.123(aa)(1) or (2), (bb), or (dd) of this
chapter, then the State authorizes the Administrator to assist the State
in implementing the CAIR NOX Ozone Season Trading Program by
carrying out the functions set forth for the Administrator in such
subparts.
Sec.96.302 Definitions.
The terms used in this subpart and subparts BBBB through IIII shall
have the meanings set forth in this section as follows:
Account number means the identification number given by the
Administrator to each CAIR NOX Ozone Season Allowance
Tracking System account.
Acid Rain emissions limitation means a limitation on emissions of
sulfur dioxide or nitrogen oxides under the Acid Rain Program.
Acid Rain Program means a multi-state sulfur dioxide and nitrogen
oxides air pollution control and emission reduction program established
by the Administrator under title IV of the CAA and parts 72 through 78
of this chapter.
Administrator means the Administrator of the United States
Environmental Protection Agency or the Administrator's duly authorized
representative.
Allocate or allocation means, with regard to CAIR NOX
Ozone Season allowances, the determination by a permitting authority or
the Administrator of the amount of such CAIR NOX Ozone Season
allowances to be initially credited to a CAIR NOX Ozone
Season unit, a new unit set-aside, or other entity.
Allowance transfer deadline means, for a control period, midnight of
November 30 (if it is a business day), or midnight of the first business
day thereafter (if November 30 is not a business day), immediately
following the control period and is the deadline by which a CAIR
NOX Ozone Season allowance transfer must be submitted for
recordation in a CAIR NOX Ozone Season source's compliance
account in order to be used to meet the source's CAIR NOX
Ozone Season emissions limitation for such control period in accordance
with Sec.96.354.
Alternate CAIR designated representative means, for a CAIR
NOX Ozone Season source and each CAIR 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 subparts BBBB and IIII of this part, to act on behalf of
the CAIR designated representative in matters pertaining to the CAIR
NOX Ozone Season Trading Program. If the CAIR NOX
Ozone Season source is also a CAIR NOX source, then this
natural person shall be the same person as the alternate CAIR designated
representative under the CAIR NOX Annual Trading Program. If
the CAIR NOX Ozone Season source is also a CAIR
SO2 source, then this natural person shall be the same person
as the alternate CAIR designated representative under the CAIR
SO2 Trading Program. If the CAIR NOX Ozone Season
source is also subject to
[[Page 129]]
the Acid Rain Program, then this natural person shall be the same person
as the alternate designated representative under the Acid Rain Program.
If the CAIR NOX Ozone Season source is also subject to the Hg
Budget Trading Program, then this natural person shall be the same
person as the alternate Hg designated representative under the Hg Budget
Trading Program.
Automated data acquisition and handling system or DAHS means that
component of the continuous emission monitoring system, or other
emissions monitoring system approved for use under subpart HHHH of this
part, designed to interpret and convert individual output signals from
pollutant concentration monitors, flow monitors, diluent gas monitors,
and other component parts of the monitoring system to produce a
continuous record of the measured parameters in the measurement units
required by subpart HHHH of this part.
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
nonmerchantable material, and that is;
(i) A forest-related organic resource, including mill residues,
precommercial thinnings, slash, brush, or byproduct from conversion of
trees to merchantable material; or
(ii) A wood material, including pallets, crates, dunnage,
manufacturing and construction materials (other than pressure-treated,
chemically-treated, or painted wood products), and landscape or right-
of-way tree trimmings.
Boiler means an enclosed fossil- or other-fuel-fired combustion
device used to produce heat and to transfer heat to recirculating water,
steam, or other medium.
Bottoming-cycle cogeneration unit means a cogeneration unit in which
the energy input to the unit is first used to produce useful thermal
energy and at least some of the reject heat from the useful thermal
energy application or process is then used for electricity production.
CAIR authorized account representative means, with regard to a
general account, a responsible natural person who is authorized, in
accordance with subparts BBBB, FFFF, and IIII of this part, to transfer
and otherwise dispose of CAIR NOX Ozone Season allowances
held in the general account and, with regard to a compliance account,
the CAIR designated representative of the source.
CAIR designated representative means, for a CAIR NOX
Ozone Season source and each CAIR 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 subparts BBBB and IIII of this part, to represent and legally bind
each owner and operator in matters pertaining to the CAIR NOX
Ozone Season Trading Program. If the CAIR NOX Ozone Season
source is also a CAIR NOX source, then this natural person
shall be the same person as the CAIR designated representative under the
CAIR NOX Annual Trading Program. If the CAIR NOX
Ozone Season source is also a CAIR SO2 source, then this
natural person shall be the same person as the CAIR designated
representative under the CAIR SO2 Trading Program. If the
CAIR NOX Ozone Season source is also subject to the Acid Rain
Program, then this natural person shall be the same person as the
designated representative under the Acid Rain Program. If the CAIR
NOX Ozone Season source is also subject to the Hg Budget
Trading Program, then this natural person shall be the same person as
the Hg designated representative under the Hg Budget Trading Program.
CAIR NOX Annual Trading Program means a multi-state nitrogen oxides
air pollution control and emission reduction program approved and
administered by the Administrator in accordance with subparts AA through
II of this part and Sec.51.123(o)(1) or (2) of this chapter or
established by the Administrator in accordance with subparts AA through
II of part 97 of this chapter and Sec. Sec.51.123(p) and 52.35 of this
chapter, as
[[Page 130]]
a means of mitigating interstate transport of fine particulates and
nitrogen oxides.
CAIR NOX Ozone Season allowance means a limited authorization issued
by a permitting authority or the Administrator under provisions of a
State implementation plan that are approved under Sec.51.123(aa)(1) or
(2) (and (bb)(1)), (bb)(2), (dd), or (ee) of this chapter, or under
subpart EEEE of part 97 or Sec.97.388 of this chapter, to emit one ton
of nitrogen oxides during a control period of the specified calendar
year for which the authorization is allocated or of any calendar year
thereafter under the CAIR NOX Ozone Season Trading Program or
a limited authorization issued by a permitting authority for a control
period during 2003 through 2008 under the NOX Budget Trading
Program in accordance with Sec.51.121(p) of this chapter to emit one
ton of nitrogen oxides during a control period, provided that the
provision in Sec.51.121(b)(2)(ii)(E) of this chapter shall not be used
in applying this definition and the limited authorization shall not have
been used to meet the allowance-holding requirement under the
NOX Budget Trading Program. An authorization to emit nitrogen
oxides that is not issued under provisions of a State implementation
plan approved under Sec.51.123(aa)(1) or (2) (and (bb)(1)), (bb)(2),
(dd), or (ee) of this chapter or subpart EEEE of part 97 or Sec.97.388
of this chapter or under the NOX Budget Trading Program as
described in the prior sentence shall not be a CAIR NOX Ozone
Season allowance.
CAIR NOX Ozone Season allowance deduction or deduct CAIR NOX Ozone
Season allowances means the permanent withdrawal of CAIR NOX
Ozone Season allowances by the Administrator from a compliance account,
e.g., in order to account for a specified number of tons of total
nitrogen oxides emissions from all CAIR NOX Ozone Season
units at a CAIR NOX Ozone Season source for a control period,
determined in accordance with subpart HHHH of this part, or to account
for excess emissions.
CAIR NOX Ozone Season Allowance Tracking System means the system by
which the Administrator records allocations, deductions, and transfers
of CAIR NOX Ozone Season allowances under the CAIR
NOX Ozone Season Trading Program. Such allowances will be
allocated, held, deducted, or transferred only as whole allowances.
CAIR NOX Ozone Season Allowance Tracking System account means an
account in the CAIR NOX Ozone Season Allowance Tracking
System established by the Administrator for purposes of recording the
allocation, holding, transferring, or deducting of CAIR NOX
Ozone Season allowances.
CAIR NOX Ozone Season allowances held or hold CAIR NOX Ozone Season
allowances means the CAIR NOX Ozone Season allowances
recorded by the Administrator, or submitted to the Administrator for
recordation, in accordance with subparts FFFF, GGGG, and IIII of this
part, in a CAIR NOX Ozone Season Allowance Tracking System
account.
CAIR NOX Ozone Season emissions limitation means, for a CAIR
NOX Ozone Season source, the tonnage equivalent, in
NOX emissions in a control period, of the CAIR NOX
Ozone Season allowances available for deduction for the source under
Sec.96.354(a) and (b) for the control period.
CAIR NOX Ozone Season Trading Program means a multi-state nitrogen
oxides air pollution control and emission reduction program approved and
administered by the Administrator in accordance with subparts AAAA
through IIII of this part and Sec.51.123(aa)(1) or (2) (and (bb)(1)),
(bb)(2), or (dd) of this chapter or established by the Administrator in
accordance with subparts AAAA through IIII of part 97 of this chapter
and Sec. Sec.51.123(ee) and 52.35 of this chapter, as a means of
mitigating interstate transport of ozone and nitrogen oxides.
CAIR NOX Ozone Season source means a source that includes one or
more CAIR NOX Ozone Season units.
CAIR NOX Ozone Season unit means a unit that is subject to the CAIR
NOX Ozone Season Trading Program under Sec.96.304 and,
except for purposes of Sec.96.305 and subpart EEEE of this part, a
CAIR NOX Ozone Season opt-in unit under subpart IIII of this
part.
CAIR NOX source means a source that is subject to the CAIR
NOX Annual Trading Program.
[[Page 131]]
CAIR permit means the legally binding and federally enforceable
written document, or portion of such document, issued by the permitting
authority under subpart CCCC of this part, including any permit
revisions, specifying the CAIR NOX Ozone Season Trading
Program requirements applicable to a CAIR NOX Ozone Season
source, to each CAIR NOX Ozone Season unit at the source, and
to the owners and operators and the CAIR designated representative of
the source and each such unit.
CAIR SO2 source means a source that is subject to the CAIR
SO2 Trading Program.
CAIR SO2 Trading Program means a multi-state sulfur dioxide air
pollution control and emission reduction program approved and
administered by the Administrator in accordance with subparts AAA
through III of this part and Sec.51.124(o)(1) or (2) of this chapter
or established by the Administrator in accordance with subparts AAA
through III of part 97 of this chapter and Sec. Sec.51.124(r) and
52.36 of this chapter, as a means of mitigating interstate transport of
fine particulates and sulfur dioxide.
Clean Air Act or CAA means the Clean Air Act, 42 U.S.C. 7401, et
seq.
Coal means any solid fuel classified as anthracite, bituminous,
subbituminous, or lignite.
Coal-derived fuel means any fuel (whether in a solid, liquid, or
gaseous state) produced by the mechanical, thermal, or chemical
processing of coal.
Coal-fired means:
(1) Except for purposes of subpart EEEE of this part, combusting any
amount of coal or coal-derived fuel, alone or in combination with any
amount of any other fuel, during any year; or
(2) For purposes of subpart EEEE of this part, combusting any amount
of coal or coal-derived fuel, alone or in combination with any amount of
any other fuel, during a specified year.
Cogeneration unit means a stationary, fossil-fuel-fired boiler or
stationary, fossil-fuel-fired combustion turbine:
(1) Having equipment used to produce electricity and useful thermal
energy for industrial, commercial, heating, or cooling purposes through
the sequential use of energy; and
(2) Producing during the 12-month period starting on the date the
unit first produces electricity and during any calendar year after the
calendar year in which the unit first produces electricity--
(i) For a topping-cycle cogeneration unit,
(A) Useful thermal energy not less than 5 percent of total energy
output; and
(B) Useful power that, when added to one-half of useful thermal
energy produced, is not less then 42.5 percent of total energy input, if
useful thermal energy produced is 15 percent or more of total energy
output, or not less than 45 percent of total energy input, if useful
thermal energy produced is less than 15 percent of total energy output.
(ii) For a bottoming-cycle cogeneration unit, useful power not less
than 45 percent of total energy input;
(3) Provided that the total energy input under paragraphs (2)(i)(B)
and (2)(ii) of this definition shall equal the unit's total energy input
from all fuel except biomass if the unit is a boiler.
Combustion turbine means:
(1) An enclosed device comprising 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 enclosed device under paragraph (1) of this definition is
combined cycle, 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 Sec.96.305 and Sec.96.384(h).
(i) For a unit that is a CAIR NOX Ozone Season unit under
Sec.96.304 on the later of November 15, 1990 or the date the unit
commences commercial operation as defined in paragraph (1) of this
definition and that subsequently undergoes a physical change (other than
replacement of the unit by a unit at the same source), such date shall
remain the date of commencement of
[[Page 132]]
commercial operation of the unit, which shall continue to be treated as
the same unit.
(ii) For a unit that is a CAIR NOX Ozone Season unit
under Sec.96.304 on the later of November 15, 1990 or the date the
unit commences commercial operation as defined in paragraph (1) of this
definition and that is subsequently replaced by a unit at the same
source (e.g., repowered), 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 Sec.96.305, for a unit that is not a CAIR NOX
Ozone Season unit under Sec.96.304 on the later of November 15, 1990
or the date the unit commences commercial operation as defined in
paragraph (1) of this definition, the unit's date for commencement of
commercial operation shall be the date on which the unit becomes a CAIR
NOX Ozone Season unit under Sec.96.304.
(i) For a unit with a date for commencement of commercial operation
as defined in paragraph (2) of this definition and that subsequently
undergoes a physical change (other than replacement of the unit by a
unit at the same source), such date shall remain the date of
commencement of commercial operation of the unit, which shall continue
to be treated as the same unit.
(ii) For a unit with a date for commencement of commercial operation
as defined in paragraph (2) of this definition and that is subsequently
replaced by a unit at the same source (e.g., repowered), such date shall
remain the replaced unit's date of commencement of commercial operation,
and the replacement unit shall be treated as a separate unit with a
separate date for commencement of commercial operation as defined in
paragraph (1) or (2) of this definition as appropriate.
Commence operation means:
(1) To have begun any mechanical, chemical, or electronic process,
including, with regard to a unit, start-up of a unit's combustion
chamber, except as provided in Sec.96.384(h).
(2) For a unit that undergoes a physical change (other than
replacement of the unit by a unit at the same source) after the date the
unit commences operation as defined in paragraph (1) of this definition,
such date shall remain the date of commencement of operation of the
unit, which shall continue to be treated as the same unit.
(3) For a unit that is replaced by a unit at the same source (e.g.,
repowered) after the date the unit commences operation as defined in
paragraph (1) of this definition, such date shall remain the replaced
unit's date of commencement of operation, and the replacement unit shall
be treated as a separate unit with a separate date for commencement of
operation as defined in paragraph (1), (2), or (3) of this definition as
appropriate, except as provided in Sec.96.384(h).
Common stack means a single flue through which emissions from 2 or
more units are exhausted.
Compliance account means a CAIR NOX Ozone Season
Allowance Tracking System account, established by the Administrator for
a CAIR NOX Ozone Season source under subpart FFFF or IIII of
this part, in which any CAIR NOX Ozone Season allowance
allocations for the CAIR NOX Ozone Season units at the source
are initially recorded and in which are held any CAIR NOX
Ozone Season allowances available for use for a control period in order
to meet the source's CAIR NOX Ozone Season emissions
limitation in accordance with Sec.96.354.
Continuous emission monitoring system or CEMS means the equipment
required under subpart HHHH of this part to sample, analyze, measure,
and provide, by means of readings recorded at least once every 15
minutes (using an automated data acquisition and handling system
(DAHS)), a permanent record of nitrogen oxides emissions, stack gas
volumetric flow rate, stack gas moisture content, and oxygen or carbon
dioxide concentration (as applicable), in a manner consistent with part
75 of this chapter. The following systems are the principal types of
continuous emission monitoring systems required under subpart HHHH of
this part:
[[Page 133]]
(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 nitrogen oxides 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 nitrogen oxides emission rate (or NOX-diluent)
monitoring system, consisting of a NOX pollutant
concentration monitor, a diluent gas (CO2 or O2)
monitor, and an automated data acquisition and handling system and
providing a permanent, continuous record of NOX
concentration, in parts per million (ppm), diluent gas concentration, in
percent CO2 or O2, and NOX emission
rate, in pounds per million British thermal units (lb/mmBtu);
(4) A moisture monitoring system, as defined in Sec.75.11(b)(2) of
this chapter and providing a permanent, continuous record of the stack
gas moisture content, in percent H2O;
(5) A carbon dioxide monitoring system, consisting of a
CO2 pollutant concentration monitor (or an oxygen monitor
plus suitable mathematical equations from which the CO2
concentration is derived) and an automated data acquisition and handling
system and providing a permanent, continuous record of CO2
emissions, in percent CO2; and
(6) An oxygen monitoring system, consisting of an O2
concentration monitor and an automated data acquisition and handling
system and providing a permanent, continuous record of O2 in
percent O2.
Control period or ozone season means the period beginning May 1 of a
calendar year, except as provided in Sec.96.306(c)(2), and ending on
September 30 of the same year, inclusive.
Emissions means air pollutants exhausted from a unit or source into
the atmosphere, as measured, recorded, and reported to the Administrator
by the CAIR designated representative and as determined by the
Administrator in accordance with subpart HHHH of this part.
Excess emissions means any ton of nitrogen oxides emitted by the
CAIR NOX Ozone Season units at a CAIR NOX Ozone
Season source during a control period that exceeds the CAIR
NOX Ozone Season emissions limitation for the source.
Fossil fuel means natural gas, petroleum, coal, or any form of
solid, liquid, or gaseous fuel derived from such material.
Fossil-fuel-fired means, with regard to a unit, combusting any
amount of fossil fuel in any calendar year.
Fuel oil means any petroleum-based fuel (including diesel fuel or
petroleum derivatives such as oil tar) and any recycled or blended
petroleum products or petroleum by-products used as a fuel whether in a
liquid, solid, or gaseous state.
General account means a CAIR NOX Ozone Season Allowance
Tracking System account, established under subpart FFFF of this part,
that is not a compliance account.
Generator means a device that produces electricity.
Gross electrical output means, with regard to a cogeneration unit,
electricity made available for use, including any such electricity used
in the power production process (which process includes, but is not
limited to, any on-site processing or treatment of fuel combusted at the
unit and any on-site emission controls).
Heat input means, with regard to a specified period of time, the
product (in mmBtu/time) of the gross calorific value of the fuel (in
Btu/lb) divided by 1,000,000 Btu/mmBtu and multiplied by the fuel feed
rate into a combustion device (in lb of fuel/time), as measured,
recorded, and reported to the Administrator by the CAIR designated
representative and determined by the Administrator in accordance with
subpart HHHH of this part and excluding the heat derived from preheated
combustion air, recirculated flue gases, or exhaust from other sources.
Heat input rate means the amount of heat input (in mmBtu) divided by
unit operating time (in hr) or, with regard to a specific fuel, the
amount of heat input attributed to the fuel (in mmBtu)
[[Page 134]]
divided by the unit operating time (in hr) during which the unit
combusts the fuel.
Life-of-the-unit, firm power contractual arrangement means a unit
participation power sales agreement under which a utility or industrial
customer reserves, or is entitled to receive, a specified amount or
percentage of nameplate capacity and associated energy generated by any
specified unit and pays its proportional amount of such unit's total
costs, pursuant to a contract:
(1) For the life of the unit;
(2) For a cumulative term of no less than 30 years, including
contracts that permit an election for early termination; or
(3) For a period no less than 25 years or 70 percent of the economic
useful life of the unit determined as of the time the unit is built,
with option rights to purchase or release some portion of the nameplate
capacity and associated energy generated by the unit at the end of the
period.
Maximum design heat input means the maximum amount of fuel per hour
(in Btu/hr) that a unit is capable of combusting on a steady state basis
as of the initial installation of the unit as specified by the
manufacturer of the unit.
Monitoring system means any monitoring system that meets the
requirements of subpart HHHH of this part, including a continuous
emissions monitoring system, an alternative monitoring system, or an
excepted monitoring system under part 75 of this chapter.
Most stringent State or Federal NOX emissions limitation
means, with regard to a unit, the lowest NOX emissions
limitation (in terms of lb/mmBtu) that is applicable to the unit under
State or Federal law, regardless of the averaging period to which the
emissions limitation applies.
Nameplate capacity means, starting from the initial installation of
a generator, the maximum electrical generating output (in MWe) that the
generator is capable of producing on a steady state basis and during
continuous operation (when not restricted by seasonal or other
deratings) as of such installation as specified by the manufacturer of
the generator or, starting from the completion of any subsequent
physical change in the generator resulting in an increase in the maximum
electrical generating output (in MWe) that the generator is capable of
producing on a steady state basis and during continuous operation (when
not restricted by seasonal or other deratings), such increased maximum
amount as of such completion as specified by the person conducting the
physical change.
Oil-fired means, for purposes of subpart EEEE of this part,
combusting fuel oil for more than 15.0 percent of the annual heat input
in a specified year and not qualifying as coal-fired.
Operator means any person who operates, controls, or supervises a
CAIR NOX Ozone Season unit or a CAIR NOX Ozone
Season source and shall include, but not be limited to, any holding
company, utility system, or plant manager of such a unit or source.
Owner means any of the following persons:
(1) With regard to a CAIR NOX Ozone Season source or a
CAIR NOX Ozone Season unit at a source, respectively:
(i) Any holder of any portion of the legal or equitable title in a
CAIR NOX Ozone Season unit at the source or the CAIR
NOX Ozone Season unit;
(ii) Any holder of a leasehold interest in a CAIR NOX
Ozone Season unit at the source or the CAIR NOX Ozone Season
unit; or
(iii) Any purchaser of power from a CAIR NOX Ozone Season
unit at the source or the CAIR NOX Ozone Season unit under a
life-of-the-unit, firm power contractual arrangement; 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 CAIR
NOX Ozone Season unit; or
(2) With regard to any general account, any person who has an
ownership interest with respect to the CAIR NOX Ozone Season
allowances held in the general account and who is subject to the binding
agreement for the CAIR authorized account representative to
[[Page 135]]
represent the person's ownership interest with respect to CAIR
NOX Ozone Season allowances.
Permitting authority means the State air pollution control agency,
local agency, other State agency, or other agency authorized by the
Administrator to issue or revise permits to meet the requirements of the
CAIR NOX Ozone Season Trading Program or, if no such agency
has been so authorized, the Administrator.
Potential electrical output capacity means 33 percent of a unit's
maximum design heat input, divided by 3,413 Btu/kWh, divided by 1,000
kWh/MWh, and multiplied by 8,760 hr/yr.
Receive or receipt of means, when referring to the permitting
authority or the Administrator, to come into possession of a document,
information, or correspondence (whether sent in hard copy or by
authorized electronic transmission), as indicated in an official log, or
by a notation made on the document, information, or correspondence, by
the permitting authority or the Administrator in the regular course of
business.
Recordation, record, or recorded means, with regard to CAIR
NOX Ozone Season allowances, the movement of CAIR
NOX Ozone Season allowances by the Administrator into or
between CAIR NOX Ozone Season Allowance Tracking System
accounts, for purposes of allocation, transfer, or deduction.
Reference method means any direct test method of sampling and
analyzing for an air pollutant as specified in Sec.75.22 of this
chapter.
Replacement, replace, or replaced means, with regard to a unit, the
demolishing of a unit, or the permanent shutdown and permanent disabling
of a unit, and the construction of another unit (the replacement unit)
to be used instead of the demolished or shutdown unit (the replaced
unit).
Repowered means, with regard to a unit, replacement of a coal-fired
boiler with one of the following coal-fired technologies at the same
source as the coal-fired boiler:
(1) Atmospheric or pressurized fluidized bed combustion;
(2) Integrated gasification combined cycle;
(3) Magnetohydrodynamics;
(4) Direct and indirect coal-fired turbines;
(5) Integrated gasification fuel cells; or
(6) As determined by the Administrator in consultation with the
Secretary of Energy, a derivative of one or more of the technologies
under paragraphs (1) through (5) of this definition and any other coal-
fired technology capable of controlling multiple combustion emissions
simultaneously with improved boiler or generation efficiency and with
significantly greater waste reduction relative to the performance of
technology in widespread commercial use as of January 1, 2005.
Serial number means, for a CAIR NOX Ozone Season
allowance, the unique identification number assigned to each CAIR
NOX Ozone Season allowance by the Administrator.
Sequential use of energy means:
(1) For a topping-cycle cogeneration unit, the use of reject heat
from electricity production in a useful thermal energy application or
process; or
(2) For a bottoming-cycle cogeneration unit, the use of reject heat
from useful thermal energy application or process in electricity
production.
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. For purposes of section 502(c) of the Clean
Air Act, a ``source,'' including a ``source'' with multiple units, shall
be considered a single ``facility.''
State means one of the States or the District of Columbia that
adopts the CAIR NOX Ozone Season Trading Program pursuant to
Sec.51.123(aa)(1) or (2), (bb), or (dd) 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;
[[Page 136]]
(2) By United States Postal Service; or
(3) By other means of dispatch or transmission and delivery.
Compliance with any ``submission'' or ``service'' deadline shall be
determined by the date of dispatch, transmission, or mailing and not the
date of receipt.
Title V operating permit means a permit issued under title V of the
Clean Air Act and part 70 or part 71 of this chapter.
Title V operating permit regulations means the regulations that the
Administrator has approved or issued as meeting the requirements of
title V of the Clean Air Act and part 70 or 71 of this chapter.
Ton means 2,000 pounds. For the purpose of determining compliance
with the CAIR NOX Ozone Season emissions limitation, total
tons of nitrogen oxides emissions for a control period shall be
calculated as the sum of all recorded hourly emissions (or the mass
equivalent of the recorded hourly emission rates) in accordance with
subpart HHHH of this part, but with any remaining fraction of a ton
equal to or greater than 0.50 tons deemed to equal one ton and any
remaining fraction of a ton less than 0.50 tons deemed to equal zero
tons.
Topping-cycle cogeneration unit means a cogeneration unit in which
the energy input to the unit is first used to produce useful power,
including electricity, and at least some of the reject heat from the
electricity production is then used to provide useful thermal energy.
Total energy input means, with regard to a cogeneration unit, total
energy of all forms supplied to the cogeneration unit, excluding energy
produced by the cogeneration unit itself. 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 fuel in Btu/lb,
HHV = higher heating value of fuel in Btu/lb,
W = Weight % of moisture in fuel, and
H = Weight % of hydrogen in fuel.
Total energy output means, with regard to a cogeneration unit, the
sum of useful power and useful thermal energy produced by the
cogeneration unit.
Unit means a stationary, fossil-fuel-fired boiler or combustion
turbine or other stationary, fossil-fuel-fired combustion device.
Unit operating day means a calendar day in which a unit combusts any
fuel.
Unit operating hour or hour of unit operation means an hour in which
a unit combusts any fuel.
Useful power means, with regard to a cogeneration unit, electricity
or mechanical energy made 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, with regard to a cogeneration unit,
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., thermal energy used
by 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.
[70 FR 25382, May 12, 2005, as amended at 71 FR 25390, Apr. 28, 2006; 71
FR 74794, Dec. 13, 2006; 72 FR 59206, Oct. 19, 2007]
Sec.96.303 Measurements, abbreviations, and acronyms.
Measurements, abbreviations, and acronyms used in this subpart and
subparts BBBB through IIII are defined as follows:
Btu--British thermal unit
CO2--carbon dioxide
H2O--water
Hg--mercury
hr--hour
kW--kilowatt electrical
kWh--kilowatt hour
lb--pound
mmBtu--million Btu
MWe--megawatt electrical
MWh--megawatt hour
[[Page 137]]
NOX--nitrogen oxides
O2--oxygen
ppm--parts per million
scfh--standard cubic feet per hour
SO2--sulfur dioxide
yr--year
[71 FR 25392, Apr. 28, 2006]
Sec.96.304 Applicability.
(a) Except as provided in paragraph (b) of this section:
(1) The following units in a State shall be CAIR NOX
Ozone Season units, and any source that includes one or more such units
shall be a CAIR NOX Ozone Season source, subject to the
requirements of this subpart and subparts BBBB through HHHH of this
part: any stationary, fossil-fuel-fired boiler or stationary, fossil-
fuel-fired combustion turbine serving at any time, since the later of
November 15, 1990 or the start-up of the unit's combustion chamber, a
generator with nameplate capacity of more than 25 MWe producing
electricity for sale.
(2) If a stationary boiler or stationary combustion turbine that,
under paragraph (a)(1) of this section, is not a CAIR NOX
Ozone Season unit begins to combust fossil fuel or to serve a generator
with nameplate capacity of more than 25 MWe producing electricity for
sale, the unit shall become a CAIR NOX Ozone Season unit as
provided in paragraph (a)(1) of this section on the first date on which
it both combusts fossil fuel and serves such generator.
(b) The units in a State that meet the requirements set forth in
paragraph (b)(1)(i), (b)(2)(i), or (b)(2)(ii) of this section shall not
be CAIR NOX Ozone Season units:
(1)(i) Any unit that is a CAIR NOX Ozone Season unit
under paragraph (a)(1) or (2) of this section:
(A) Qualifying as a cogeneration unit during the 12-month period
starting on the date the unit first produces electricity and continuing
to qualify as a cogeneration unit; and
(B) Not serving at any time, since the later of November 15, 1990 or
the start-up of the unit's combustion chamber, a generator with
nameplate capacity of more than 25 MWe supplying in any calendar year
more than one-third of the unit's potential electric output capacity or
219,000 MWh, whichever is greater, to any utility power distribution
system for sale.
(ii) If a unit qualifies as a cogeneration unit during the 12-month
period starting on the date the unit first produces electricity and
meets the requirements of paragraphs (b)(1)(i) of this section for at
least one calendar year, but subsequently no longer meets all such
requirements, the unit shall become a CAIR NOX Ozone Season
unit starting on the earlier of January 1 after the first calendar year
during which the unit first no longer qualifies as a cogeneration unit
or January 1 after the first calendar year during which the unit no
longer meets the requirements of paragraph (b)(1)(i)(B) of this section.
(2)(i) Any unit that is a CAIR NOX Ozone Season unit
under paragraph (a)(1) or (2) of this section commencing operation
before January 1, 1985:
(A) Qualifying as a solid waste incineration unit; and
(B) With an average annual fuel consumption of non-fossil fuel for
1985-1987 exceeding 80 percent (on a Btu basis) and an average annual
fuel consumption of non-fossil fuel for any 3 consecutive calendar years
after 1990 exceeding 80 percent (on a Btu basis).
(ii) Any unit that is a CAIR NOX Ozone Season unit under
paragraph (a)(1) or (2) of this section commencing operation on or after
January 1, 1985:
(A) Qualifying as a solid waste incineration unit; and
(B) With an average annual fuel consumption of non-fossil fuel for
the first 3 calendar years of operation exceeding 80 percent (on a Btu
basis) and an average annual fuel consumption of non-fossil fuel for any
3 consecutive calendar years after 1990 exceeding 80 percent (on a Btu
basis).
(iii) If a unit qualifies as a solid waste incineration unit and
meets the requirements of paragraph (b)(2)(i) or (ii) of this section
for at least 3 consecutive calendar years, but subsequently no longer
meets all such requirements, the unit shall become a CAIR 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
[[Page 138]]
years after 1990 for which the unit has an average annual fuel
consumption of fossil fuel of 20 percent or more.
[71 FR 25392, Apr. 28, 2006, as amended at 71 FR 74794, Dec. 13, 2006]
Sec.96.305 Retired unit exemption.
(a)(1) Any CAIR NOX Ozone Season unit that is permanently
retired and is not a CAIR NOX Ozone Season opt-in unit under
subpart IIII of this part shall be exempt from the CAIR NOX
Ozone Season Trading Program, except for the provisions of this section,
Sec.96.302, Sec.96.303, Sec.96.304, Sec.96.306(c)(4) through
(7), Sec.96.307, Sec.96.308, and subparts BBBB and EEEE through GGGG
of this part.
(2) The exemption under paragraph (a)(1) of this section shall
become effective the day on which the CAIR NOX Ozone Season
unit is permanently retired. Within 30 days of the unit's permanent
retirement, the CAIR designated representative shall submit a statement
to the permitting authority otherwise responsible for administering any
CAIR permit for the unit and shall submit a copy of the statement to the
Administrator. The statement shall state, in a format prescribed by the
permitting authority, that the unit was permanently retired on a
specific date and will comply with the requirements of paragraph (b) of
this section.
(3) After receipt of the statement under paragraph (a)(2) of this
section, the permitting authority will amend any permit under subpart
CCCC of this part covering the source at which the unit is located to
add the provisions and requirements of the exemption under paragraphs
(a)(1) and (b) of this section.
(b) Special provisions. (1) A unit exempt under paragraph (a) of
this section shall not emit any nitrogen oxides, starting on the date
that the exemption takes effect.
(2) The permitting authority will allocate CAIR NOX Ozone
Season allowances under subpart EEEE of this part to a unit exempt under
paragraph (a) of this section.
(3) 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 permitting authority or the
Administrator. The owners and operators bear the burden of proof that
the unit is permanently retired.
(4) The owners and operators and, to the extent applicable, the CAIR
designated representative of a unit exempt under paragraph (a) of this
section shall comply with the requirements of the CAIR NOX
Ozone Season Trading Program concerning all periods for which the
exemption is not in effect, even if such requirements arise, or must be
complied with, after the exemption takes effect.
(5) A unit exempt under paragraph (a) of this section and located at
a source that is required, or but for this exemption would be required,
to have a title V operating permit shall not resume operation unless the
CAIR designated representative of the source submits a complete CAIR
permit application under Sec.96.322 for the unit not less than 18
months (or such lesser time provided by the permitting authority) before
the later of January 1, 2009 or the date on which the unit resumes
operation.
(6) On the earlier of the following dates, a unit exempt under
paragraph (a) of this section shall lose its exemption:
(i) The date on which the CAIR designated representative submits a
CAIR permit application for the unit under paragraph (b)(5) of this
section;
(ii) The date on which the CAIR designated representative is
required under paragraph (b)(5) of this section to submit a CAIR permit
application for the unit; or
(iii) The date on which the unit resumes operation, if the CAIR
designated representative is not required to submit a CAIR permit
application for the unit.
(7) For the purpose of applying monitoring, reporting, and
recordkeeping requirements under subpart HHHH of this part, a unit that
loses its exemption under paragraph (a) of this section shall be treated
as a unit that commences commercial operation on the
[[Page 139]]
first date on which the unit resumes operation.
[70 FR 25382, May 12, 2005, as amended at 71 FR 25393, Apr. 28, 2006]
Sec.96.306 Standard requirements.
(a) Permit requirements. (1) The CAIR designated representative of
each CAIR NOX Ozone Season source required to have a title V
operating permit and each CAIR NOX Ozone Season unit required
to have a title V operating permit at the source shall:
(i) Submit to the permitting authority a complete CAIR permit
application under Sec.96.322 in accordance with the deadlines
specified in Sec.96.321; and
(ii) Submit in a timely manner any supplemental information that the
permitting authority determines is necessary in order to review a CAIR
permit application and issue or deny a CAIR permit.
(2) The owners and operators of each CAIR NOX Ozone
Season source required to have a title V operating permit and each CAIR
NOX Ozone Season unit required to have a title V operating
permit at the source shall have a CAIR permit issued by the permitting
authority under subpart CCCC of this part for the source and operate the
source and the unit in compliance with such CAIR permit.
(3) Except as provided in subpart IIII of this part, the owners and
operators of a CAIR NOX Ozone Season source that is not
otherwise required to have a title V operating permit and each CAIR
NOX Ozone Season unit that is not otherwise required to have
a title V operating permit are not required to submit a CAIR permit
application, and to have a CAIR permit, under subpart CCCC of this part
for such CAIR NOX Ozone Season source and such CAIR
NOX Ozone Season unit.
(b) Monitoring, reporting, and recordkeeping requirements. (1) The
owners and operators, and the CAIR designated representative, of each
CAIR NOX Ozone Season source and each CAIR NOX
Ozone Season unit at the source shall comply with the monitoring,
reporting, and recordkeeping requirements of subpart HHHH of this part.
(2) The emissions measurements recorded and reported in accordance
with subpart HHHH of this part shall be used to determine compliance by
each CAIR NOX Ozone Season source with the CAIR
NOX Ozone Season emissions limitation under paragraph (c) of
this section.
(c) Nitrogen oxides ozone season emission requirements. (1) As of
the allowance transfer deadline for a control period, the owners and
operators of each CAIR NOX Ozone Season source and each CAIR
NOX Ozone Season unit at the source shall hold, in the
source's compliance account, CAIR NOX Ozone Season allowances
available for compliance deductions for the control period under Sec.
96.354(a) in an amount not less than the tons of total nitrogen oxides
emissions for the control period from all CAIR NOX Ozone
Season units at the source, as determined in accordance with subpart
HHHH of this part.
(2) A CAIR NOX Ozone Season unit shall be subject to the
requirements under paragraph (c)(1) of this section for the control
period starting on the later of May 1, 2009 or the deadline for meeting
the unit's monitor certification requirements under Sec.96.370(b)(1),
(2), (3), or (7) and for each control period thereafter.
(3) A CAIR NOX Ozone Season allowance shall not be
deducted, for compliance with the requirements under paragraph (c)(1) of
this section, for a control period in a calendar year before the year
for which the CAIR NOX Ozone Season allowance was allocated.
(4) CAIR NOX Ozone Season allowances shall be held in,
deducted from, or transferred into or among CAIR NOX Ozone
Season Allowance Tracking System accounts in accordance with subparts
FFFF, GGGG, and IIII of this part.
(5) A CAIR NOX Ozone Season allowance is a limited
authorization to emit one ton of nitrogen oxides in accordance with the
CAIR NOX Ozone Season Trading Program. No provision of the
CAIR NOX Ozone Season Trading Program, the CAIR permit
application, the CAIR permit, or an exemption under Sec.96.305 and no
provision of law shall be construed to limit the authority of the State
or the United States to terminate or limit such authorization.
(6) A CAIR NOX Ozone Season allowance does not constitute
a property right.
[[Page 140]]
(7) Upon recordation by the Administrator under subpart FFFF, GGGG,
or IIII of this part, every allocation, transfer, or deduction of a CAIR
NOX Ozone Season allowance to or from a CAIR NOX
Ozone Season source's compliance account is incorporated automatically
in any CAIR permit of the source.
(d) Excess emissions requirements. If a CAIR NOX Ozone
Season source emits nitrogen oxides during any control period in excess
of the CAIR NOX Ozone Season emissions limitation, then:
(1) The owners and operators of the source and each CAIR
NOX Ozone Season unit at the source shall surrender the CAIR
NOX Ozone Season allowances required for deduction under
Sec.96.354(d)(1) and pay any fine, penalty, or assessment or comply
with any other remedy imposed, for the same violations, under the Clean
Air Act or applicable State law; and
(2) Each ton of such excess emissions and each day of such control
period shall constitute a separate violation of this subpart, the Clean
Air Act, and applicable State law.
(e) Recordkeeping and reporting requirements. (1) Unless otherwise
provided, the owners and operators of the CAIR NOX Ozone
Season source and each CAIR NOX Ozone Season unit at the
source shall keep on site at the source each of the following documents
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 permitting authority or the Administrator.
(i) The certificate of representation under Sec.96.313 for the
CAIR designated representative for the source and each CAIR
NOX Ozone Season unit at the source and all documents that
demonstrate the truth of the statements in the certificate of
representation; provided that the certificate and documents shall be
retained on site at the source beyond such 5-year period until such
documents are superseded because of the submission of a new certificate
of representation under Sec.96.313 changing the CAIR designated
representative.
(ii) All emissions monitoring information, in accordance with
subpart HHHH of this part, provided that to the extent that subpart HHHH
of this part provides for a 3-year period for recordkeeping, the 3-year
period shall apply.
(iii) Copies of all reports, compliance certifications, and other
submissions and all records made or required under the CAIR
NOX Ozone Season Trading Program.
(iv) Copies of all documents used to complete a CAIR permit
application and any other submission under the CAIR NOX Ozone
Season Trading Program or to demonstrate compliance with the
requirements of the CAIR NOX Ozone Season Trading Program.
(2) The CAIR designated representative of a CAIR NOX
Ozone Season source and each CAIR NOX Ozone Season unit at
the source shall submit the reports required under the CAIR
NOX Ozone Season Trading Program, including those under
subpart HHHH of this part.
(f) Liability. (1) Each CAIR NOX Ozone Season source and
each CAIR NOX Ozone Season unit shall meet the requirements
of the CAIR NOX Ozone Season Trading Program.
(2) Any provision of the CAIR NOX Ozone Season Trading
Program that applies to a CAIR NOX Ozone Season source or the
CAIR designated representative of a CAIR NOX Ozone Season
source shall also apply to the owners and operators of such source and
of the CAIR NOX Ozone Season units at the source.
(3) Any provision of the CAIR NOX Ozone Season Trading
Program that applies to a CAIR NOX Ozone Season unit or the
CAIR designated representative of a CAIR NOX Ozone Season
unit shall also apply to the owners and operators of such unit.
(g) Effect on other authorities. No provision of the CAIR
NOX Ozone Season Trading Program, a CAIR permit application,
a CAIR permit, or an exemption under Sec.96.305 shall be construed as
exempting or excluding the owners and operators, and the CAIR designated
representative, of a CAIR NOX Ozone Season source or CAIR
NOX Ozone Season unit from compliance with any other
provision of the applicable, approved State implementation plan, a
[[Page 141]]
federally enforceable permit, or the Clean Air Act.
[70 FR 25382, May 12, 2005, as amended at 71 FR 25393, Apr. 28, 2006]
Sec.96.307 Computation of time.
(a) Unless otherwise stated, any time period scheduled, under the
CAIR 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
CAIR 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 CAIR NOX Ozone Season Trading Program, falls on a
weekend or a State or Federal holiday, the time period shall be extended
to the next business day.
Sec.96.308 Appeal procedures.
The appeal procedures for decisions of the Administrator under the
CAIR NOX Ozone Season Trading Program are set forth in part
78 of this chapter.
Subpart BBBB_CAIR Designated Representative for CAIR NOX Ozone Season
Sources
Source: 70 FR 25382, May 12, 2005, unless otherwise noted.
Sec.96.310 Authorization and responsibilities of CAIR designated
representative.
(a) Except as provided under Sec.96.311, each CAIR NOX
Ozone Season source, including all CAIR NOX Ozone Season
units at the source, shall have one and only one CAIR designated
representative, with regard to all matters under the CAIR NOX
Ozone Season Trading Program concerning the source or any CAIR
NOX Ozone Season unit at the source.
(b) The CAIR designated representative of the CAIR NOX
Ozone Season source shall be selected by an agreement binding on the
owners and operators of the source and all CAIR NOX Ozone
Season units at the source and shall act in accordance with the
certification statement in Sec.96.313(a)(4)(iv).
(c) Upon receipt by the Administrator of a complete certificate of
representation under Sec.96.313, the CAIR designated representative of
the source shall represent and, by his or her representations, actions,
inactions, or submissions, legally bind each owner and operator of the
CAIR NOX Ozone Season source represented and each CAIR
NOX Ozone Season unit at the source in all matters pertaining
to the CAIR NOX Ozone Season Trading Program, notwithstanding
any agreement between the CAIR designated representative and such owners
and operators. The owners and operators shall be bound by any decision
or order issued to the CAIR designated representative by the permitting
authority, the Administrator, or a court regarding the source or unit.
(d) No CAIR permit will be issued, no emissions data reports will be
accepted, and no CAIR NOX Ozone Season Allowance Tracking
System account will be established for a CAIR NOX Ozone
Season unit at a source, until the Administrator has received a complete
certificate of representation under Sec.96.313 for a CAIR designated
representative of the source and the CAIR NOX Ozone Season
units at the source.
(e)(1) Each submission under the CAIR NOX Ozone Season
Trading Program shall be submitted, signed, and certified by the CAIR
designated representative for each CAIR NOX Ozone Season
source on behalf of which the submission is made. Each such submission
shall include the following certification statement by the CAIR
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
[[Page 142]]
submitting false statements and information or omitting required
statements and information, including the possibility of fine or
imprisonment.''
(2) The permitting authority and the Administrator will accept or
act on a submission made on behalf of owner or operators of a CAIR
NOX Ozone Season source or a CAIR NOX Ozone Season
unit only if the submission has been made, signed, and certified in
accordance with paragraph (e)(1) of this section.
Sec.96.311 Alternate CAIR designated representative.
(a) A certificate of representation under Sec.96.313 may designate
one and only one alternate CAIR designated representative, who may act
on behalf of the CAIR designated representative. The agreement by which
the alternate CAIR designated representative is selected shall include a
procedure for authorizing the alternate CAIR designated representative
to act in lieu of the CAIR designated representative.
(b) Upon receipt by the Administrator of a complete certificate of
representation under Sec.96.313, any representation, action, inaction,
or submission by the alternate CAIR designated representative shall be
deemed to be a representation, action, inaction, or submission by the
CAIR designated representative.
(c) Except in this section and Sec. Sec.96.302, 96.310(a) and (d),
96.312, 96.313, 96.315, 96.351, and 96.382 whenever the term ``CAIR
designated representative'' is used in subparts AAAA through IIII of
this part, the term shall be construed to include the CAIR designated
representative or any alternate CAIR designated representative.
[70 FR 25382, May 12, 2005, as amended at 71 FR 25393, Apr. 28, 2006]
Sec.96.312 Changing CAIR designated representative and alternate
CAIR designated representative; changes in owners and operators.
(a) Changing CAIR designated representative. The CAIR designated
representative may be changed at any time upon receipt by the
Administrator of a superseding complete certificate of representation
under Sec.96.313. Notwithstanding any such change, all
representations, actions, inactions, and submissions by the previous
CAIR designated representative before the time and date when the
Administrator receives the superseding certificate of representation
shall be binding on the new CAIR designated representative and the
owners and operators of the CAIR NOX Ozone Season source and
the CAIR NOX Ozone Season units at the source.
(b) Changing alternate CAIR designated representative. The alternate
CAIR designated representative may be changed at any time upon receipt
by the Administrator of a superseding complete certificate of
representation under Sec.96.313. Notwithstanding any such change, all
representations, actions, inactions, and submissions by the previous
alternate CAIR designated representative before the time and date when
the Administrator receives the superseding certificate of representation
shall be binding on the new alternate CAIR designated representative and
the owners and operators of the CAIR NOX Ozone Season source
and the CAIR NOX Ozone Season units at the source.
(c) Changes in owners and operators. (1) In the event an owner or
operator of a CAIR NOX Ozone Season source or a CAIR
NOX Ozone Season unit is not included in the list of owners
and operators in the certificate of representation under Sec.96.313,
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 CAIR designated representative and any alternate
CAIR designated representative of the source or unit, and the decisions
and orders of the permitting authority, the Administrator, or a court,
as if the owner or operator were included in such list.
(2) Within 30 days following any change in the owners and operators
of a CAIR NOX Ozone Season source or a CAIR NOX
Ozone Season unit, including the addition of a new owner or operator,
the CAIR designated representative or any alternate CAIR designated
representative shall submit a revision to the certificate of
representation
[[Page 143]]
under Sec.96.313 amending the list of owners and operators to include
the change.
[70 FR 25382, May 12, 2005, as amended at 71 FR 25393, Apr. 28, 2006]
Sec.96.313 Certificate of representation.
(a) A complete certificate of representation for a CAIR designated
representative or an alternate CAIR designated representative shall
include the following elements in a format prescribed by the
Administrator:
(1) Identification of the CAIR NOX Ozone Season source,
and each CAIR NOX Ozone Season unit at the source, for which
the certificate of representation is submitted, including identification
and nameplate capacity of each generator served by each such unit.
(2) The name, address, e-mail address (if any), telephone number,
and facsimile transmission number (if any) of the CAIR designated
representative and any alternate CAIR designated representative.
(3) A list of the owners and operators of the CAIR NOX
Ozone Season source and of each CAIR NOX Ozone Season unit at
the source.
(4) The following certification statements by the CAIR designated
representative and any alternate CAIR designated representative--
(i) ``I certify that I was selected as the CAIR designated
representative or alternate CAIR designated representative, as
applicable, by an agreement binding on the owners and operators of the
source and each CAIR 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 CAIR NOX Ozone
Season Trading Program on behalf of the owners and operators of the
source and of each CAIR 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.''
(iii) ``I certify that the owners and operators of the source and of
each CAIR NOX Ozone Season unit at the source shall be bound
by any order issued to me by the Administrator, the permitting
authority, or a court regarding the source or unit.''
(iv) ``Where there are multiple holders of a legal or equitable
title to, or a leasehold interest in, a CAIR NOX Ozone Season
unit, or where a utility or industrial customer purchases power from a
CAIR 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 `CAIR designated representative' or
`alternate CAIR designated representative', as applicable, and of the
agreement by which I was selected to each owner and operator of the
source and of each CAIR NOX Ozone Season unit at the source;
and CAIR NOX Ozone Season allowances and proceeds of
transactions involving CAIR NOX Ozone Season allowances will
be deemed to be held or distributed in proportion to each holder's
legal, equitable, leasehold, or contractual reservation or entitlement,
except that, if such multiple holders have expressly provided for a
different distribution of CAIR NOX Ozone Season allowances by
contract, CAIR NOX Ozone Season allowances and proceeds of
transactions involving CAIR NOX Ozone Season allowances will
be deemed to be held or distributed in accordance with the contract.''
(5) The signature of the CAIR designated representative and any
alternate CAIR designated representative and the dates signed.
(b) Unless otherwise required by the permitting authority or the
Administrator, documents of agreement referred to in the certificate of
representation shall not be submitted to the permitting authority or the
Administrator. Neither the permitting authority nor the Administrator
shall be under any obligation to review or evaluate the sufficiency of
such documents, if submitted.
[70 FR 25382, May 12, 2005, as amended at 71 FR 25393, Apr. 28, 2006]
Sec.96.314 Objections concerning CAIR designated representative.
(a) Once a complete certificate of representation under Sec.96.313
has been submitted and received, the permitting authority and the
Administrator will rely on the certificate of representation unless and
until a superseding complete certificate of representation
[[Page 144]]
under Sec.96.313 is received by the Administrator.
(b) Except as provided in Sec.96.312(a) or (b), no objection or
other communication submitted to the permitting authority or the
Administrator concerning the authorization, or any representation,
action, inaction, or submission, of the CAIR designated representative
shall affect any representation, action, inaction, or submission of the
CAIR designated representative or the finality of any decision or order
by the permitting authority or the Administrator under the CAIR
NOX Ozone Season Trading Program.
(c) Neither the permitting authority nor the Administrator will
adjudicate any private legal dispute concerning the authorization or any
representation, action, inaction, or submission of any CAIR designated
representative, including private legal disputes concerning the proceeds
of CAIR NOX Ozone Season allowance transfers.
Sec.96.315 Delegation by CAIR designated representative and alternate
CAIR designated representative.
(a) A CAIR 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 part.
(b) An alternate CAIR 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
part.
(c) In order to delegate authority to make an electronic submission
to the Administrator in accordance with paragraph (a) or (b) of this
section, the CAIR designated representative or alternate CAIR 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 CAIR designated
representative or alternate CAIR designated representative;
(2) The name, address, e-mail address, telephone number, and
facsimile transmission number (if any) of each such natural person
(referred to as an ``agent'');
(3) For each such natural person, a list of the type or types of
electronic submissions under paragraph (a) or (b) of this section for
which authority is delegated to him or her; and
(4) The following certification statements by such CAIR designated
representative or alternate CAIR designated representative:
(i) ``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 designated representative or alternate CAIR designated
representative, as appropriate, and before this notice of delegation is
superseded by another notice of delegation under 40 CFR 96.315(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 96.315(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 96.315 is terminated.''.
(d) A notice of delegation submitted under paragraph (c) of this
section shall be effective, with regard to the CAIR designated
representative or alternate CAIR 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 CAIR designated representative or alternate CAIR
designated representative, as appropriate. The superseding notice of
delegation may replace any previously identified agent, add a new agent,
or eliminate entirely any delegation of authority.
(e) Any electronic submission covered by the certification in
paragraph
[[Page 145]]
(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 CAIR designated representative or
alternate CAIR designated representative submitting such notice of
delegation.
[71 FR 25393, Apr. 28, 2006]
Subpart CCCC_Permits
Source: 70 FR 25382, May 12, 2005, unless otherwise noted.
Sec.96.320 General CAIR NOX Ozone Season Trading Program permit
requirements.
(a) For each CAIR NOX Ozone Season source required to
have a title V operating permit or required, under subpart IIII of this
part, to have a title V operating permit or other federally enforceable
permit, such permit shall include a CAIR permit administered by the
permitting authority for the title V operating permit or the federally
enforceable permit as applicable. The CAIR portion of the title V permit
or other federally enforceable permit as applicable shall be
administered in accordance with the permitting authority's title V
operating permits regulations promulgated under part 70 or 71 of this
chapter or the permitting authority's regulations for other federally
enforceable permits as applicable, except as provided otherwise by Sec.
96.305, this subpart and subpart IIII of this part.
(b) Each CAIR permit shall contain, with regard to the CAIR
NOX Ozone Season source and the CAIR NOX Ozone
Season units at the source covered by the CAIR permit, all applicable
CAIR NOX Ozone Season Trading Program, CAIR NOX
Annual Trading Program, and CAIR SO2 Trading Program
requirements and shall be a complete and separable portion of the title
V operating permit or other federally enforceable permit under paragraph
(a) of this section.
[70 FR 25382, May 12, 2005, as amended at 71 FR 25394, Apr. 28, 2006]
Sec.96.321 Submission of CAIR permit applications.
(a) Duty to apply. The CAIR designated representative of any CAIR
NOX Ozone Season source required to have a title V operating
permit shall submit to the permitting authority a complete CAIR permit
application under Sec.96.322 for the source covering each CAIR
NOX Ozone Season unit at the source at least 18 months (or
such lesser time provided by the permitting authority) before the later
of January 1, 2009 or the date on which the CAIR NOX Ozone
Season unit commences commercial operation, except as provided in Sec.
96.383(a).
(b) Duty to Reapply. For a CAIR NOX Ozone Season source
required to have a title V operating permit, the CAIR designated
representative shall submit a complete CAIR permit application under
Sec.96.322 for the source covering each CAIR NOX Ozone
Season unit at the source to renew the CAIR permit in accordance with
the permitting authority's title V operating permits regulations
addressing permit renewal, except as provided in Sec.96.383(b).
[70 FR 25382, May 12, 2005, as amended at 71 FR 25394, Apr. 28, 2006]
Sec.96.322 Information requirements for CAIR permit applications.
A complete CAIR permit application shall include the following
elements concerning the CAIR NOX Ozone Season source for
which the application is submitted, in a format prescribed by the
permitting authority:
(a) Identification of the CAIR NOX Ozone Season source;
(b) Identification of each CAIR NOX Ozone Season unit at
the CAIR NOX Ozone Season source; and
(c) The standard requirements under Sec.96.306.
Sec.96.323 CAIR permit contents and term.
(a) Each CAIR permit will contain, in a format prescribed by the
permitting authority, all elements required for a complete CAIR permit
application under Sec.96.322.
(b) Each CAIR permit is deemed to incorporate automatically the
definitions of terms under Sec.96.302 and, upon recordation by the
Administrator
[[Page 146]]
under subpart FFFF, GGGG, or IIII of this part, every allocation,
transfer, or deduction of a CAIR NOX Ozone Season allowance
to or from the compliance account of the CAIR NOX Ozone
Season source covered by the permit.
(c) The term of the CAIR permit will be set by the permitting
authority, as necessary to facilitate coordination of the renewal of the
CAIR permit with issuance, revision, or renewal of the CAIR
NOX Ozone Season source's title V operating permit or other
federally enforceable permit as applicable.
Sec.96.324 CAIR permit revisions.
Except as provided in Sec.96.323(b), the permitting authority will
revise the CAIR permit, as necessary, in accordance with the permitting
authority's title V operating permits regulations or the permitting
authority's regulations for other federally enforceable permits as
applicable addressing permit revisions.
Subpart DDDD [Reserved]
Subpart EEEE_CAIR NOX Ozone Season Allowance Allocations
Source: 70 FR 25382, May 12, 2005, unless otherwise noted.
Sec.96.340 State trading budgets.
(a) Except as provided in paragraph (b) of this section, the State
trading budgets for annual allocations of CAIR NOX Ozone
Season allowances for the control periods in 2009 through 2014 and in
2015 and thereafter are respectively as follows:
------------------------------------------------------------------------
State trading
State trading budget for 2015
State budget for 2009- and thereafter
2014 (tons) (tons)
------------------------------------------------------------------------
Alabama............................. 32,182 26,818
Arkansas............................ 11,515 9,596
Connecticut......................... 2,559 2,559
Delaware............................ 2,226 1,855
District of Columbia................ 112 94
Florida............................. 47,912 39,926
Illinois............................ 30,701 28,981
Indiana............................. 45,952 39,273
Iowa................................ 14,263 11,886
Kentucky............................ 36,045 30,587
Louisiana........................... 17,085 14,238
Maryland............................ 12,834 10,695
Massachusetts....................... 7,551 6,293
Michigan............................ 28,971 24,142
Mississippi......................... 8,714 7,262
Missouri............................ 26,678 22,231
New Jersey.......................... 6,654 5,545
New York............................ 20,632 17,193
North Carolina...................... 28,392 23,660
Ohio................................ 45,664 39,945
Pennsylvania........................ 42,171 35,143
South Carolina...................... 15,249 12,707
Tennessee........................... 22,842 19,035
Virginia............................ 15,994 13,328
West Virginia....................... 26,859 26,525
Wisconsin........................... 17,987 14,989
------------------------------------------------------------------------
(b) If a permitting authority issues additional CAIR NOX
Ozone Season allowance allocations under Sec.51.123(aa)(2)(iii)(A) of
this chapter, the amount in the State trading budget for a control
period in a calendar year will be the sum of the amount set forth for
the State and for the year in paragraph (a) of this section and the
amount of additional CAIR NOX Ozone Season allowance
allocations issued under Sec.51.123(aa)(2)(iii)(A) of this chapter for
the year.
Sec.96.341 Timing requirements for CAIR NOX Ozone Season allowance
allocations.
(a) By October 31, 2006, the permitting authority will submit to the
Administrator the CAIR NOX Ozone Season allowance
allocations, in a format prescribed by the Administrator and in
accordance with Sec.96.342(a) and (b), for the control periods in
2009, 2010, 2011, 2012, 2013, and 2014.
(b) By October 31, 2009 and October 31 of each year thereafter, the
permitting authority will submit to the Administrator the CAIR
NOX Ozone Season allowance allocations, in a format
prescribed by the Administrator and in accordance with Sec.96.342(a)
and (b), for the control period in the sixth year after the year of the
applicable deadline for submission under this paragraph.
(c) By July 31, 2009 and July 31 of each year thereafter, the
permitting authority will submit to the Administrator the CAIR
NOX Ozone Season allowance allocations, in a format
prescribed by the Administrator and in accordance with Sec.96.342(c),
(a), and (d), for the control period in the year of the applicable
deadline for submission under this paragraph.
[70 FR 25382, May 12, 2005, as amended at 71 FR 25394, Apr. 28, 2006]
[[Page 147]]
Sec.96.342 CAIR NOX Ozone Season allowance allocations.
(a)(1) The baseline heat input (in mmBtu) used with respect to CAIR
NOX Ozone Season allowance allocations under paragraph (b) of
this section for each CAIR NOX Ozone Season unit will be:
(i) For units commencing operation before January 1, 2001 the
average of the 3 highest amounts of the unit's adjusted control period
heat input for 2000 through 2004, with the adjusted control period heat
input for each year calculated as follows:
(A) If the unit is coal-fired during the year, the unit's control
period heat input for such year is multiplied by 100 percent;
(B) If the unit is oil-fired during the year, the unit's control
period heat input for such year is multiplied by 60 percent; and
(C) If the unit is not subject to paragraph (a)(1)(i)(A) or (B) of
this section, the unit's control period heat input for such year is
multiplied by 40 percent.
(ii) For units commencing operation on or after January 1, 2001 and
operating each calendar year during a period of 5 or more consecutive
calendar years, the average of the 3 highest amounts of the unit's total
converted control period heat input over the first such 5 years.
(2)(i) A unit's control period heat input, and a unit's status as
coal-fired or oil-fired, for a calendar year under paragraph (a)(1)(i)
of this section, and a unit's total tons of NOX emissions
during a control period in a calendar year under paragraph (c)(3) of
this section, will be determined in accordance with part 75 of this
chapter, to the extent the unit was otherwise subject to the
requirements of part 75 of this chapter for the year, or will be based
on the best available data reported to the permitting authority for the
unit, to the extent the unit was not otherwise subject to the
requirements of part 75 of this chapter for the year.
(ii) A unit's converted control period heat input for a calendar
year specified under paragraph (a)(1)(ii) of this section equals:
(A) Except as provided in paragraph (a)(2)(ii)(B) or (C) of this
section, the control period gross electrical output of the generator or
generators served by the unit multiplied by 7,900 Btu/kWh, if the unit
is coal-fired for the year, or 6,675 Btu/kWh, if the unit is not coal-
fired for the year, and divided by 1,000,000 Btu/mmBtu, provided that if
a generator is served by 2 or more units, then the gross electrical
output of the generator will be attributed to each unit in proportion to
the unit's share of the total control period heat input of such units
for the year;
(B) For a unit that is a boiler and has equipment used to produce
electricity and useful thermal energy for industrial, commercial,
heating, or cooling purposes through the sequential use of energy, the
total heat energy (in Btu) of the steam produced by the boiler during
the control period, divided by 0.8 and by 1,000,000 Btu/mmBtu; or
(C) For a unit that is a combustion turbine and has equipment used
to produce electricity and useful thermal energy for industrial,
commercial, heating, or cooling purposes through the sequential use of
energy, the control period gross electrical output of the enclosed
device comprising the compressor, combustor, and turbine multiplied by
3,413 Btu/kWh, plus the total heat energy (in Btu) of the steam produced
by any associated heat recovery steam generator during the control
period divided by 0.8, and with the sum divided by 1,000,000 Btu/mmBtu.
(b)(1) For each control period in 2009 and thereafter, the
permitting authority will allocate to all CAIR NOX Ozone
Season units in the State that have a baseline heat input (as determined
under paragraph (a) of this section) a total amount of CAIR
NOX Ozone Season allowances equal to 95 percent for a control
period during 2009 through 2014, and 97 percent for a control period
during 2015 and thereafter, of the tons of NOX emissions in
the State trading budget under Sec.96.340 (except as provided in
paragraph (d) of this section).
(2) The permitting authority will allocate CAIR NOX Ozone
Season allowances to each CAIR NOX Ozone Season unit under
paragraph (b)(1) of this section in an amount determined by multiplying
the total amount of CAIR NOX Ozone Season allowances
allocated under paragraph (b)(1) of this section by the ratio of the
baseline heat input
[[Page 148]]
of such CAIR NOX Ozone Season unit to the total amount of
baseline heat input of all such CAIR NOX Ozone Season units
in the State and rounding to the nearest whole allowance as appropriate.
(c) For each control period in 2009 and thereafter, the permitting
authority will allocate CAIR NOX Ozone Season allowances to
CAIR NOX Ozone Season units in a State that are not allocated
CAIR NOX Ozone Season allowances under paragraph (b) of this
section because the units do not yet have a baseline heat input under
paragraph (a) of this section or because the units have a baseline heat
input but all CAIR NOX Ozone Season allowances available
under paragraph (b) of this section for the control period are already
allocated, in accordance with the following procedures:
(1) The permitting authority will establish a separate new unit set-
aside for each control period. Each new unit set-aside will be allocated
CAIR NOX Ozone Season allowances equal to 5 percent for a
control period in2009 through 2014, and 3 percent for a control period
in 2015 and thereafter, of the amount of tons of NOX
emissions in the State trading budget under Sec.96.340.
(2) The CAIR designated representative of such a CAIR NOX
Ozone Season unit may submit to the permitting authority a request, in a
format specified by the permitting authority, to be allocated CAIR
NOX Ozone Season allowances, starting with the later of the
control period in 2009 or the first control period after the control
period in which the CAIR NOX Ozone Season unit commences
commercial operation and until the first control period for which the
unit is allocated CAIR NOX Ozone Season allowances under
paragraph (b) of this section. A separate CAIR NOX Ozone
Season allowance allocation request for each control period for which
CAIR NOX Ozone Season allowances are sought must be submitted
on or before February 1 before such control period and after the date on
which the CAIR NOX Ozone Season unit commences commercial
operation.
(3) In a CAIR NOX Ozone Season allowance allocation
request under paragraph (c)(2) of this section, the CAIR designated
representative may request for a control period CAIR NOX
Ozone Season allowances in an amount not exceeding the CAIR
NOX Ozone Season unit's total tons of NOX
emissions during the control period immediately before such control
period.
(4) The permitting authority will review each CAIR NOX
Ozone Season allowance allocation request under paragraph (c)(2) of this
section and will allocate CAIR NOX Ozone Season allowances
for each control period pursuant to such request as follows:
(i) The permitting authority will accept an allowance allocation
request only if the request meets, or is adjusted by the permitting
authority as necessary to meet, the requirements of paragraphs (c)(2)
and (3) of this section.
(ii) On or after February 1 before the control period, the
permitting authority will determine the sum of the CAIR NOX
Ozone Season allowances requested (as adjusted under paragraph (c)(4)(i)
of this section) in all allowance allocation requests accepted under
paragraph (c)(4)(i) of this section for the control period.
(iii) If the amount of CAIR NOX Ozone Season allowances
in the new unit set-aside for the control period is greater than or
equal to the sum under paragraph (c)(4)(ii) of this section, then the
permitting authority will allocate the amount of CAIR NOX
Ozone Season allowances requested (as adjusted under paragraph (c)(4)(i)
of this section) to each CAIR NOX Ozone Season unit covered
by an allowance allocation request accepted under paragraph (c)(4)(i) of
this section.
(iv) If the amount of CAIR NOX Ozone Season allowances in
the new unit set-aside for the control period is less than the sum under
paragraph (c)(4)(ii) of this section, then the permitting authority will
allocate to each CAIR NOX Ozone Season unit covered by an
allowance allocation request accepted under paragraph (c)(4)(i) of this
section the amount of the CAIR NOX Ozone Season allowances
requested (as adjusted under paragraph (c)(4)(i) of this section),
multiplied by the amount of CAIR NOX Ozone Season allowances
in the new unit set-aside for the control period, divided by the sum
determined
[[Page 149]]
under paragraph (c)(4)(ii) of this section, and rounded to the nearest
whole allowance as appropriate.
(v) The permitting authority will notify each CAIR designated
representative that submitted an allowance allocation request of the
amount of CAIR NOX Ozone Season allowances (if any) allocated
for the control period to the CAIR NOX Ozone Season unit
covered by the request.
(d) If, after completion of the procedures under paragraph (c)(4) of
this section for a control period, any unallocated CAIR NOX
Ozone Season allowances remain in the new unit set-aside for the control
period, the permitting authority will allocate to each CAIR
NOX Ozone Season unit that was allocated CAIR NOX
Ozone Season allowances under paragraph (b) of this section an amount of
CAIR NOX Ozone Season allowances equal to the total amount of
such remaining unallocated CAIR NOX Ozone Season allowances,
multiplied by the unit's allocation under paragraph (b) of this section,
divided by 95 percent for a control period during 2009 through 2014, and
97 percent for a control period during 2015 and thereafter, of the
amount of tons of NOX emissions in the State trading budget
under Sec.96.340, and rounded to the nearest whole allowance as
appropriate.
[70 FR 25382, May 12, 2005, as amended at 71 FR 25394, Apr. 28, 2006; 71
FR 74794, Dec. 13, 2006]
Subpart FFFF_CAIR NOX Ozone Season Allowance Tracking System
Source: 70 FR 25382, May 12, 2005, unless otherwise noted.
Sec.96.350 [Reserved]
Sec.96.351 Establishment of accounts.
(a) Compliance accounts. Except as provided in Sec.96.384(e), upon
receipt of a complete certificate of representation under Sec.96.313,
the Administrator will establish a compliance account for the CAIR
NOX Ozone Season source for which the certificate of
representation was submitted, unless the source already has a compliance
account.
(b) General accounts--(1) Application for general account. (i) Any
person may apply to open a general account for the purpose of holding
and transferring CAIR NOX Ozone Season 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.
(ii) A complete application for a general account shall be submitted
to the Administrator and 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 CAIR
authorized account representative and any alternate CAIR authorized
account representative;
(B) Organization name and type of organization, if applicable;
(C) A list of all persons subject to a binding agreement for the
CAIR authorized account representative and any alternate CAIR authorized
account representative to represent their ownership interest with
respect to the CAIR NOX Ozone Season allowances held in the
general account;
(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 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 CAIR NOX Ozone Season Trading
Program on behalf of such persons and that each such person shall be
fully bound by my representations, actions,
[[Page 150]]
inactions, or submissions and by any order or decision issued to me by
the Administrator or a court regarding the general account.''
(E) The signature of the CAIR authorized account representative and
any alternate CAIR authorized account representative and the dates
signed.
(iii) Unless otherwise required by the permitting authority or the
Administrator, documents of agreement referred to in the application for
a general account shall not be submitted to the permitting authority or
the Administrator. Neither the permitting authority nor the
Administrator shall be under any obligation to review or evaluate the
sufficiency of such documents, if submitted.
(2) Authorization of CAIR authorized account representative
andalternate CAIR authorized account representative. (i) Upon receipt by
the Administrator of a complete application for a general account under
paragraph (b)(1) of this section:
(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 Ozone Season allowances held in the
general account in all matters pertaining to the CAIR NOX
Ozone Season 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.
(C) Any representation, action, inaction, or submission by any
alternate CAIR authorized account representative shall be deemed to be a
representation, action, inaction, or submission by the CAIR authorized
account representative.
(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 Ozone Season 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 Ozone Season allowances held in the
general account. I certify under penalty of law that I have personally
examined, and am familiar with, the statements and information submitted
in this document and all its attachments. Based on my inquiry of those
individuals with primary responsibility for obtaining the information, I
certify that the statements and information are to the best of my
knowledge and belief true, accurate, and complete. I am aware that there
are significant penalties for submitting false statements and
information or omitting required statements and information, including
the possibility of fine or imprisonment.''
(iii) The Administrator will accept or act on a submission
concerning the general account only if the submission has been made,
signed, and certified in accordance with paragraph (b)(2)(ii) of this
section.
(3) Changing CAIR authorized account representative and alternate
CAIR authorized account representative; changes in persons with
ownership interest. (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 (b)(1) of this section. 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
[[Page 151]]
CAIR authorized account representative and the persons with an ownership
interest with respect to the CAIR NOX Ozone Season 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 (b)(1) of this section. 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 Ozone Season allowances
in the general account.
(iii)(A) In the event a person having an ownership interest with
respect to CAIR NOX Ozone Season allowances in the general
account is not included in the list of such persons in the application
for a general account, such person shall be deemed to be subject to and
bound by the application for a general account, the representation,
actions, inactions, and submissions of the 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 person were included in such list.
(B) Within 30 days following any change in the persons having an
ownership interest with respect to CAIR NOX Ozone Season
allowances in the general account, including the addition of a new
person, the CAIR authorized account representative or any alternate CAIR
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 CAIR NOX Ozone Season
allowances in the general account to include the change.
(4) Objections concerning CAIR authorized account representative and
alternate CAIR authorized account representative. (i) Once a complete
application for a general account under paragraph (b)(1) of this section
has been submitted and received, the Administrator will rely on the
application unless and until a superseding complete application for a
general account under paragraph (b)(1) of this section is received by
the Administrator.
(ii) Except as provided in paragraph (b)(3)(i) or (ii) of this
section, no objection or other communication submitted to the
Administrator concerning the authorization, or any representation,
action, inaction, or submission of the 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
alternative CAIR authorized account representative or the finality of
any decision or order by the Administrator under the CAIR 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 CAIR authorized account representative or
any alternate CAIR authorized account representative for a general
account, including private legal disputes concerning the proceeds of
CAIR NOX Ozone Season allowance transfers.
(5) Delegation by CAIR authorized account representative and
alternate CAIR authorized account representative. (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 subparts FFFF and GGGG 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 subparts FFFF and GGGG of this part.
(iii) In order to delegate authority to make an electronic
submission to the Administrator in accordance with
[[Page 152]]
paragraph (b)(5)(i) or (ii) of this section, the CAIR authorized account
representative or alternate CAIR 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 CAIR authorized account
representative or alternate CAIR authorized account representative;
(B) The name, address, e-mail address, telephone number, and,
facsimile transmission number (if any) of each such natural person
(referred to as an ``agent'');
(C) For each such natural person, a list of the type or types of
electronic submissions under paragraph (b)(5)(i) or (ii) of this section
for which authority is delegated to him or her;
(D) The following certification statement by such 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 40 CFR 96.351(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 40 CFR 96.351(b)(5)(iv), I agree to
maintain an e-mail account and to notify the Administrator immediately
of any change in my e-mail address unless all delegation of authority by
me under 40 CFR 96.351(b)(5) is terminated.''.
(iv) A notice of delegation submitted under paragraph (b)(5)(iii) of
this section shall be effective, with regard to the CAIR authorized
account representative or alternate CAIR 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 CAIR authorized
account representative or alternate CAIR authorized account
representative, as appropriate. The superseding notice of delegation may
replace any previously identified agent, add a new agent, or eliminate
entirely any delegation of authority.
(v) Any electronic submission covered by the certification in
paragraph (b)(5)(iii)(D) of this section and made in accordance with a
notice of delegation effective under paragraph (b)(5)(iv) of this
section shall be deemed to be an electronic submission by the CAIR
designated representative or alternate CAIR designated representative
submitting such notice of delegation.
(c) Account identification. The Administrator will assign a unique
identifying number to each account established under paragraph (a) or
(b) of this section.
[70 FR 25382, May 12, 2005, as amended at 71 FR 25394, Apr. 28, 2006; 71
FR 74794, Dec. 13, 2006]
Sec.96.352 Responsibilities of CAIR authorized account
representative.
Following the establishment of a CAIR NOX Ozone Season
Allowance Tracking System account, all submissions to the Administrator
pertaining to the account, including, but not limited to, submissions
concerning the deduction or transfer of CAIR NOX Ozone Season
allowances in the account, shall be made only by the CAIR authorized
account representative for the account.
Sec.96.353 Recordation of CAIR NOX Ozone Season allowance
allocations.
(a) By September 30, 2007, the Administrator will record in the CAIR
NOX Ozone Season source's compliance account the CAIR
NOX Ozone Season allowances allocated for the CAIR
NOX Ozone Season units at the source, as submitted by the
permitting authority in accordance with Sec.96.341(a), for the control
periods in 2009, 2010, 2011, 2012, 2013, and 2014.
(b) By December 1, 2009, the Administrator will record in the CAIR
NOX
[[Page 153]]
Ozone Season source's compliance account the CAIR NOX Ozone
Season allowances allocated for the CAIR NOX Ozone Season
units at the source, as submitted by the permitting authority in
accordance with Sec.96.341(b), for the control period in 2015.
(c) By December 1, 2010 and December 1 of each year thereafter, the
Administrator will record in the CAIR NOX Ozone Season
source's compliance account the CAIR NOX Ozone Season
allowances allocated for the CAIR NOX Ozone Season units at
the source, as submitted by the permitting authority in accordance with
Sec.96.341(b), for the control period in the sixth year after the year
of the applicable deadline for recordation under this paragraph.
(d) By September 1, 2009 and September 1 of each year thereafter,
the Administrator will record in the CAIR NOX Ozone Season
source's compliance account the CAIR NOX Ozone Season
allowances allocated for the CAIR NOX Ozone Season units at
the source, as submitted by the permitting authority or determined by
the Administrator in accordance with Sec.96.341(c), for the control
period in the year of the applicable deadline for recordation under this
paragraph.
(e) Serial numbers for allocated CAIR NOX Ozone Season
allowances. When recording the allocation of CAIR NOX Ozone
Season allowances for a CAIR NOX Ozone Season unit in a
compliance account, the Administrator will assign each CAIR
NOX Ozone Season allowance a unique identification number
that will include digits identifying the year of the control period for
which the CAIR NOX Ozone Season allowance is allocated.
[70 FR 25382, May 12, 2005, as amended at 71 FR 25394, Apr. 28, 2006]
Editorial Note: At 71 FR 25395, Apr. 28, 2006, Sec.96.353(d) was
amended; however, the amendment could not be incorporated due to
inaccurate amendatory instruction.
Sec.96.354 Compliance with CAIR NOX emissions limitation.
(a) Allowance transfer deadline. The CAIR NOX Ozone
Season allowances are available to be deducted for compliance with a
source's CAIR NOX Ozone Season emissions limitation for a
control period in a given calendar year only if the CAIR NOX
Ozone Season allowances:
(1) Were allocated for the control period in the year or a prior
year; and
(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 Ozone Season allowance transfer
correctly submitted for recordation under Sec. Sec.96.360 and 96.361
by the allowance transfer deadline for the control period.
(c)(1) Identification of CAIR NO X Ozone Season
allowances by serial number. The CAIR authorized account representative
for a source's compliance account may request that specific CAIR
NOX Ozone Season allowances, identified by serial number, in
the compliance account be deducted for emissions or excess emissions for
a control period in accordance with paragraph (b) or (d) of this
section. 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 Ozone Season source and the appropriate serial numbers.
(2) First-in, first-out. The Administrator will deduct CAIR
NOX Ozone Season allowances under paragraph (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 Ozone Season allowances by serial number under paragraph
(c)(1) of this section, on a first-in, first-out (FIFO) accounting basis
in the following order:
(i) Any CAIR NOX Ozone Season allowances that were
allocated to the units at the source, in the order of recordation; and
then
(ii) Any CAIR NOX Ozone Season allowances that were
allocated to any entity and transferred and recorded in the compliance
account pursuant to subpart GGGG of this part, in the order of
recordation.
(d) Deductions for excess emissions. (1) After making the deductions
for compliance under paragraph (b) of this section for a control period
in a calendar year in which the CAIR NOX Ozone Season source
has excess emissions, the Administrator will deduct from the
[[Page 154]]
source's compliance account an amount of CAIR NOX Ozone
Season allowances, allocated for the control period in the immediately
following calendar year, equal to 3 times the number of tons of the
source's excess emissions.
(2) Any allowance deduction required under paragraph (d)(1) of this
section shall not affect the liability of the owners and operators of
the CAIR NOX Ozone Season source or the CAIR NOX
Ozone Season 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 Clean Air Act or applicable State law.
(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 and subpart IIII.
(f) Administrator's action on submissions. (1) The Administrator may
review and conduct independent audits concerning any submission under
the CAIR NOX Ozone Season Trading Program and make
appropriate adjustments of the information in the submissions.
(2) The Administrator may deduct CAIR NOX Ozone Season
allowances from or transfer CAIR NOX Ozone Season allowances
to a source's compliance account based on the information in the
submissions, as adjusted under paragraph (f)(1) of this section, and
record such deductions and transfers.
[70 FR 25382, May 12, 2005, as amended at 71 FR 25395, Apr. 28, 2006]
Sec.96.355 Banking.
(a) CAIR NOX Ozone Season allowances 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 CAIR NOX Ozone Season allowance that is held in a
compliance account or a general account will remain in such account
unless and until the CAIR NOX Ozone Season allowance is
deducted or transferred under Sec.96.354, Sec.96.356, or subpart GG
of this part.
[70 FR 25382, May 12, 2005, as amended at 71 FR 25395, Apr. 28, 2006]
Editorial Note: At 71 FR 25395, Apr. 28, 2006, Sec.96.355 was
amended; however, the amendment could not be incorporated due to
inaccurate amendatory instruction.
Sec.96.356 Account error.
The Administrator may, at his or her sole discretion and on his or
her own motion, correct any error in any CAIR NOX Ozone
Season Allowance Tracking System account. Within 10 business days of
making such correction, the Administrator will notify the CAIR
authorized account representative for the account.
Sec.96.357 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 Sec. Sec.
96.360 and 96.361 for any CAIR NOX Ozone Season allowances in
the account to one or more other CAIR NOX Ozone Season
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 Ozone Season 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 Ozone Season allowances into the account
under Sec. Sec.96.360 and 96.361 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.
[70 FR 25382, May 12, 2005, as amended at 71 FR 25395, Apr. 28, 2006]
[[Page 155]]
Subpart GGGG_CAIR NOX Ozone Season Allowance Transfers
Source: 70 FR 25382, May 12, 2005, unless otherwise noted.
Sec.96.360 Submission of CAIR NOX Ozone Season allowance transfers.
A CAIR authorized account representative seeking recordation of a
CAIR NOX Ozone Season allowance transfer shall submit the
transfer to the Administrator. To be considered correctly submitted, the
CAIR NOX Ozone Season allowance transfer shall include the
following elements, in a format specified by the Administrator:
(a) The account numbers for both the transferor and transferee
accounts;
(b) The serial number of each CAIR NOX Ozone Season
allowance that is in the transferor account and is to be transferred;
and
(c) The name and signature of the CAIR authorized account
representative of the transferor account and the date signed.
Sec.96.361 EPA recordation.
(a) Within 5 business days (except as provided in paragraph (b) of
this section) of receiving a CAIR NOX Ozone Season allowance
transfer, the Administrator will record a CAIR NOX Ozone
Season allowance transfer by moving each CAIR NOX Ozone
Season allowance from the transferor account to the transferee account
as specified by the request, provided that:
(1) The transfer is correctly submitted under Sec.96.360; and
(2) The transferor account includes each CAIR NOX Ozone
Season allowance identified by serial number in the transfer.
(b) A CAIR NOX Ozone Season allowance transfer that is
submitted for recordation after the allowance transfer deadline for a
control period and that includes any CAIR NOX Ozone Season
allowances allocated for any control period before such allowance
transfer deadline will not be recorded until after the Administrator
completes the deductions under Sec.96.354 for the control period
immediately before such allowance transfer deadline.
(c) Where a CAIR NOX Ozone Season allowance transfer
submitted for recordation fails to meet the requirements of paragraph
(a) of this section, the Administrator will not record such transfer.
Sec.96.362 Notification.
(a) Notification of recordation. Within 5 business days of
recordation of a CAIR NOX Ozone Season allowance transfer
under Sec.96.361, the Administrator will notify the CAIR authorized
account representatives of both the transferor and transferee accounts.
(b) Notification of non-recordation. Within 10 business days of
receipt of a CAIR NOX Ozone Season allowance transfer that
fails to meet the requirements of Sec.96.361(a), the Administrator
will notify the CAIR 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.
(c) Nothing in this section shall preclude the submission of a CAIR
NOX Ozone Season allowance transfer for recordation following
notification of non-recordation.
Subpart HHHH_Monitoring and Reporting
Source: 70 FR 25382, May 12, 2005, unless otherwise noted.
Sec.96.370 General requirements.
The owners and operators, and to the extent applicable, the CAIR
designated representative, of a CAIR NOX Ozone Season unit,
shall comply with the monitoring, recordkeeping, and reporting
requirements as provided in this subpart and in subpart H of part 75 of
this chapter. For purposes of complying with such requirements, the
definitions in Sec.96.302 and in Sec.72.2 of this chapter shall
apply, and 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 ``CAIR
NOX Ozone Season unit,'' ``CAIR designated representative,''
and ``continuous emission monitoring system'' (or ``CEMS'')
respectively, as defined in Sec.96.302. The owner or operator of a
unit that is not a CAIR
[[Page 156]]
NOX Ozone Season unit but that is monitored under Sec.
75.72(b)(2)(ii) of this chapter shall comply with the same monitoring,
recordkeeping, and reporting requirements as a CAIR NOX Ozone
Season unit.
(a) Requirements for installation, certification, and data
accounting. The owner or operator of each CAIR NOX Ozone
Season unit shall:
(1) Install all monitoring systems required under this subpart for
monitoring NOX mass emissions and individual unit heat input
(including all systems required to monitor NOX emission rate,
NOX concentration, stack gas moisture content, stack gas flow
rate, CO2 or O2 concentration, and fuel flow rate,
as applicable, in accordance with Sec. Sec.75.71 and 75.72 of this
chapter);
(2) Successfully complete all certification tests required under
Sec.96.371 and meet all other requirements of this subpart and part 75
of this chapter applicable to the monitoring systems under paragraph
(a)(1) of this section; and
(3) Record, report, and quality-assure the data from the monitoring
systems under paragraph (a)(1) of this section.
(b) Compliance deadlines. Except as provided in paragraph (e) of
this section, the owner or operator shall meet the monitoring system
certification and other requirements of paragraphs (a)(1) and (2) of
this section on or before the following dates. The owner or operator
shall record, report, and quality-assure the data from the monitoring
systems under paragraph (a)(1) of this section on and after the
following dates.
(1) For the owner or operator of a CAIR NOX Ozone Season
unit that commences commercial operation before July 1, 2007, by May 1,
2008.
(2) For the owner or operator of a CAIR NOX Ozone Season
unit that commences commercial operation on or after July 1, 2007 and
that reports on an annual basis under Sec.96.374(d), by the later of
the following dates:
(i) 90 unit operating days or 180 calendar days, whichever occurs
first, after the date on which the unit commences commercial operation;
or
(ii) May 1, 2008.
(3) For the owner or operator of a CAIR NOX Ozone Season
unit that commences commercial operation on or after July 1, 2007 and
that reports on a control period basis under Sec.96.374(d)(2)(ii), by
the later of the following dates:
(i) 90 unit operating days or 180 calendar days, whichever occurs
first, after the date on which the unit commences commercial operation;
or
(ii) If the compliance date under paragraph (b)(3)(i) of this
section is not during a control period, May 1 immediately following the
compliance date under paragraph (b)(3)(i) of this section.
(4) For the owner or operator of a CAIR 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), (6), or (7) of this
section and that reports on an annual basis under Sec.96.374(d), by 90
unit operating days or 180 calendar days, whichever occurs first, after
the date on which emissions first exit to the atmosphere through the new
stack or flue or add-on NOX emissions controls.
(5) For the owner or operator of a CAIR 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), (3), (6), or (7) of this
section and that reports on a control period basis under Sec.
96.374(d)(2)(ii), by the later of the following dates:
(i) 90 unit operating days or 180 calendar days, whichever occurs
first, after the date on which emissions first exit to the atmosphere
through the new stack or flue or add-on NOX emissions
controls; or
(ii) If the compliance date under paragraph (b)(5)(i) of this
section is not during a control period, May 1 immediately following the
compliance date under paragraph (b)(5)(i) of this section.
(6) Notwithstanding the dates in paragraphs (b)(1), (2), and (3) of
this section, for the owner or operator of a unit for which a CAIR
NOX Ozone Season opt-in permit application is submitted and
not withdrawn and a CAIR
[[Page 157]]
opt-in permit is not yet issued or denied under subpart IIII of this
part, by the date specified in Sec.96.384(b).
(7) Notwithstanding the dates in paragraphs (b)(1), (2), and (3) of
this section, for the owner or operator of a CAIR NOX Ozone
Season opt-in unit, by the date on which the CAIR NOX Ozone
Season opt-in unit under subpart IIII of this part enters the CAIR
NOX Ozone Season Trading Program as provided in Sec.
96.384(g).
(c) Reporting data. The owner or operator of a CAIR NOX
Ozone Season unit that does not meet the applicable compliance date set
forth in paragraph (b) of this section for any monitoring system under
paragraph (a)(1) of this section shall, for each such monitoring system,
determine, record, and report maximum potential (or, as appropriate,
minimum potential) values for NOX concentration,
NOX emission rate, stack gas flow rate, stack gas moisture
content, fuel flow rate, and any other parameters required to determine
NOX mass emissions and heat input in accordance with Sec.
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 CAIR NOX
Ozone Season unit shall use any alternative monitoring system,
alternative reference method, or any other alternative to any
requirement of this subpart without having obtained prior written
approval in accordance with Sec.96.375.
(2) No owner or operator of a CAIR NOX Ozone Season unit
shall operate the unit so as to discharge, or allow to be discharged,
NOX emissions to the atmosphere without accounting for all
such emissions in accordance with the applicable provisions of this
subpart and part 75 of this chapter.
(3) No owner or operator of a CAIR NOX Ozone Season unit
shall disrupt the continuous emission monitoring system, any portion
thereof, or any other approved emission monitoring method, and thereby
avoid monitoring and recording NOX mass emissions discharged
into the atmosphere or heat input, except for periods of recertification
or periods when calibration, quality assurance testing, or maintenance
is performed in accordance with the applicable provisions of this
subpart and part 75 of this chapter.
(4) No owner or operator of a CAIR NOX Ozone Season unit
shall retire or permanently discontinue use of the continuous emission
monitoring system, any component thereof, or any other approved
monitoring system under this subpart, except under any one of the
following circumstances:
(i) During the period that the unit is covered by an exemption under
Sec.96.305 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 permitting authority 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 CAIR 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 Sec.
96.371(d)(3)(i).
(e) Long-term cold storage. The owner or operator of a CAIR
NOX Ozone Season unit is subject to the applicable provisions
of part 75 of this chapter concerning units in long-term cold storage.
[70 FR 25382, May 12, 2005, as amended at 71 FR 25395, Apr. 28, 2006]
Sec.96.371 Initial certification and recertification procedures.
(a) The owner or operator of a CAIR NOX Ozone Season unit
shall be exempt from the initial certification requirements of this
section for a monitoring system under Sec.96.370(a)(1) if the
following conditions are met:
(1) The monitoring system has been previously certified in
accordance with part 75 of this chapter; and
(2) The applicable quality-assurance and quality-control
requirements of Sec.75.21 of this chapter and appendix B, appendix D,
and appendix E to part 75 of this chapter are fully met for the
certified monitoring system described in paragraph (a)(1) of this
section.
[[Page 158]]
(b) The recertification provisions of this section shall apply to a
monitoring system under Sec.96.370(a)(1) exempt from initial
certification requirements under paragraph (a) of this section.
(c) If the Administrator has previously approved a petition under
Sec.75.17(a) or (b) of this chapter for apportioning the
NOX emission rate measured in a common stack or a petition
under Sec.75.66 of this chapter for an alternative to a requirement in
Sec.75.12 or Sec.75.17 of this chapter, the CAIR designated
representative shall resubmit the petition to the Administrator under
Sec.96.375(a) to determine whether the approval applies under the CAIR
NOX Ozone Season Trading Program.
(d) Except as provided in paragraph (a) of this section, the owner
or operator of a CAIR 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 Sec.96.370(a)(1). The owner or operator
of a unit that qualifies to use the low mass emissions excepted
monitoring methodology under Sec.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 Sec.
96.370(a)(1)(including the automated data acquisition and handling
system) successfully completes all of the initial certification testing
required under Sec.75.20 of this chapter by the applicable deadline in
Sec.96.370(b). In addition, whenever the owner or operator installs a
monitoring system to meet the requirements of this subpart in a location
where no such monitoring system was previously installed, initial
certification in accordance with Sec.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 Sec.96.370(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-assurance and quality-control requirements of Sec.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 Sec.
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 Sec.75.20(b) of this
chapter. Examples of changes to a continuous emission monitoring system
that require recertification include: replacement of the analyzer,
complete replacement of an existing continuous emission monitoring
system, or change in location or orientation of the sampling probe or
site. Any fuel flowmeter systems, and any excepted NOX
monitoring system under appendix E to part 75 of this chapter, under
Sec.96.370(a)(1) are subject to the recertification requirements in
Sec.75.20(g)(6) of this chapter.
(3) Approval process for initial certification and recertification.
Paragraphs (d)(3)(i) through (iv) of this section apply to both initial
certification and recertification of a continuous monitoring system
under Sec.96.370(a)(1). For recertifications, replace the words
``certification'' and ``initial certification'' with the word
``recertification'', replace the word ``certified'' with the word
``recertified,'' and follow the procedures in Sec. Sec.75.20(b)(5) and
(g)(7) of this chapter in lieu of the procedures in paragraph (d)(3)(v)
of this section.
(i) Notification of certification. The CAIR designated
representative shall submit to the permitting authority, the appropriate
EPA Regional Office, and the Administrator written notice of the dates
of certification testing, in accordance with Sec.96.373.
(ii) Certification application. The CAIR designated representative
shall submit to the permitting authority a certification application for
each monitoring
[[Page 159]]
system. A complete certification application shall include the
information specified in Sec.75.63 of this chapter.
(iii) Provisional certification date. The provisional certification
date for a monitoring system shall be determined in accordance with
Sec.75.20(a)(3) of this chapter. A provisionally certified monitoring
system may be used under the CAIR NOX Ozone Season Trading
Program for a period not to exceed 120 days after receipt by the
permitting authority of the complete certification application for the
monitoring system under paragraph (d)(3)(ii) of this section. Data
measured and recorded by the provisionally certified monitoring system,
in accordance with the requirements of part 75 of this chapter, will be
considered valid quality-assured data (retroactive to the date and time
of provisional certification), provided that the permitting authority
does not invalidate the provisional certification by issuing a notice of
disapproval within 120 days of the date of receipt of the complete
certification application by the permitting authority.
(iv) Certification application approval process. The permitting
authority will issue a written notice of approval or disapproval of the
certification application to the owner or operator within 120 days of
receipt of the complete certification application under paragraph
(d)(3)(ii) of this section. In the event the permitting authority does
not issue such a notice within such 120-day period, each monitoring
system that meets the applicable performance requirements of part 75 of
this chapter and is included in the certification application will be
deemed certified for use under the CAIR NOX Ozone Season
Trading Program.
(A) Approval notice. If the certification application is complete
and shows that each monitoring system meets the applicable performance
requirements of part 75 of this chapter, then the permitting authority
will issue a written notice of approval of the certification application
within 120 days of receipt.
(B) Incomplete application notice. If the certification application
is not complete, then the permitting authority will issue a written
notice of incompleteness that sets a reasonable date by which the CAIR
designated representative must submit the additional information
required to complete the certification application. If the CAIR
designated representative does not comply with the notice of
incompleteness by the specified date, then the permitting authority may
issue a notice of disapproval under paragraph (d)(3)(iv)(C) of this
section. The 120-day review period shall not begin before receipt of a
complete certification application.
(C) Disapproval notice. If the certification application shows that
any monitoring system does not meet the performance requirements of part
75 of this chapter or if the certification application is incomplete and
the requirement for disapproval under paragraph (d)(3)(iv)(B) of this
section is met, then the permitting authority will issue a written
notice of disapproval of the certification application. Upon issuance of
such notice of disapproval, the provisional certification is invalidated
by the permitting authority and the data measured and recorded by each
uncertified monitoring system shall not be considered valid quality-
assured data beginning with the date and hour of provisional
certification (as defined under Sec.75.20(a)(3) of this chapter). The
owner or operator shall follow the procedures for loss of certification
in paragraph (d)(3)(v) of this section for each monitoring system that
is disapproved for initial certification.
(D) Audit decertification. The permitting authority or, for a CAIR
NOX Ozone Season opt-in unit or a unit for which a CAIR opt-
in permit application is submitted and not withdrawn and a CAIR opt-in
permit is not yet issued or denied under subpart IIII of this part, the
Administrator may issue a notice of disapproval of the certification
status of a monitor in accordance with Sec.96.372(b).
(v) Procedures for loss of certification. If the permitting
authority or the Administrator issues a notice of disapproval of a
certification application under paragraph (d)(3)(iv)(C) of this section
or a notice of disapproval of certification status under paragraph
(d)(3)(iv)(D) of this section, then:
[[Page 160]]
(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 Sec.
75.20(a)(4)(iii), Sec.75.20(g)(7), or Sec.75.21(e) of this chapter
and continuing until the applicable date and hour specified under Sec.
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 Sec.72.2 of this chapter.
(2) For a disapproved NOX pollutant concentration monitor
and disapproved flow monitor, respectively, the maximum potential
concentration of NOX and the maximum potential flow rate, as
defined in sections 2.1.2.1 and 2.1.4.1 of appendix A to part 75 of this
chapter.
(3) For a disapproved moisture monitoring system and disapproved
diluent gas monitoring system, respectively, the minimum potential
moisture percentage and either the maximum potential CO2
concentration or the minimum potential O2 concentration (as
applicable), as defined in sections 2.1.5, 2.1.3.1, and 2.1.3.2 of
appendix A to part 75 of this chapter.
(4) For a disapproved fuel flowmeter system, the maximum potential
fuel 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 Sec.72.2 of this
chapter.
(B) The CAIR designated representative shall submit a notification
of certification retest dates and a new certification application in
accordance with paragraphs (d)(3)(i) and (ii) of this section.
(C) The owner or operator shall repeat all certification tests or
other requirements that were failed by the monitoring system, as
indicated in the permitting authority's or the Administrator's notice of
disapproval, no later than 30 unit operating days after the date of
issuance of the notice of disapproval.
(e) Initial certification and recertification procedures for units
using the low mass emission excepted methodology under Sec.75.19 of
this chapter. The owner or operator of a unit qualified to use the low
mass emissions (LME) excepted methodology under Sec.75.19 of this
chapter shall meet the applicable certification and recertification
requirements in Sec. Sec.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 Sec.
75.20(g) of this chapter.
(f) Certification/recertification procedures for alternative
monitoring systems. The CAIR designated representative of each unit for
which the owner or operator intends to use an alternative monitoring
system approved by the Administrator and, if applicable, the permitting
authority under subpart E of part 75 of this chapter shall comply with
the applicable notification and application procedures of Sec.75.20(f)
of this chapter.
[70 FR 25382, May 12, 2005, as amended at 71 FR 25395, Apr. 28, 2006; 71
FR 74794, Dec. 13, 2006]
Sec.96.372 Out of control periods.
(a) Whenever any monitoring system fails to meet the quality-
assurance and quality-control requirements or data validation
requirements of part 75 of this chapter, data shall be substituted using
the applicable missing data procedures in subpart D or subpart H of, or
appendix D or appendix E to, part 75 of this chapter.
(b) Audit decertification. Whenever both an audit of a monitoring
system and a review of the initial certification or recertification
application reveal that any monitoring system should not have been
certified or recertified because it did not meet a particular
performance specification or other requirement under Sec.96.371 or the
applicable provisions of part 75 of this chapter, both at the time of
the initial certification or recertification application submission and
at the time of the audit, the permitting authority or, for a CAIR
NOX Ozone Season opt-in unit or a unit for which a CAIR opt-
in permit application is submitted and not withdrawn and a CAIR opt-in
permit is not yet issued or denied under subpart IIII of this part, the
Administrator will
[[Page 161]]
issue a notice of disapproval of the certification status of such
monitoring system. For the purposes of this paragraph, an audit shall be
either a field audit or an audit of any information submitted to the
permitting authority or the Administrator. By issuing the notice of
disapproval, the permitting authority or the Administrator revokes
prospectively the certification status of the monitoring system. The
data measured and recorded by the monitoring system shall not be
considered valid quality-assured data from the date of issuance of the
notification of the revoked certification status until the date and time
that the owner or operator completes subsequently approved initial
certification or recertification tests for the monitoring system. The
owner or operator shall follow the applicable initial certification or
recertification procedures in Sec.96.371 for each disapproved
monitoring system.
Sec.96.373 Notifications.
The CAIR designated representative for a CAIR NOX Ozone
Season unit shall submit written notice to the permitting authority and
the Administrator in accordance with Sec.75.61 of this chapter.
[70 FR 25382, May 12, 2005, as amended at 71 FR 25395, Apr. 28, 2006]
Sec.96.374 Recordkeeping and reporting.
(a) General provisions. The CAIR designated representative shall
comply with all recordkeeping and reporting requirements in this
section, the applicable recordkeeping and reporting requirements under
Sec.75.73 of this chapter, and the requirements of Sec.96.310(e)(1).
(b) Monitoring plans. The owner or operator of a CAIR NOX
Ozone Season unit shall comply with requirements of Sec.75.73(c) and
(e) of this chapter and, for a unit for which a CAIR opt-in permit
application is submitted and not withdrawn and a CAIR opt-in permit is
not yet issued or denied under subpart IIII of this part, Sec. Sec.
96.383 and 96.384(a).
(c) Certification applications. The CAIR designated representative
shall submit an application to the permitting authority within 45 days
after completing all initial certification or recertification tests
required under Sec.96.371, including the information required under
Sec.75.63 of this chapter.
(d) Quarterly reports. The CAIR designated representative shall
submit quarterly reports, as follows:
(1) If the CAIR NOX Ozone Season unit is subject to an
Acid Rain emissions limitation or a CAIR NOX emissions
limitation or if the owner or operator of such unit chooses to report on
an annual basis under this subpart, the CAIR designated representative
shall meet the requirements of subpart H of part 75 of this chapter
(concerning monitoring of NOX mass emissions) for such unit
for the entire year and shall report the NOX mass emissions
data and heat input data for such unit, in an electronic quarterly
report in a format prescribed by the Administrator, for each calendar
quarter beginning with:
(i) For a unit that commences commercial operation before July 1,
2007, the calendar quarter covering May 1, 2008 through June 30, 2008;
(ii) For a unit that commences commercial operation on or after July
1, 2007, the calendar quarter corresponding to the earlier of the date
of provisional certification or the applicable deadline for initial
certification under Sec.96.370(b), unless that quarter is the third or
fourth quarter of 2007 or the first quarter of 2008, in which case
reporting shall commence in the quarter covering May 1, 2008 through
June 30, 2008;
(iii) Notwithstanding paragraphs (d)(1)(i) and (ii) of this section,
for a unit for which a CAIR opt-in permit application is submitted and
not withdrawn and a CAIR opt-in permit is not yet issued or denied under
subpart IIII of this part, the calendar quarter corresponding to the
date specified in Sec.96.384(b); and
(iv) Notwithstanding paragraphs (d)(1)(i) and (ii) of this section,
for a CAIR NOX Ozone Season opt-in unit under subpart IIII of
this part, the calendar quarter corresponding to the date on which the
CAIR NOX Ozone Season opt-in unit enters the CAIR
NOX Ozone Season Trading Program as provided in Sec.
96.384(g).
(2) If the CAIR NOX Ozone Season unit is not subject to
an Acid Rain emissions limitation or a CAIR NOX
[[Page 162]]
emissions limitation, then the CAIR designated representative shall
either:
(i) Meet the requirements of subpart H of part 75 (concerning
monitoring of NOX mass emissions) for such unit for the
entire year and report the NOX mass emissions data and heat
input data for such unit in accordance with paragraph (d)(1) of this
section; or
(ii) Meet the requirements of subpart H of part 75 for the control
period (including the requirements in Sec.75.74(c) of this chapter)
and report NOX mass emissions data and heat input data
(including the data described in Sec.75.74(c)(6) of this chapter) for
such unit only for the control period of each year and report, in an
electronic quarterly report in a format prescribed by the Administrator,
for each calendar quarter beginning with:
(A) For a unit that commences commercial operation before July 1,
2007, the calendar quarter covering May 1, 2008 through June 30, 2008;
(B) For a unit that commences commercial operation on or after July
1, 2007, the calendar quarter corresponding to the earlier of the date
of provisional certification or the applicable deadline for initial
certification under Sec.96.370(b), unless that date is not during a
control period, in which case reporting shall commence in the quarter
that includes May 1 through June 30 of the first control period after
such date;.
(C) Notwithstanding paragraphs (d)(2)(ii)(A) and (2)(ii)(B) of this
section, for a unit for which a CAIR opt-in permit application is
submitted and not withdrawn and a CAIR opt-in permit is not yet issued
or denied under subpart IIII of this part, the calendar quarter
corresponding to the date specified in Sec.96.384(b); and
(D) Notwithstanding paragraphs (d)(2)(ii)(A) and (2)(ii)(B) of this
section, for a CAIR NOX Ozone Season opt-in unit under
subpart IIII of this part, the calendar quarter corresponding to the
date on which the CAIR NOX Ozone Season opt-in unit enters
the CAIR NOX Ozone Season Trading Program as provided in
Sec.96.384(g).
(2) The CAIR designated representative shall submit each quarterly
report to the Administrator within 30 days following the end of the
calendar quarter covered by the report. Quarterly reports shall be
submitted in the manner specified in Sec.75.73(f) of this chapter.
(3) For CAIR NOX Ozone Season units that are also subject
to an Acid Rain emissions limitation or the CAIR NOX Annual
Trading Program or CAIR SO2 Trading Program, quarterly
reports shall include the applicable data and information required by
subparts F through H of part 75 of this chapter as applicable, in
addition to the NOX mass emission data, heat input data, and
other information required by this subpart.
(e) Compliance certification. The CAIR designated representative
shall submit to the Administrator a compliance certification (in a
format prescribed by the Administrator) in support of each quarterly
report based on reasonable inquiry of those persons with primary
responsibility for ensuring that all of the unit's emissions are
correctly and fully monitored. The certification shall state that:
(1) The monitoring data submitted were recorded in accordance with
the applicable requirements of this subpart and part 75 of this chapter,
including the quality assurance procedures and specifications;
(2) For a unit with add-on NOX emission controls and for
all hours where NOX data are substituted in accordance with
Sec.75.34(a)(1) of this chapter, the add-on emission controls were
operating within the range of parameters listed in the quality
assurance/quality control program under appendix B to part 75 of this
chapter and the substitute data values do not systematically
underestimate NOX emissions; and
(3) For a unit that is reporting on a control period basis under
paragraph (d)(2)(ii) of this section, the NOX emission rate
and NOX concentration values substituted for missing data
under subpart D of part 75 of this chapter are calculated using only
values from a control period and do not systematically underestimate
NOX emissions.
[70 FR 25382, May 12, 2005, as amended at 71 FR 25395, Apr. 28, 2006]
[[Page 163]]
Sec.96.375 Petitions.
(a) Except as provided in paragraph (b)(2) of this section, the CAIR
designated representative of a CAIR NOX Ozone Season unit
that is subject to an Acid Rain emissions limitation may submit a
petition under Sec.75.66 of this chapter to the Administrator
requesting approval to apply an alternative to any requirement of this
subpart. Application of an alternative to any requirement of this
subpart is in accordance with this subpart only to the extent that the
petition is approved in writing by the Administrator, in consultation
with the permitting authority.
(b)(1) The CAIR designated representative of a CAIR NOX
Ozone Season unit that is not subject to an Acid Rain emissions
limitation may submit a petition under Sec.75.66 of this chapter to
the permitting authority and the Administrator requesting approval to
apply an alternative to any requirement of this subpart. Application of
an alternative to any requirement of this subpart is in accordance with
this subpart only to the extent that the petition is approved in writing
by both the permitting authority and the Administrator.
(2) The CAIR designated representative of a CAIR NOX
Ozone Season unit that is subject to an Acid Rain emissions limitation
may submit a petition under Sec.75.66 of this chapter to the
permitting authority and the Administrator requesting approval to apply
an alternative to a requirement concerning any additional continuous
emission monitoring system required under Sec.75.72 of this chapter.
Application of an alternative to any such requirement is in accordance
with this subpart only to the extent that the petition is approved in
writing by both the permitting authority and the Administrator.
Subpart IIII_CAIR NOX Ozone Season Opt-in Units
Source: 70 FR 25382, May 12, 2005, unless otherwise noted.
Sec.96.380 Applicability.
A CAIR NOX Ozone Season opt-in unit must be a unit that:
(a) Is located in the State;
(b) Is not a CAIR NOX Ozone Season unit under Sec.
96.304 and is not covered by a retired unit exemption under Sec.96.305
that is in effect;
(c) Is not covered by a retired unit exemption under Sec.72.8 of
this chapter that is in effect;
(d) Has or is required or qualified to have a title V operating
permit or other federally enforceable permit; and
(e) Vents all of its emissions to a stack and can meet the
monitoring, recordkeeping, and reporting requirements of subpart HHHH of
this part.
Sec.96.381 General.
(a) Except as otherwise provided in Sec. Sec.96.301 through
96.304, Sec. Sec.96.306 through 96.308, and subparts BBBB and CCCC and
subparts FFFF through HHHH of this part, a CAIR NOX Ozone
Season opt-in unit shall be treated as a CAIR NOX Ozone
Season unit for purposes of applying such sections and subparts of this
part.
(b) Solely for purposes of applying, as provided in this subpart,
the requirements of subpart HHHH of this part to a unit for which a CAIR
opt-in permit application is submitted and not withdrawn and a CAIR opt-
in permit is not yet issued or denied under this subpart, such unit
shall be treated as a CAIR NOX Ozone Season unit before
issuance of a CAIR opt-in permit for such unit.
Sec.96.382 CAIR designated representative.
Any CAIR NOX Ozone Season opt-in unit, and any unit for
which a CAIR opt-in permit application is submitted and not withdrawn
and a CAIR opt-in permit is not yet issued or denied under this subpart,
located at the same source as one or more CAIR NOX Ozone
Season units shall have the same CAIR designated representative and
alternate CAIR designated representative as such CAIR NOX
Ozone Season units.
Sec.96.383 Applying for CAIR opt-in permit.
(a) Applying for initial CAIR opt-in permit. The CAIR designated
representative of a unit meeting the requirements for a CAIR
NOX Ozone Season opt-in unit in Sec.96.380 may apply for an
initial CAIR opt-in permit at any time, except
[[Page 164]]
as provided under Sec.96.386 (f) and (g), and, in order to apply, must
submit the following:
(1) A complete CAIR permit application under Sec.96.322;
(2) A certification, in a format specified by the permitting
authority, that the unit:
(i) Is not a CAIR NOX Ozone Season unit under Sec.
96.304 and is not covered by a retired unit exemption under Sec.96.305
that is in effect;
(ii) Is not covered by a retired unit exemption under Sec.72.8 of
this chapter that is in effect;
(iii) Vents all of its emissions to a stack; and
(iv) Has documented heat input for more than 876 hours during the 6
months immediately preceding submission of the CAIR permit application
under Sec.96.322;
(3) A monitoring plan in accordance with subpart HHHH of this part;
(4) A complete certificate of representation under Sec.96.313
consistent with Sec.96.382, if no CAIR designated representative has
been previously designated for the source that includes the unit; and
(5) A statement, in a format specified by the permitting authority,
whether the CAIR designated representative requests that the unit be
allocated CAIR NOX Ozone Season allowances under Sec.
96.388(b) or Sec.96.388(c) (subject to the conditions in Sec. Sec.
96.384(h) and 96.386(g)). If allocation under Sec.96.388(c) is
requested, this statement shall include a statement that the owners and
operators of the unit intend to repower the unit before January 1, 2015
and that they will provide, upon request, documentation demonstrating
such intent.
(b) Duty to reapply. (1) The CAIR designated representative of a
CAIR NOX Ozone Season opt-in unit shall submit a complete
CAIR permit application under Sec.96.322 to renew the CAIR opt-in unit
permit in accordance with the permitting authority's regulations for
title V operating permits, or the permitting authority's regulations for
other federally enforceable permits if applicable, addressing permit
renewal.
(2) Unless the permitting authority issues a notification of
acceptance of withdrawal of the CAIR NOX Ozone Season opt-in
unit from the CAIR NOX Ozone Season Trading Program in
accordance with Sec.96.186 or the unit becomes a CAIR NOX
Ozone Season unit under Sec.96.304, the CAIR NOX opt-in
unit shall remain subject to the requirements for a CAIR NOX
Ozone Season opt-in unit, even if the CAIR designated representative for
the CAIR NOX Ozone Season opt-in unit fails to submit a CAIR
permit application that is required for renewal of the CAIR opt-in
permit under paragraph (b)(1) of this section.
[70 FR 25382, May 12, 2005, as amended at 71 FR 25396, Apr. 28, 2006]
Sec.96.384 Opt-in process.
The permitting authority will issue or deny a CAIR opt-in permit for
a unit for which an initial application for a CAIR opt-in permit under
Sec.96.383 is submitted in accordance with the following:
(a) Interim review of monitoring plan. The permitting authority and
the Administrator will determine, on an interim basis, the sufficiency
of the monitoring plan accompanying the initial application for a CAIR
opt-in permit under Sec.96.383. A monitoring plan is sufficient, for
purposes of interim review, if the plan appears to contain information
demonstrating that the NOX emissions rate and heat input of
the unit and all other applicable parameters are monitored and reported
in accordance with subpart HHHH of this part. A determination of
sufficiency shall not be construed as acceptance or approval of the
monitoring plan.
(b) Monitoring and reporting. (1)(i) If the permitting authority and
the Administrator determine that the monitoring plan is sufficient under
paragraph (a) of this section, the owner or operator shall monitor and
report the NOX emissions rate and the heat input of the unit
and all other applicable parameters, in accordance with subpart HHHH of
this part, starting on the date of certification of the appropriate
monitoring systems under subpart HHHH of this part and continuing until
a CAIR opt-in permit is denied under Sec.96.384(f) or, if a CAIR opt-
in permit is issued, the date and time when the unit is withdrawn from
the CAIR NOX Ozone Season Trading Program in accordance with
Sec.96.386.
[[Page 165]]
(ii) The monitoring and reporting under paragraph (b)(1)(i) of this
section shall include the entire control period immediately before the
date on which the unit enters the CAIR NOX Ozone Season
Trading Program under Sec.96.384(g), during which period monitoring
system availability must not be less than 90 percent under subpart HHHH
of this part and the unit must be in full compliance with any applicable
State or Federal emissions or emissions-related requirements.
(2) To the extent the NOX emissions rate and the heat
input of the unit are monitored and reported in accordance with subpart
HHHH of this part for one or more control periods, in addition to the
control period under paragraph (b)(1)(ii) of this section, during which
control periods monitoring system availability is not less than 90
percent under subpart HHHH of this part and the unit is in full
compliance with any applicable State or Federal emissions or emissions-
related requirements and which control periods begin not more than 3
years before the unit enters the CAIR NOX Ozone Season
Trading Program under Sec.96.384(g), such information shall be used as
provided in paragraphs (c) and (d) of this section.
(c) Baseline heat input. The unit's baseline heat input shall equal:
(1) If the unit's NOX emissions rate and heat input are
monitored and reported for only one control period, in accordance with
paragraph (b)(1) of this section, the unit's total heat input (in mmBtu)
for the control period; or
(2) If the unit's NOX emissions rate and heat input are
monitored and reported for more than one control period, in accordance
with paragraphs (b)(1) and (2) of this section, the average of the
amounts of the unit's total heat input (in mmBtu) for the control
periods under paragraphs (b)(1)(ii) and (2) of this section.
(d) Baseline NOX emission rate. The unit's baseline
NOX emission rate shall equal:
(1) If the unit's NOX emissions rate and heat input are
monitored and reported for only one control period, in accordance with
paragraph (b)(1) of this section, the unit's NOX emissions
rate (in lb/mmBtu) for the control period;
(2) If the unit's NOX emissions rate and heat input are
monitored and reported for more than one control period, in accordance
with paragraphs (b)(1) and (2) of this section, and the unit does not
have add-on NOX emission controls during any such control
periods, the average of the amounts of the unit's NOX
emissions rate (in lb/mmBtu) for the control periods under paragraphs
(b)(1)(ii) and (2) of this section; or
(3) If the unit's NOX emissions rate and heat input are
monitored and reported for more than one control period, in accordance
with paragraphs (b)(1) and (2) of this section, and the unit has add-on
NOX emission controls during any such control periods, the
average of the amounts of the unit's NOX emissions rate (in
lb/mmBtu) for such control periods during which the unit has add-on
NOX emission controls.
(e) Issuance of CAIR opt-in permit. After calculating the baseline
heat input and the baseline NOX emissions rate for the unit
under paragraphs (c) and (d) of this section and if the permitting
authority determines that the CAIR designated representative shows that
the unit meets the requirements for a CAIR NOX Ozone Season
opt-in unit in Sec.96.380 and meets the elements certified in Sec.
96.383(a)(2), the permitting authority will issue a CAIR opt-in permit.
The permitting authority will provide a copy of the CAIR opt-in permit
to the Administrator, who will then establish a compliance account for
the source that includes the CAIR NOX Ozone Season opt-in
unit unless the source already has a compliance account.
(f) Issuance of denial of CAIR opt-in permit. Notwithstanding
paragraphs (a) through (e) of this section, if at any time before
issuance of a CAIR opt-in permit for the unit, the permitting authority
determines that the CAIR designated representative fails to show that
the unit meets the requirements for a CAIR NOX Ozone Season
opt-in unit in Sec.96.380 or meets the elements certified in Sec.
96.383(a)(2), the permitting authority will issue a denial of a CAIR
opt-in permit for the unit.
(g) Date of entry into CAIR NOX Ozone Season Trading
Program. A unit for which an initial CAIR opt-in permit is
[[Page 166]]
issued by the permitting authority shall become a CAIR NOX
Ozone Season opt-in unit, and a CAIR NOX Ozone Season unit,
as of the later of May 1, 2009 or May 1 of the first control period
during which such CAIR opt-in permit is issued.
(h) Repowered CAIR NOX Ozone Season opt-in unit. (1) If
CAIR designated representative requests, and the permitting authority
issues a CAIR opt-in permit providing for, allocation to a CAIR
NOX Ozone Season opt-in unit of CAIR NOX Ozone
Season allowances under Sec.96.388(c) and such unit is repowered after
its date of entry into the CAIR NOX Ozone Season Trading
Program under paragraph (g) of this section, the repowered unit shall be
treated as a CAIR NOX Ozone Season opt-in unit replacing the
original CAIR NOX Ozone Season opt-in unit, as of the date of
start-up of the repowered unit's combustion chamber.
(2) Notwithstanding paragraphs (c) and (d) of this section, as of
the date of start-up under paragraph (h)(1) of this section, the
repowered unit shall be deemed to have the same date of commencement of
operation, date of commencement of commercial operation, baseline heat
input, and baseline NOX emission rate as the original CAIR
NOX Ozone Season opt-in unit, and the original CAIR
NOX Ozone Season opt-in unit shall no longer be treated as a
CAIR NOX Ozone Season opt-in unit or a CAIR NOX
Ozone Season unit.
[70 FR 25382, May 12, 2005, as amended at 71 FR 25396, Apr. 28, 2006; 71
FR 74794, Dec. 13, 2006]
Sec.96.385 CAIR opt-in permit contents.
(a) Each CAIR opt-in permit will contain:
(1) All elements required for a complete CAIR permit application
under Sec.96.322;
(2) The certification in Sec.96.383(a)(2);
(3) The unit's baseline heat input under Sec.96.384(c);
(4) The unit's baseline NOX emission rate under Sec.
96.384(d);
(5) A statement whether the unit is to be allocated CAIR
NOX Ozone Season allowances under Sec.96.388(b) or Sec.
96.388(c) (subject to the conditions in Sec. Sec.96.384(h) and
96.386(g));
(6) A statement that the unit may withdraw from the CAIR
NOX Ozone Season Trading Program only in accordance with
Sec.96.386; and
(7) A statement that the unit is subject to, and the owners and
operators of the unit must comply with, the requirements of Sec.
96.387.
(b) Each CAIR opt-in permit is deemed to incorporate automatically
the definitions of terms under Sec.96.302 and, upon recordation by the
Administrator under subpart FFFF or GGGG of this part or this subpart,
every allocation, transfer, or deduction of CAIR NOX Ozone
Season allowances to or from the compliance account of the source that
includes a CAIR NOX Ozone Season opt-in unit covered by the
CAIR opt-in permit.
(c) The CAIR opt-in permit shall be included, in a format specified
by the permitting authority, in the CAIR permit for the source where the
CAIR NOX Ozone Season opt-in unit is located and in a title V
operating permit or other federally enforceable permit for the source.
[70 FR 25382, May 12, 2005, as amended at 71 FR 25396, Apr. 28, 2006]
Sec.96.386 Withdrawal from CAIR NOX Ozone Season Trading Program.
Except as provided under paragraph (g) of this section, a CAIR
NOX Ozone Season opt-in unit may withdraw from the CAIR
NOX Ozone Season Trading Program, but only if the permitting
authority issues a notification to the CAIR designated representative of
the CAIR NOX Ozone Season opt-in unit of the acceptance of
the withdrawal of the CAIR NOX Ozone Season opt-in unit in
accordance with paragraph (d) of this section.
(a) Requesting withdrawal. In order to withdraw a CAIR
NOX Ozone Season opt-on unit from the CAIR NOX
Ozone Season Trading Program, the CAIR designated representative of the
CAIR NOX Ozone Season opt-in unit shall submit to the
permitting authority a request to withdraw effective as of midnight of
September 30 of a specified calendar year, which date must be at least 4
years after September 30 of the year of entry into the CAIR
NOX Ozone Season Trading Program under
[[Page 167]]
Sec.96.384(g). The request must be submitted no later than 90 days
before the requested effective date of withdrawal.
(b) Conditions for withdrawal. Before a CAIR NOX Ozone
Season opt-in unit covered by a request under paragraph (a) of this
section may withdraw from the CAIR NOX Ozone Season Trading
Program and the CAIR opt-in permit may be terminated under paragraph (e)
of this section, the following conditions must be met:
(1) For the control period ending on the date on which the
withdrawal is to be effective, the source that includes the CAIR
NOX Ozone Season opt-in unit must meet the requirement to
hold CAIR NOX Ozone Season allowances under Sec.96.306(c)
and cannot have any excess emissions.
(2) After the requirement for withdrawal under paragraph (b)(1) of
this section is met, the Administrator will deduct from the compliance
account of the source that includes the CAIR NOX Ozone Season
opt-in unit CAIR NOX Ozone Season allowances equal in amount
to and allocated for the same or a prior control period as any CAIR
NOX Ozone Season allowances allocated to the CAIR
NOX Ozone Season opt-in unit under Sec.96.388 for any
control period for which the withdrawal is to be effective. If there are
no remaining CAIR NOX Ozone Season units at the source, the
Administrator will close the compliance account, and the owners and
operators of the CAIR NOX Ozone Season opt-in unit may submit
a CAIR NOX Ozone Season allowance transfer for any remaining
CAIR NOX Ozone Season allowances to another CAIR
NOX Ozone Season Allowance Tracking System in accordance with
subpart GGGG of this part.
(c) Notification. (1) After the requirements for withdrawal under
paragraphs (a) and (b) of this section are met (including deduction of
the full amount of CAIR NOX Ozone Season allowances
required), the permitting authority will issue a notification to the
CAIR designated representative of the CAIR NOX Ozone Season
opt-in unit of the acceptance of the withdrawal of the CAIR
NOX Ozone Season opt-in unit as of midnight on September 30
of the calendar year for which the withdrawal was requested.
(2) If the requirements for withdrawal under paragraphs (a) and (b)
of this section are not met, the permitting authority will issue a
notification to the CAIR designated representative of the CAIR
NOX Ozone Season opt-in unit that the CAIR NOX
Ozone Season opt-in unit's request to withdraw is denied. Such CAIR
NOX Ozone Season opt-in unit shall continue to be a CAIR
NOX Ozone Season opt-in unit.
(d) Permit amendment. After the permitting authority issues a
notification under paragraph (c)(1) of this section that the
requirements for withdrawal have been met, the permitting authority will
revise the CAIR permit covering the CAIR NOX Ozone Season
opt-in unit to terminate the CAIR opt-in permit for such unit as of the
effective date specified under paragraph (c)(1) of this section. The
unit shall continue to be a CAIR NOX Ozone Season opt-in unit
until the effective date of the termination and shall comply with all
requirements under the CAIR NOX Ozone Season Trading Program
concerning any control periods for which the unit is a CAIR
NOX Ozone Season opt-in unit, even if such requirements arise
or must be complied with after the withdrawal takes effect.
(e) Reapplication upon failure to meet conditions of withdrawal. If
the permitting authority denies the CAIR NOX Ozone Season
opt-in unit's request to withdraw, the CAIR designated representative
may submit another request to withdraw in accordance with paragraphs (a)
and (b) of this section.
(f) Ability to reapply to the CAIR NOX Ozone Season
Trading Program. Once a CAIR NOX Ozone Season opt-in unit
withdraws from the CAIR NOX Ozone Season Trading Program and
its CAIR opt-in permit is terminated under this section, the CAIR
designated representative may not submit another application for a CAIR
opt-in permit under Sec.96.383 for such CAIR NOX Ozone
Season opt-in unit before the date that is 4 years after the date on
which the withdrawal became effective. Such new application for a CAIR
opt-in permit will be treated as an initial application for a CAIR opt-
in permit under Sec.96.384.
(g) Inability to withdraw. Notwithstanding paragraphs (a) through
(f) of this section, a CAIR NOX Ozone Season
[[Page 168]]
opt-in unit shall not be eligible to withdraw from the CAIR
NOX Ozone Season Trading Program if the CAIR designated
representative of the CAIR NOX Ozone Season opt-in unit
requests, and the permitting authority issues a CAIR opt-in permit
providing for, allocation to the CAIR NOX Ozone Season opt-in
unit of CAIR NOX Ozone Season allowances under Sec.
96.388(c).
[70 FR 25382, May 12, 2005, as amended at 71 FR 25396, Apr. 28, 2006]
Sec.96.387 Change in regulatory status.
(a) Notification. If a CAIR NOX Ozone Season opt-in unit
becomes a CAIR NOX Ozone Season unit under Sec.96.304, then
the CAIR designated representative shall notify in writing the
permitting authority and the Administrator of such change in the CAIR
NOX Ozone Season opt-in unit's regulatory status, within 30
days of such change.
(b) Permitting authority's and Administrator's actions. (1) If a
CAIR NOX Ozone Season opt-in unit becomes a CAIR
NOX Ozone Season unit under Sec.96.304, the permitting
authority will revise the CAIR NOX Ozone Season opt-in unit's
CAIR opt-in permit to meet the requirements of a CAIR permit under Sec.
96.323, and remove the CAIR opt-in permit provisions, as of the date on
which the CAIR NOX Ozone Season opt-in unit becomes a CAIR
NOX Ozone Season unit under Sec.96.304.
(2)(i) The Administrator will deduct from the compliance account of
the source that includes the CAIR NOX Ozone Season opt-in
unit that becomes a CAIR NOX Ozone Season unit under Sec.
96.304, CAIR NOX Ozone Season allowances equal in amount to
and allocated for the same or a prior control period as:
(A) Any CAIR NOX Ozone Season allowances allocated to the
CAIR NOX Ozone Season opt-in unit under Sec.96.388 for any
control period after the date on which the CAIR NOX Ozone
Season opt-in unit becomes a CAIR NOX Ozone Season unit under
Sec.96.304; and
(B) If the date on which the CAIR NOX Ozone Season opt-in
unit becomes a CAIR NOX Ozone Season unit under Sec.96.304
is not September 30, the CAIR NOX Ozone Season allowances
allocated to the CAIR NOX Ozone Season opt-in unit under
Sec.96.388 for the control period that includes the date on which the
CAIR NOX Ozone Season opt-in unit becomes a CAIR
NOX Ozone Season unit under Sec.96.304, multiplied by the
ratio of the number of days, in the control period, starting with the
date on which the CAIR NOX Ozone Season opt-in unit becomes a
CAIR NOX Ozone Season unit under Sec.96.304 divided by the
total number of days in the control period and rounded to the nearest
whole allowance as appropriate.
(ii) The CAIR designated representative shall ensure that the
compliance account of the source that includes the CAIR NOX
Ozone Season opt-in unit that becomes a CAIR NOX Ozone Season
unit under Sec.96.304 contains the CAIR NOX Ozone Season
allowances necessary for completion of the deduction under paragraph
(b)(2)(i) of this section.
(3)(i) For every control period after the date on which the CAIR
NOX Ozone Season opt-in unit becomes a CAIR NOX
Ozone Season unit under Sec.96.304, the CAIR NOX Ozone
Season opt-in unit will be allocated CAIR NOX Ozone Season
allowances under Sec.96.342.
(ii) If the date on which the CAIR NOX Ozone Season opt-
in unit becomes a CAIR NOX Ozone Season unit under Sec.
96.304 is not September 30, the following amount of CAIR NOX
Ozone Season allowances will be allocated to the CAIR NOX
Ozone Season opt-in unit (as a CAIR NOX Ozone Season unit)
under Sec.96.342 for the control period that includes the date on
which the CAIR NOX Ozone Season opt-in unit becomes a CAIR
NOX Ozone Season unit under Sec.96.304:
(A) The amount of CAIR NOX Ozone Season allowances
otherwise allocated to the CAIR NOX Ozone Season opt-in unit
(as a CAIR NOX Ozone Season unit) under Sec.96.342 for the
control period multiplied by;
(B) The ratio of the number of days, in the control period, starting
with the date on which the CAIR NOX Ozone Season opt-in unit
becomes a CAIR NOX Ozone Season unit under Sec.96.304,
divided by the total number of days in the control period; and
[[Page 169]]
(C) Rounded to the nearest whole allowance as appropriate.
[70 FR 25382, May 12, 2005, as amended at 71 FR 25396, Apr. 28, 2006; 71
FR 74794, Dec. 13, 2006]
Sec.96.388 CAIR NOX Ozone Season allowance allocations to CAIR NOX
Ozone Season opt-in units.
(a) Timing requirements. (1) When the CAIR opt-in permit is issued
under Sec.96.384(e), the permitting authority will allocate CAIR
NOX Ozone Season allowances to the CAIR NOX Ozone
Season opt-in unit, and submit to the Administrator the allocation for
the control period in which a CAIR NOX Ozone Season opt-in
unit enters the CAIR NOX Ozone Season Trading Program under
Sec.96.384(g), in accordance with paragraph (b) or (c) of this
section.
(2) By no later than July 31 of the control period after the control
period in which a CAIR NOX Ozone Season opt-in unit enters
the CAIR NOX Ozone Season Trading Program under Sec.
96.384(g) and July 31 of each year thereafter, the permitting authority
will allocate CAIR NOX Ozone Season allowances to the CAIR
NOX Ozone Season opt-in unit, and submit to the Administrator
the allocation for the control period that includes such submission
deadline and in which the unit is a CAIR NOX Ozone Season
opt-in unit, in accordance with paragraph (b)or (c) of this section.
(b) Calculation of allocation. For each control period for which a
CAIR NOX Ozone Season opt-in unit is to be allocated CAIR
NOX Ozone Season allowances, the permitting authority will
allocate in accordance with the following procedures:
(1) The heat input (in mmBtu) used for calculating the CAIR
NOX Ozone Season allowance allocation will be the lesser of:
(i) The CAIR NOX Ozone Season opt-in unit's baseline heat
input determined under Sec.96.384(c); or
(ii) The CAIR NOX Ozone Season opt-in unit's heat input,
as determined in accordance with subpart HHHH of this part, for the
immediately prior control period, except when the allocation is being
calculated for the control period in which the CAIR NOX Ozone
Season opt-in unit enters the CAIR NOX Ozone Season Trading
Program under Sec.96.384(g).
(2) The NOX emission rate (in lb/mmBtu) used for
calculating CAIR NOX Ozone Season allowance allocations will
be the lesser of:
(i) The CAIR NOX Ozone Season opt-in unit's baseline
NOX emissions rate (in lb/mmBtu) determined under Sec.
96.384(d) and multiplied by 70 percent; or
(ii) The most stringent State or Federal NOX emissions
limitation applicable to the CAIR NOX Ozone Season opt-in
unit at any time during the control period for which CAIR NOX
Ozone Season allowances are to be allocated.
(3) The permitting authority will allocate CAIR NOX Ozone
Season allowances to the CAIR NOX Ozone Season opt-in unit in
an amount equaling the heat input under paragraph (b)(1) of this
section, multiplied by the NOX emission rate under paragraph
(b)(2) of this section, divided by 2,000 lb/ton, and rounded to the
nearest whole allowance as appropriate.
(c) Notwithstanding paragraph (b) of this section and if the CAIR
designated representative requests, and the permitting authority issues
a CAIR opt-in permit'' (based on a demonstration of the intent to
repower stated under Sec.96.383(a)(5)) providing for, allocation to a
CAIR NOX Ozone Season opt-in unit of CAIR NOX
Ozone Season allowances under this paragraph (subject to the conditions
in Sec. Sec.96.384(h) and 96.386(g)), the permitting authority will
allocate to the CAIR NOX Ozone Season opt-in unit as follows:
(1) For each control period in 2009 through 2014 for which the CAIR
NOX Ozone Season opt-in unit is to be allocated CAIR
NOX Ozone Season allowances,
(i) The heat input (in mmBtu) used for calculating CAIR
NOX Ozone Season allowance allocations will be determined as
described in paragraph (b)(1) of this section.
(ii) The NOX emission rate (in lb/mmBtu) used for
calculating CAIR NOX Ozone Season allowance allocations will
be the lesser of:
(A) The CAIR NOX Ozone Season opt-in unit's baseline
NOX emissions rate
[[Page 170]]
(in lb/mmBtu) determined under Sec.96.384(d); or
(B) The most stringent State or Federal NOX emissions
limitation applicable to the CAIR NOX Ozone Season opt-in
unit at any time during the control period in which the CAIR
NOX Ozone Season opt-in unit enters the CAIR NOX
Ozone Season Trading Program under Sec.96.384(g).
(iii) The permitting authority will allocate CAIR NOX
Ozone Season allowances to the CAIR NOX Ozone Season opt-in
unit in an amount equaling the heat input under paragraph (c)(1)(i) of
this section, multiplied by the NOX emission rate under
paragraph (c)(1)(ii) of this section, divided by 2,000 lb/ton, and
rounded to the nearest whole allowance as appropriate.
(2) For each control period in 2015 and thereafter for which the
CAIR NOX Ozone Season opt-in unit is to be allocated CAIR
NOX Ozone Season allowances,
(i) The heat input (in mmBtu) used for calculating the CAIR
NOX Ozone Season allowance allocations will be determined as
described in paragraph (b)(1) of this section.
(ii) The NOX emission rate (in lb/mmBtu) used for
calculating the CAIR NOX Ozone Season allowance allocation
will be the lesser of:
(A) 0.15 lb/mmBtu;
(B) The CAIR NOX Ozone Season opt-in unit's baseline
NOX emissions rate (in lb/mmBtu) determined under Sec.
96.384(d); or
(C) The most stringent State or Federal NOX emissions
limitation applicable to the CAIR NOX Ozone Season opt-in
unit at any time during the control period for which CAIR NOX
Ozone Season allowances are to be allocated.
(iii) The permitting authority will allocate CAIR NOX
Ozone Season allowances to the CAIR NOX Ozone Season opt-in
unit in an amount equaling the heat input under paragraph (c)(2)(i) of
this section, multiplied by the NOX emission rate under
paragraph (c)(2)(ii) of this section, divided by 2,000 lb/ton, and
rounded to the nearest whole allowance as appropriate.
(d) Recordation. (1) The Administrator will record, in the
compliance account of the source that includes the CAIR NOX
Ozone Season opt-in unit, the CAIR NOX Ozone Season
allowances allocated by the permitting authority to the CAIR
NOX Ozone Season opt-in unit under paragraph (a)(1) of this
section.
(2) By September 1, of the control period in which a CAIR
NOX Ozone Season opt-in unit enters the CAIR NOX
Ozone Season Trading Program under Sec.96.384(g), and September 1 of
each year thereafter, the Administrator will record, in the compliance
account of the source that includes the CAIR NOX Ozone Season
opt-in unit, the CAIR NOX Ozone Season allowances allocated
by the permitting authority to the CAIR NOX Ozone Season opt-
in unit under paragraph (a)(2) of this section.
[70 FR 25382, May 12, 2005, as amended at 71 FR 25396, Apr. 28, 2006]
PART 97_FEDERAL NOX BUDGET TRADING PROGRAM, CAIR NOX AND SO2 TRADING
PROGRAMS, CSAPR NOX AND SO2 TRADING PROGRAMS, AND TEXAS SO2 TRADING
PROGRAM--Table of Contents
Subpart A_NOX Budget Trading Program General Provisions
Sec.
97.1 Purpose.
97.2 Definitions.
97.3 Measurements, abbreviations, and acronyms.
97.4 Applicability.
97.5 Retired unit exemption.
97.6 Standard requirements.
97.7 Computation of time.
Subpart B_NOX Authorized Account Representative for NOX Budget Sources
97.10 Authorization and responsibilities of NOX authorized
account representative.
97.11 Alternate NOX authorized account representative.
97.12 Changing NOX authorized account representative and
alternate NOX authorized account representative;
changes in owners and operators.
97.13 Account certificate of representation.
97.14 Objections concerning NOX authorized account
representative.
Subpart C_Permits
97.20 General NOX Budget Trading Program permit requirements.
97.21 Submission of NOX Budget permit applications.
97.22 Information requirements for NOX Budget permit
applications.
[[Page 171]]
97.23 NOX Budget permit contents.
97.24 NOX Budget permit revisions.
Subpart D_Compliance Certification
97.30 Compliance certification report.
97.31 Administrator's action on compliance certifications.
Subpart E_NOX Allowance Allocations
97.40 Trading program budget.
97.41 Timing requirements for NOX allowance allocations.
97.42 NOX allowance allocations.
97.43 Compliance supplement pool.
Appendix A to Subpart E of Part 97--Final Section 126 Rule: EGU
Allocations, 2003-2007
Appendix B to Subpart E of Part 97--Final Section 126 Rule: Non-EGU
Allocations, 2003-2007
Appendix C to Subpart E of Part 97--Final Section 126 Rule: Trading
Budget, 2003-2007
Appendix D to Subpart E of Part 97--Final Section 126 Rule: State
Compliance Supplement Pools for the Section 126 Final Rule
(Tons)
Subpart F_NOX Allowance Tracking System
97.50 NOX Allowance Tracking System accounts.
97.51 Establishment of accounts.
97.52 NOX Allowance Tracking System responsibilities of
NOX authorized account representative.
97.53 Recordation of NOX allowance allocations.
97.54 Compliance.
97.55 Banking.
97.56 Account error.
97.57 Closing of general accounts.
Subpart G_NOX Allowance Transfers
97.60 Submission of NOX allowance transfers.
97.61 EPA recordation.
97.62 Notification.
Subpart H_Monitoring and Reporting
97.70 General requirements.
97.71 Initial certification and recertification procedures.
97.72 Out of control periods.
97.73 Notifications.
97.74 Recordkeeping and reporting.
97.75 Petitions.
97.76 Additional requirements to provide heat input data.
Subpart I_Individual Unit Opt-ins
97.80 Applicability.
97.81 General.
97.82 NOX authorized account representative.
97.83 Applying for NOX Budget opt-in permit.
97.84 Opt-in process.
97.85 NOX Budget opt-in permit contents.
97.86 Withdrawal from NOX Budget Trading Program.
97.87 Change in regulatory status.
97.88 NOX allowance allocations to opt-in units.
Subpart J_Appeal Procedures
97.90 Appeal procedures.
Subpart AA_CAIR NOX Annual Trading Program General Provisions
97.101 Purpose.
97.102 Definitions.
97.103 Measurements, abbreviations, and acronyms.
97.104 Applicability.
97.105 Retired unit exemption.
97.106 Standard requirements.
97.107 Computation of time.
97.108 Appeal procedures.
Subpart BB_CAIR Designated Representative for CAIR NOX Sources
97.110 Authorization and responsibilities of CAIR designated
representative.
97.111 Alternate CAIR designated representative.
97.112 Changing CAIR designated representative and alternate CAIR
designated representative; changes in owners and operators.
97.113 Certificate of representation.
97.114 Objections concerning CAIR designated representative.
97.115 Delegation by CAIR designated representative and alternate CAIR
designated representative.
Subpart CC_Permits
97.120 General CAIR NOX Annual Trading Program permit
requirements.
97.121 Submission of CAIR permit applications.
97.122 Information requirements for CAIR permit applications.
97.123 CAIR permit contents and term.
97.124 CAIR permit revisions.
Subpart DD [Reserved]
Subpart EE_CAIR NOX Allowance Allocations
97.140 State trading budgets.
97.141 Timing requirements for CAIR NOX allowance
allocations.
97.142 CAIR NOX allowance allocations.
[[Page 172]]
97.143 Compliance supplement pool.
97.144 Alternative of allocation of CAIR NOX allowances and
compliance supplement pool by permitting authority.
Appendix A to Subpart EE of Part 97--States With Approved State
Implementation Plan Revisions Concerning Allocations
Subpart FF_ CAIR NOX Allowance Tracking System
97.150 [Reserved]
97.151 Establishment of accounts.
97.152 Responsibilities of CAIR authorized account representative.
97.153 Recordation of CAIR NOX allowance allocations.
97.154 Compliance with CAIR NOX emissions limitation.
97.155 Banking.
97.156 Account error.
97.157 Closing of general accounts.
Subpart GG_CAIR NOX Allowance Transfers
97.160 Submission of CAIR NOX allowance transfers.
97.161 EPA recordation.
97.162 Notification.
Subpart HH_Monitoring and Reporting
97.170 General requirements.
97.171 Initial certification and recertification procedures.
97.172 Out of control periods.
97.173 Notifications.
97.174 Recordkeeping and reporting.
97.175 Petitions.
Subpart II_CAIR NOX Opt-in Units
97.180 Applicability.
97.181 General.
97.182 CAIR designated representative.
97.183 Applying for CAIR opt-in permit.
97.184 Opt-in process.
97.185 CAIR opt-in permit contents.
97.186 Withdrawal from CAIR NOX Annual Trading Program.
97.187 Change in regulatory status.
97.188 CAIR NOX allowance allocations to CAIR NOX
opt-in units.
Appendix A to Subpart II of Part 97--States With Approved State
Implementation Plan Revisions Concerning CAIR NOX
Opt-in Units
Subpart AAA_CAIR SO2 Trading Program General Provisions
97.201 Purpose.
97.202 Definitions.
97.203 Measurements, abbreviations, and acronyms.
97.204 Applicability.
97.205 Retired unit exemption.
97.206 Standard requirements.
97.207 Computation of time.
97.208 Appeal procedures.
Subpart BBB_CAIR Designated Representative for CAIR SO2 Sources
97.210 Authorization and responsibilities of CAIR designated
representative.
97.211 Alternate CAIR designated representative.
97.212 Changing CAIR designated representative and alternate CAIR
designated representative; changes in owners and operators.
97.213 Certificate of representation.
97.214 Objections concerning CAIR designated representative.
97.215 Delegation by CAIR designated representative and alternate CAIR
designated representative.
Subpart CCC_Permits
97.220 General CAIR SO2 Trading Program permit requirements.
97.221 Submission of CAIR permit applications.
97.222 Information requirements for CAIR permit applications.
97.223 CAIR permit contents and term.
97.224 CAIR permit revisions.
Subparts DDD-EEE [Reserved]
Subpart FFF_CAIR SO2 Allowance Tracking System
97.250 [Reserved]
97.251 Establishment of accounts.
97.252 Responsibilities of CAIR authorized account representative.
97.253 Recordation of CAIR SO2 allowances.
97.254 Compliance with CAIR SO2 emissions limitation.
97.255 Banking.
97.256 Account error.
97.257 Closing of general accounts.
Subpart GGG_CAIR SO2 Allowance Transfers
97.260 Submission of CAIR SO2 allowance transfers.
97.261 EPA recordation.
97.262 Notification.
Subpart HHH_Monitoring and Reporting
97.270 General requirements.
97.271 Initial certification and recertification procedures.
97.272 Out of control periods.
97.273 Notifications.
97.274 Recordkeeping and reporting.
97.275 Petitions.
[[Page 173]]
Subpart III_CAIR SO2 Opt-in Units
97.280 Applicability.
97.281 General.
97.282 CAIR designated representative.
97.283 Applying for CAIR opt-in permit.
97.284 Opt-in process.
97.285 CAIR opt-in permit contents.
97.286 Withdrawal from CAIR SO2 Trading Program.
97.287 Change in regulatory status.
97.288 CAIR SO2 allowance allocations to CAIR SO2
opt-in units.
Appendix A to Subpart III of Part 97--States With Approved State
Implementation Plan Revisions Concerning CAIR SO2
Opt-In Units
Subpart AAAA_CAIR NOX Ozone Season Trading Program General Provisions
97.301 Purpose.
97.302 Definitions.
97.303 Measurements, abbreviations, and acronyms.
97.304 Applicability.
97.305 Retired unit exemption.
97.306 Standard requirements.
97.307 Computation of time.
97.308 Appeal procedures.
Appendix A to Subpart AAAA of Part 97--States With Approved State
Implementation Plan Revisions Concerning Applicability
Subpart BBBB_CAIR Designated Representative for CAIR NOX Ozone Season
Sources
97.310 Authorization and responsibilities of CAIR designated
representative.
97.311 Alternate CAIR designated representative.
97.312 Changing CAIR designated representative and alternate CAIR
designated representative; changes in owners and operators.
97.313 Certificate of representation.
97.314 Objections concerning CAIR designated representative.
97.315 Delegation by CAIR designated representative and alternate CAIR
designated representative.
Subpart CCCC_Permits
97.320 General CAIR NOX Ozone Season Trading Program permit
requirements.
97.321 Submission of CAIR permit applications.
97.322 Information requirements for CAIR permit applications.
97.323 CAIR permit contents and term.
97.324 CAIR permit revisions.
Subpart DDDD [Reserved]
Subpart EEEE_CAIR NOX Ozone Season Allowance Allocations
97.340 State trading budgets.
97.341 Timing requirements for CAIR NOX Ozone Season
allowance allocations.
97.342 CAIR NOX Ozone Season allowance allocations.
97.343 Alternative of allocation of CAIR NOX Ozone Season
allowances by permitting authority.
Appendix A to Subpart EEEE of Part 97--States With Approved State
Implementation Plan Revisions Concerning Allocations
Subpart FFFF_CAIR NOX Ozone Season Allowance Tracking System
97.350 [Reserved]
97.351 Establishment of accounts.
97.352 Responsibilities of CAIR authorized account representative.
97.353 Recordation of CAIR NOX Ozone Season allowance
allocations.
97.354 Compliance with CAIR NOX emissions limitation.
97.355 Banking.
97.356 Account error.
97.357 Closing of general accounts.
Subpart GGGG_CAIR NOX Ozone Season Allowance Transfers
97.360 Submission of CAIR NOX Ozone Season allowance
transfers.
97.361 EPA recordation.
97.362 Notification.
Subpart HHHH_Monitoring and Reporting
97.370 General requirements.
97.371 Initial certification and recertification procedures.
97.372 Out of control periods.
97.373 Notifications.
97.374 Recordkeeping and reporting.
97.375 Petitions.
Subpart IIII_CAIR NOX Ozone Season Opt-in Units
97.380 Applicability.
97.381 General.
97.382 CAIR designated representative.
97.383 Applying for CAIR opt-in permit.
97.384 Opt-in process.
97.385 CAIR opt-in permit contents.
97.386 Withdrawal from CAIR NOX Ozone Season Trading Program.
97.387 Change in regulatory status.
97.388 CAIR NOX Ozone Season allowance allocations to CAIR
NOX Ozone Season opt-in units.
[[Page 174]]
Appendix A to Subpart IIII of Part 97--States With Approved State
Implementation Plan Revisions Concerning CAIR NOX
Ozone Season Opt-In Units
Subpart AAAAA_CSAPR NOX Annual Trading Program
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 CSAPR NOX Annual allowance allocations.
97.412 CSAPR NOX Annual allowance allocations to new units.
97.413 Authorization of designated representative and alternate
designated representative.
97.414 Responsibilities of designated representative and alternate
designated representative.
97.415 Changing designated representative and alternate designated
representative; changes in owners and operators.
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 CSAPR NOX Annual allowance allocations and auction
results.
97.422 Submission of CSAPR NOX Annual allowance transfers.
97.423 Recordation of CSAPR NOX Annual allowance transfers.
97.424 Compliance with CSAPR NOX Annual emissions limitation.
97.425 Compliance with CSAPR NOX Annual assurance provisions.
97.426 Banking.
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 BBBBB_CSAPR NOX Ozone Season Group 1 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.
97.509 [Reserved]
97.510 State NOX Ozone Season Group 1 trading budgets, new unit set-
asides, Indian country new unit set-asides, and variability
limits.
97.511 Timing requirements for CSAPR NOX Ozone Season Group 1 allowance
allocations.
97.512 CSAPR NOX Ozone Season Group 1 allowance allocations to new
units.
97.513 Authorization of designated representative and alternate
designated representative.
97.514 Responsibilities of designated representative and alternate
designated representative.
97.515 Changing designated representative and alternate designated
representative; changes in owners and operators.
97.516 Certificate of representation.
97.517 Objections concerning designated representative and alternate
designated representative.
97.518 Delegation by designated representative and alternate designated
representative.
97.519 [Reserved]
97.520 Establishment of compliance accounts and general accounts.
97.521 Recordation of CSAPR NOX Ozone Season Group 1 allowance
allocations and auction results.
97.522 Submission of CSAPR NOX Ozone Season Group 1 allowance transfers.
97.523 Recordation of CSAPR NOX Ozone Season Group 1 allowance
transfers.
97.524 Compliance with CSAPR NOX Ozone Season Group 1 emissions
limitation.
97.525 Compliance with CSAPR NOX Ozone Season Group 1 assurance
provisions.
97.526 Banking.
97.527 Account error.
97.528 Administrator's action on submissions.
97.529 [Reserved]
97.530 General monitoring, recordkeeping, and reporting requirements.
97.531 Initial monitoring system certification and recertification
procedures.
[[Page 175]]
97.532 Monitoring system out-of-control periods.
97.533 Notifications concerning monitoring.
97.534 Recordkeeping and reporting.
97.535 Petitions for alternatives to monitoring, recordkeeping, or
reporting requirements.
Subpart CCCCC_CSAPR 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.
97.609 [Reserved]
97.610 State SO2 Group 1 trading budgets, new unit set-asides, Indian
country new unit set-asides, and variability limits.
97.611 Timing requirements for CSAPR SO2 Group 1 allowance allocations.
97.612 CSAPR SO2 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 alternate
designated representative.
97.618 Delegation by designated representative and alternate designated
representative.
97.619 [Reserved]
97.620 Establishment of compliance accounts and general accounts.
97.621 Recordation of CSAPR SO2 Group 1 allowance allocations and
auction results.
97.622 Submission of CSAPR SO2 Group 1 allowance transfers.
97.623 Recordation of CSAPR SO2 Group 1 allowance transfers.
97.624 Compliance with CSAPR SO2 Group 1 emissions limitation.
97.625 Compliance with CSAPR SO2 Group 1 assurance provisions.
97.626 Banking.
97.627 Account error.
97.628 Administrator's action on submissions.
97.629 [Reserved]
97.630 General monitoring, recordkeeping, and reporting requirements.
97.631 Initial monitoring system certification and recertification
procedures.
97.632 Monitoring system out-of-control periods.
97.633 Notifications concerning monitoring.
97.634 Recordkeeping and reporting.
97.635 Petitions for alternatives to monitoring, recordkeeping, or
reporting requirements.
Subpart DDDDD_CSAPR 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 SO2 Group 2 trading budgets, new unit set-asides, Indian
country new unit set-asides, and variability limits.
97.711 Timing requirements for CSAPR SO2 Group 2 allowance allocations.
97.712 CSAPR SO2 Group 2 allowance allocations to new units.
97.713 Authorization of designated representative and alternate
designated representative.
97.714 Responsibilities of designated representative and alternate
designated representative.
97.715 Changing designated representative and alternate designated
representative; changes in owners and operators.
97.716 Certificate of representation.
97.717 Objections concerning designated representative and alternate
designated representative.
97.718 Delegation by designated representative and alternate designated
representative.
97.719 [Reserved]
97.720 Establishment of compliance accounts and general accounts.
97.721 Recordation of CSAPR SO2 Group 2 allowance allocations and
auction results.
97.722 Submission of CSAPR SO2 Group 2 allowance transfers.
97.723 Recordation of CSAPR SO2 Group 2 allowance transfers.
97.724 Compliance with CSAPR SO2 Group 2 emissions limitation.
97.725 Compliance with CSAPR SO2 Group 2 assurance provisions.
97.726 Banking.
97.727 Account error.
97.728 Administrator's action on submissions.
97.729 [Reserved]
97.730 General monitoring, recordkeeping, and reporting requirements.
97.731 Initial monitoring system certification and recertification
procedures.
[[Page 176]]
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 EEEEE_CSAPR NOX Ozone Season Group 2 Trading Program
97.801 Purpose.
97.802 Definitions.
97.803 Measurements, abbreviations, and acronyms.
97.804 Applicability.
97.805 Retired unit exemption.
97.806 Standard requirements.
97.807 Computation of time.
97.808 Administrative appeal procedures.
97.809 [Reserved]
97.810 State NOX Ozone Season Group 2 trading budgets, new unit set-
asides, Indian country new unit set-asides, and variability
limits.
97.811 Timing requirements for CSAPR NOX Ozone Season Group 2 allowance
allocations.
97.812 CSAPR NOX Ozone Season Group 2 allowance allocations to new
units.
97.813 Authorization of designated representative and alternate
designated representative.
97.814 Responsibilities of designated representative and alternate
designated representative.
97.815 Changing designated representative and alternate designated
representative; changes in owners and operators; changes in
units at the source.
97.816 Certificate of representation.
97.817 Objections concerning designated representative and alternate
designated representative.
97.818 Delegation by designated representative and alternate designated
representative.
97.819 [Reserved]
97.820 Establishment of compliance accounts, assurance accounts, and
general accounts.
97.821 Recordation of CSAPR NOX Ozone Season Group 2 allowance
allocations and auction results.
97.822 Submission of CSAPR NOX Ozone Season Group 2 allowance transfers.
97.823 Recordation of CSAPR NOX Ozone Season Group 2 allowance
transfers.
97.824 Compliance with CSAPR NOX Ozone Season Group 2 emissions
limitation.
97.825 Compliance with CSAPR NOX Ozone Season Group 2 assurance
provisions.
97.826 Banking.
97.827 Account error.
97.828 Administrator's action on submissions.
97.829 [Reserved]
97.830 General monitoring, recordkeeping, and reporting requirements.
97.831 Initial monitoring system certification and recertification
procedures.
97.832 Monitoring system out-of-control periods.
97.833 Notifications concerning monitoring.
97.834 Recordkeeping and reporting.
97.835 Petitions for alternatives to monitoring, recordkeeping, or
reporting requirements.
Subpart FFFFF_Texas SO2 Trading Program
97.901 Purpose.
97.902 Definitions.
97.903 Measurements, abbreviations, and acronyms.
97.904 Applicability.
97.905 Retired unit exemptions.
97.906 General provisions.
97.907 Computation of time.
97.908 Administrative appeal procedures.
97.909 [Reserved]
97.910 Texas SO2 Trading Program and Supplemental Allowance
Pool Budgets.
97.911 Texas SO2 Trading Program allowance allocations.
97.912 Texas SO2 Trading Program Supplemental Allowance Pool.
97.913 Authorization of designated representative and alternate
designated representative.
97.914 Responsibilities of designated representative and alternate
designated representative.
97.915 Changing designated representative and alternate designated
representative; changes in owners and operators; changes in
units at the source.
97.916 Certificate of representation.
97.917 Objections concerning designated representative and alternate
designated representative.
97.918 Delegation by designated representative and alternate designated
representative.
97.919 [Reserved]
97.920 Establishment of compliance accounts and general accounts.
97.921 Recordation of Texas SO2 Trading Program allowance
allocations.
97.922 Submission of Texas SO2 Trading Program allowance
transfers.
97.923 Recordation of Texas SO2 Trading Program allowance
transfers.
97.924 Compliance with Texas SO2 Trading Program emissions
limitations.
97.925 [Reserved]
97.926 Banking.
97.927 Account error.
97.928 Administrator's action on submissions.
97.929 [Reserved]
97.930 General monitoring, recordkeeping, and reporting requirements.
[[Page 177]]
97.931 Initial monitoring system certification and recertification
procedures.
97.932 Monitoring system out-of-control periods.
97.933 Notifications concerning monitoring.
97.934 Recordkeeping and reporting.
97.935 Petitions for alternatives to monitoring, recordkeeping, or
reporting requirements.
Authority: 42 U.S.C. 7401, 7403, 7410, 7426, 7601, and 7651, et seq.
Source: 65 FR 2727, Jan. 18, 2000, unless otherwise noted. 71 FR
25396, 25422, and 25443, Apr. 28, 2006
Subpart A_NOX Budget Trading Program General Provisions
Sec.97.1 Purpose.
This part establishes general provisions and the applicability,
permitting, allowance, excess emissions, monitoring, and opt-in
provisions for the federal NOX Budget Trading Program, under
section 126 of the CAA and Sec.52.34 of this chapter, as a means of
mitigating the interstate transport of ozone and nitrogen oxides, an
ozone precursor.
Sec.97.2 Definitions.
The terms used in this part shall have the meanings set forth in
this section as follows:
Account number means the identification number given by the
Administrator to each NOX Allowance Tracking System account.
Acid Rain emissions limitation means, as defined in Sec.72.2 of
this chapter, a limitation on emissions of sulfur dioxide or nitrogen
oxides under the Acid Rain Program under title IV of the Clean Air Act.
Administrator means the Administrator of the United States
Environmental Protection Agency or the Administrator's duly authorized
representative.
Allocate or allocation means, with regard to NOX
allowances, the determination by the Administrator of the number of
NOX allowances to be initially credited to a NOX
Budget unit or an allocation set-aside.
Automated data acquisition and handling system or DAHS means that
component of the CEMS, or other emissions monitoring system approved for
use under subpart H of this part, designed to interpret and convert
individual output signals from pollutant concentration monitors, flow
monitors, diluent gas monitors, and other component parts of the
monitoring system to produce a continuous record of the measured
parameters in the measurement units required by subpart H of this part.
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.
Clean Air Act means the Clean Air Act, 42 U.S.C. 7401 et seq.
Combined cycle system means a system comprised of one or more
combustion turbines, heat recovery steam generators, and steam turbines
configured to improve overall efficiency of electricity generation or
steam production.
Combustion turbine means an enclosed fossil or other fuel-fired
device that is comprised of 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.
Commence commercial operation means, with regard to a unit that
serves a generator, 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 Sec.97.4(b), Sec.97.5, or subpart
I of this part, for a unit that is a NOX Budget unit under
Sec.97.4(a) on the date the unit commences commercial operation, such
date shall remain the unit's date of commencement of commercial
operation even if the unit is subsequently modified, reconstructed, or
repowered. Except as provided in Sec.97.4(b), Sec.97.5, or subpart I
of this part, for a unit that is not a NOX Budget unit under
Sec.97.4(a) on the date the unit commences commercial operation, the
date the unit becomes a NOX Budget unit under Sec.97.4(a)
shall be the unit's date of commencement of commercial operation.
Commence operation means to have begun any mechanical, chemical, or
electronic process, including, with regard to a unit, start-up of a
unit's combustion chamber. Except as provided in Sec.97.4(b), Sec.
97.5, or subpart I of this part
[[Page 178]]
for a unit that is a NOX Budget unit under Sec.97.4(a) on
the date of commencement of operation, such date shall remain the unit's
date of commencement of operation even if the unit is subsequently
modified, reconstructed, or repowered. Except as provided in Sec.
97.4(b), Sec.97.5, or subpart I of this part, for a unit that is not a
NOX Budget unit under Sec.97.4(a) on the date of
commencement of operation, the date the unit becomes a NOX
Budget unit under Sec.97.4(a) shall be the unit's date of commencement
of operation.
Common stack means a single flue through which emissions from two or
more units are exhausted.
Compliance account means a NOX Allowance Tracking System
account, established by the Administrator for a NOX Budget
unit under subpart F of this part, in which the NOX allowance
allocations for the unit are initially recorded and in which are held
NOX allowances available for use by the unit for a control
period for the purpose of meeting the unit's NOX Budget
emissions limitation.
Continuous emission monitoring system or CEMS means the equipment
required under subpart H of this part to sample, analyze, measure, and
provide, by means of readings taken at least once every 15 minutes
(using an automated data acquisition and handling system (DAHS)), a
permanent record of nitrogen oxides (NOX) emissions, stack
gas volumetric flow rate or stack gas moisture content (as applicable),
in a manner consistent with part 75 of this chapter. The following are
the principal types of continuous emission monitoring systems required
under subpart H of this part:
(1) A flow monitoring system, consisting of a stack flow rate
monitor and an automated DAHS. A flow monitoring system provides a
permanent, continuous record of stack gas volumetric flow rate, in units
of standard cubic feet per hour (scfh);
(2) A nitrogen oxides concentration monitoring system, consisting of
a NOX pollutant concentration monitor and an automated DAHS.
A NOX concentration monitoring system provides a permanent,
continuous record of NOX emissions in units of parts per
million (ppm);
(3) A nitrogen oxides emission rate (or NOX-diluent)
monitoring system, consisting of a NOX pollutant
concentration monitor, a diluent gas (CO2 or O2)
monitor, and an automated DAHS. A NOX concentration
monitoring system provides a permanent, continuous record of:
NOX concentration in units of parts per million (ppm),
diluent gas concentration in units of percent O2 or
CO2 (percent O2 or CO2), and
NOX emission rate in units of pounds per million British
thermal units (lb/mmBtu); and
(4) A moisture monitoring system, as defined in Sec.75.11(b)(2) of
this chapter. A moisture monitoring system provides a permanent,
continuous record of the stack gas moisture content, in units of percent
H2O (percent H2O).
Control period means the period beginning May 1 of a year and ending
on September 30 of the same year, inclusive.
Electricity for sale under firm contract to the grid means
electricity for sale where the capacity involved is intended to be
available at all times during the period covered by a guaranteed
commitment to deliver, even under adverse conditions.
Emissions means air pollutants exhausted from a unit or source into
the atmosphere, as measured, recorded, and reported to the Administrator
by the NOX authorized account representative and as
determined by the Administrator in accordance with subpart H of this
part.
Energy Information Administration means the Energy Information
Administration of the United States Department of Energy.
Excess emissions means any tonnage of nitrogen oxides emitted by a
NOX Budget unit during a control period that exceeds the
NOX Budget emissions limitation for the unit.
Fossil fuel means natural gas, petroleum, coal, or any form of
solid, liquid, or gaseous fuel derived from such material.
Fossil fuel fired means, with regard to a unit:
(1) For units that commenced operation before January 1, 1996, the
combustion of fossil fuel, alone or in combination with any other fuel,
where
[[Page 179]]
fossil fuel actually combusted comprises more than 50 percent of the
annual heat input on a Btu basis during 1995, or, if a unit had no heat
input in 1995, during the last year of operation of the unit prior to
1995;
(2) For units that commenced operation on or after January 1, 1996
and before January 1, 1997, the combustion of fossil fuel, alone or in
combination with any other fuel, where fossil fuel actually combusted
comprises more than 50 percent of the annual heat input on a Btu basis
during 1996; or
(3) For units that commence operation on or after January 1, 1997:
(i) The combination of fossil fuel, alone or in combustion with any
other fuel, where fossil fuel actually combusted comprises more than 50
percent of the annual heat input on a Btu basis during any year; or
(ii) The combination of fossil fuel, alone or in combination with
any other fuel, where fossil fuel is projected to comprise more than 50
percent of the annual heat input on a Btu basis during any year,
provided that the unit shall be ``fossil fuel-fired'' as of the date,
during such year, on which the unit begins combusting fossil fuel.
General account means a NOX Allowance Tracking System
account, established under subpart F of this part, that is not a
compliance account or an overdraft account.
Generator means a device that produces electricity.
Heat input means, with regard to a specified period to time, the
product (in mmBtu/time) of the gross calorific value of the fuel (in
Btu/lb) divided by 1,000,000 Btu/mmBtu and multiplied by the fuel feed
rate into a combustion device (in lb of fuel/time), as measured,
recorded, and reported to the Administrator by the NOX
authorized account representative and as determined by the Administrator
in accordance with subpart H of this part. Heat input does not include
the heat derived from preheated combustion air, recirculated flue gases,
or exhaust from other sources.
Heat input rate means the amount of heat input (in mmBtu) divided by
unit operating time (in hr) or, with regard to a specific fuel, the
amount of heat input attributed to the fuel (in mmBtu) divided by the
unit operating time (in hr) during which the unit combusts the fuel.
Life-of-the-unit, firm power contractual arrangement means a unit
participation power sales agreement under which a utility or industrial
customer reserves, or is entitled to receive, a specified amount or
percentage of nameplate capacity and associated energy from 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 equal to or greater than 25 years or 70 percent of
the economic useful life of the unit determined as of the time the unit
is built, with option rights to purchase or release some portion of the
nameplate capacity and associated energy generated by the unit at the
end of the period.
Maximum design heat input means the ability of a unit to combust a
stated maximum amount of fuel per hour (in mmBtu/hr) on a steady state
basis, as determined by the physical design and physical characteristics
of the unit.
Maximum potential hourly heat input means an hourly heat input (in
mmBtu/hr) used for reporting purposes when a unit lacks certified
monitors to report heat input. If the unit intends to use appendix D of
part 75 of this chapter to report heat input, this value should be
calculated, in accordance with part 75 of this chapter, using the
maximum fuel flow rate and the maximum gross calorific value. If the
unit intends to use a flow monitor and a diluent gas monitor, this value
should be reported, in accordance with part 75 of this chapter, using
the maximum potential flowrate and either the maximum carbon dioxide
concentration (in percent CO2) or the minimum oxygen
concentration (in percent O2).
Maximum potential NOX emission rate means the emission rate of
nitrogen oxides (in lb/mmBtu) calculated in accordance with section 3 of
appendix F of part 75 of this chapter, using the maximum potential
concentration of NOX under section 2 of appendix A of
[[Page 180]]
part 75 of this chapter, and either the maximum oxygen concentration (in
percent O2) or the minimum carbon dioxide concentration (in percent
CO2), under all operating conditions of the unit except for
unit start up, shutdown, and upsets.
Maximum rated hourly heat input means a unit specific maximum hourly
heat input (in mmBtu/hr) which is the higher of the manufacturer's
maximum rated hourly heat input or the highest observed hourly heat
input.
Monitoring system means any monitoring system that meets the
requirements of subpart H of this part, including a continuous emissions
monitoring system, an excepted monitoring system, or an alternative
monitoring system.
Most stringent State or Federal NOX emissions limitation means the
lowest NOX emissions limitation (in lb/mmBtu) that is
applicable to the unit under State or Federal law, regardless of the
averaging period to which the emissions limitation applies.
Nameplate capacity means the maximum electrical generating output
(in MWe) that a generator can sustain over a specified period of time
when not restricted by seasonal or other deratings as measured in
accordance with the United States Department of Energy standards.
Non-title V permit means a federally enforceable permit administered
by the permitting authority pursuant to the Clean Air Act and regulatory
authority under the Clean Air Act, other than title V of the Clean Air
Act and part 70 or 71 of this chapter.
NOX allowance means a limited authorization by the Administrator
under the NOX Budget Trading Program to emit up to one ton of
nitrogen oxides during the control period of the specified year or of
any year thereafter, except as provided under Sec.97.54(f). No
provision of the NOX Budget Trading Program, the
NOX Budget permit application, the NOX Budget
permit, or an exemption under Sec.97.4(b) or Sec.97.5 and no
provision of law shall be construed to limit the authority of the United
States to terminate or limit such authorization, which does not
constitute a property right. For purposes of all sections of this part
except Sec.97.40, Sec.97.41, Sec.97.42, Sec.97.43, or Sec.
97.88, ``NOX allowance'' also includes an authorization to
emit up to one ton of nitrogen oxides during the control period of the
specified year or of any year thereafter by the permitting authority or
the Administrator in accordance with a State NOX Budget
Trading Program established, and approved and administered by the
Administrator, pursuant to Sec.51.121 of this chapter.
NOX allowance deduction or deduct NOX allowances means the permanent
withdrawal of NOX allowances by the Administrator from a
NOX Allowance Tracking System compliance account or overdraft
account to account for the number of tons of NOX emissions
from a NOX Budget unit for a control period, determined in
accordance with subparts H and F of this part, or for any other
NOX allowance withdrawal requirement under this part.
NOX Allowance Tracking System means the system by which the
Administrator records allocations, deductions, and transfers of
NOX allowances under the NOX Budget Trading
Program.
NOX Allowance Tracking System account means an account in the
NOX Allowance Tracking System established by the
Administrator for purposes of recording the allocation, holding,
transferring, or deducting of NOX allowances.
NOX allowance transfer deadline means midnight of November 30 or, if
November 30 is not a business day, midnight of the first business day
thereafter and is the deadline by which NOX allowances must
be submitted for recordation in a NOX Budget unit's
compliance account, or the overdraft account of the source where the
unit is located, in order to meet the unit's NOX Budget
emissions limitation for the control period immediately preceding such
deadline.
NOX allowances held or hold NOX allowances means the NOX
allowances recorded by the Administrator, or submitted to the
Administrator for recordation, in accordance with subparts F and G of
this part, in a NOX Allowance Tracking System account.
NOX authorized account representative means, for a NOX
Budget source or NOX Budget unit at the source, the natural
person who is authorized by the owners
[[Page 181]]
and operators of the source and all NOX Budget units at the
source, in accordance with subpart B of this part, to represent and
legally bind each owner and operator in matters pertaining to the
NOX Budget Trading Program or, for a general account, the
natural person who is authorized, in accordance with subpart F of this
part, to transfer or otherwise dispose of NOX allowances held
in the general account.
NOX Budget emissions limitation means, for a NOX Budget
unit, the tonnage equivalent of the NOX allowances available
for compliance deduction for the unit under Sec.97.54(a), (b), (e),
and (f) in a control period adjusted by deductions of such
NOX allowances to account for actual heat input under Sec.
97.42(e) for the control period or to account for excess emissions for a
prior control period under Sec.97.54(d) or to account for withdrawal
from the NOX Budget Trading Program, or for a change in
regulatory status, of a NOX Budget opt-in unit under Sec.
97.86 or Sec.97.87.
NOX Budget opt-in permit means a NOX Budget permit
covering a NOX Budget opt-in unit.
NOX Budget opt-in unit means a unit that has been elected to become
a NOX Budget unit under the NOX Budget Trading
Program and whose NOX Budget opt-in permit has been issued
and is in effect under subpart I of this part.
NOX Budget permit means the legally binding and federally
enforceable written document, or portion of such document, issued by the
permitting authority under this part, including any permit revisions,
specifying the NOX Budget Trading Program requirements
applicable to a NOX Budget source, to each NOX
Budget unit at the NOX Budget source, and to the owners and
operators and the NOX authorized account representative of
the NOX Budget source and each NOX Budget unit.
NOX Budget source means a source that includes one or more
NOX Budget units.
NOX Budget Trading Program means a multistate nitrogen oxides air
pollution control and emission reduction program established by the
Administrator in accordance with this part and pursuant to Sec.52.34
of this chapter, as a means of mitigating the interstate transport of
ozone and nitrogen oxides, an ozone precursor.
NOX Budget unit means a unit that is subject to the NOX
Budget emissions limitation under Sec.97.4(a) or Sec.97.80.
Operating means, with regard to a unit under Sec. Sec.97.22(d)(2)
and 97.80, having documented heat input for more than 876 hours in the 6
months immediately preceding the submission of an application for an
initial NOX Budget permit under Sec.97.83(a). The unit's
documented heat input will be determined in accordance with part 75 of
this chapter if the unit was otherwise subject to the requirements of
part 75 of this chapter during that 6-month period or will be based on
the best available data reported to the Administrator for the unit if
the unit was not otherwise subject to the requirements of part 75 of
this chapter during that 6-month period.
Operator means any person who operates, controls, or supervises a
NOX Budget unit, a NOX Budget source, or a unit
for which an application for a NOX Budget opt-in permit under
Sec.97.83 is submitted and not denied or withdrawn and shall include,
but not be limited to, any holding company, utility system, or plant
manager of such a unit or source.
Opt-in means to be elected to become a NOX Budget unit
under the NOX Budget Trading Program through a final,
effective NOX Budget opt-in permit under subpart I of this
part.
Overdraft account means the NOX Allowance Tracking System
account, established by the Administrator under subpart F of this part,
for each NOX Budget source where there are two or more
NOX Budget units.
Owner means any of the following persons:
(1) Any holder of any portion of the legal or equitable title in a
NOX Budget unit or in a unit for which an application for a
NOX Budget opt-in permit under Sec.97.83 is submitted and
not denied or withdrawn; or
(2) Any holder of a leasehold interest in a NOX Budget
unit or in a unit for which an application for a NOX Budget
opt-in permit under Sec.97.83 is submitted and not denied or
withdrawn; or
(3) Any purchaser of power from a NOX Budget unit or from
a unit for
[[Page 182]]
which an application for a NOX Budget opt-in permit under
Sec.97.83 is submitted and not denied or withdrawn under a life-of-
the-unit, firm power contractual arrangement. However, 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, upon
the revenues or income from the NOX Budget unit or the unit
for which an application for a NOX Budget opt-in permit under
Sec.97.83 is submitted and not denied or withdrawn; or
(4) With respect to any general account, any person who has an
ownership interest with respect to the NOX allowances held in
the general account and who is subject to the binding agreement for the
NOX authorized account representative to represent that
person's ownership interest with respect to the NOX
allowances.
Percent monitor data availability means, for purposes of Sec.97.43
(a)(1) and Sec.97.84(b), total unit operating hours for which quality-
assured data were recorded under subpart H of this part in a control
period, divided by the total number of unit operating hours in the
control period, and multiplied by 100 percent.
Permitting authority means the State air pollution control agency,
local agency, other State agency, or other agency authorized by the
Administrator to issue or revise permits to meet the requirements of the
NOX Budget Trading Program in accordance with subpart C of
this part.
Potential electrical output capacity means 33 percent of a unit's
maximum design heat input.
Receive or receipt of means, when referring to the permitting
authority or the Administrator, to come into possession of a document,
information, or correspondence (whether sent in writing or by authorized
electronic transmission), as indicated in an official correspondence
log, or by a notation made on the document, information, or
correspondence, by the permitting authority or the Administrator in the
regular course of business.
Recordation, record, or recorded means, with regard to
NOX allowances, the movement of NOX allowances by
the Administrator from one NOX Allowance Tracking System
account to another, for purposes of allocation, transfer, or deduction.
Reference method means any direct test method of sampling and
analyzing for an air pollutant as specified in appendix A of part 60 of
this chapter.
Serial number means, when referring to NOX allowances,
the unique identification number assigned to each NOX
allowance by the Administrator, under Sec.97.53(c).
Source means any governmental, institutional, commercial, or
industrial structure, installation, plant, building, or facility that
emits or has the potential to emit any regulated air pollutant under the
Clean Air Act. For purposes of section 502(c) of the Clean Air Act, a
``source,'' including a ``source'' with multiple units, shall be
considered a single ``facility.''
State means one of the 48 contiguous States or a portion thereof or
the District of Columbia that is specified in Sec.52.34 of this
chapter and in which are located units for which the Administrator makes
an effective finding under Sec.52.34 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.
Compliance with any ``submission,'' ``service,'' or ``mailing'' deadline
shall be determined by the date of dispatch, transmission, or mailing
and not the date of receipt.
Title V operating permit means a permit issued under title V of the
Clean Air Act and part 70 or part 71 of this chapter.
Title V operating permit regulations means the regulations that the
Administrator has approved or issued as meeting the requirements of
title V of the Clean Air Act and part 70 or 71 of this chapter.
Ton or tonnage means any ``short ton'' (i.e., 2,000 pounds). For the
purpose of determining compliance with the NOX Budget
emissions limitation,
[[Page 183]]
total tons for a control period shall be calculated as the sum of all
recorded hourly emissions (or the tonnage equivalent of the recorded
hourly emissions rates) in accordance with subpart H of this part, with
any remaining fraction of a ton equal to or greater than 0.50 ton deemed
to equal one ton and any fraction of a ton less than 0.50 ton deemed to
equal zero tons.
Unit means a fossil fuel-fired stationary boiler, combustion
turbine, or combined cycle system.
Unit operating day means a calendar day in which a unit combusts any
fuel.
Unit operating hour or hour of unit operation means any hour (or
fraction of an hour) during which a unit combusts any fuel.
[65 FR 2727, Jan. 18, 2000, as amended at 69 FR 21645, Apr. 21, 2004]
Sec.97.3 Measurements, abbreviations, and acronyms.
Measurements, abbreviations, and acronyms used in this part are
defined as follows:
Btu-British thermal unit.
CO2-carbon dioxide.
hr-hour.
kW-kilowatt electrical.
kWh-kilowatt hour.
lb-pounds.
mmBtu-million Btu.
MWe-megawatt electrical.
NOX-nitrogen oxides.
O2-oxygen.
ton-2000 pounds.
Sec.97.4 Applicability.
(a) The following units in a State shall be a NOX Budget
unit, and any source that includes one or more such units shall be a
NOX Budget source, subject to the requirements of this part:
(1)(i) For units other than cogeneration units--
(A) For units commencing operation before January 1, 1997, a unit
serving during 1995 or 1996 a generator--
(1) With a nameplate capacity greater than 25 MWe and
(2) Producing electricity for sale under a firm contract to the
electric grid.
(B) For units commencing operation in 1997 or 1998, a unit serving
during 1997 or 1998 a generator--
(1) With a nameplate capacity greater than 25 MWe and
(2) Producing electricity for sale under a firm contract to the
electric grid.
(C) For units commencing operation on or after January 1, 1999, a
unit serving at any time a generator--
(1) With a nameplate capacity greater than 25 MWe and
(2) Producing electricity for sale.
(ii) For cogeneration units--
(A) For units commencing operation before January 1, 1997, a unit
serving during 1995 or 1996 a generator with a nameplate capacity
greater than 25 MWe and failing to qualify as an unaffected unit under
Sec.72.6(b)(4) of this chapter for 1995 or 1996 under the Acid Rain
Program.
(B) For units commencing operation in 1997 or 1998, a unit serving
during 1997 or 1998 a generator with a nameplate capacity grater than 25
MWe and failing to qualify as an unaffected unit under Sec.72.6(b)(4)
of this chapter for 1997 or 1998 under the Acid Rain Program.
(C) For units commencing operation on or after January 1, 1999, a
unit serving at any time a generator with a nameplate capacity greater
than 25 MWe and failing to qualify as an unaffected unit under Sec.
72.6(b)(4) of this chapter under the Acid Rain Program for any year.
(2)(i) For units other than cogeneration units--
(A) For units commencing operation before January 1, 1997, a unit--
(1) With a maximum design heat input greater than 250 mmBtu/hr and
(2) Not serving during 1995 or 1996 a generator producing
electricity for sale under a firm contract to the electric grid.
(B) For units commencing operation in 1997 or 1998, a unit--
(1) With a maximum design heat input greater than 250 mmBtu/hr and
(2) Not serving during 1997 or 1998 a generator producing
electricity for sale under a firm contract to the electric grid.
(C) For units commencing on or after January 1, 1999, a unit with a
maximum design heat input greater than 250 mmBtu/hr:
(1) At no time serving a generator producing electricity for sale;
or
[[Page 184]]
(2) At any time serving a generator with a nameplate capacity of 25
MWe or less producing electricity for sale and with the potential to use
no more than 50 percent of the potential electrical output capacity of
the unit.
(ii) For cogeneration units--
(A) For units commencing operation before January 1, 1997, a unit
with a maximum design heat input greater than 250 mmBtu/hr and
qualifying as an unaffected unit under Sec.72.6(b)(4) of this chapter
under the Acid Rain Program for 1995 and 1996.
(B) For units commencing operation in 1997 or 1998, a unit with a
maximum design heat input greater than 250 mmBtu/hr and qualifying as an
unaffected unit under Sec.72.6(b)(4) under the Acid Rain Program for
1997 and 1998.
(C) For units commencing on or after January 1, 1999, a unit with a
maximum design heat input greater than 250 mmBtu/hr and qualifying as an
unaffected unit under Sec.72.6(b)(4) of this chapter under the Acid
Rain Program for each year.
(b)(1) Notwithstanding paragraph (a) of this section, a unit under
paragraph (a)(1) or (a)(2) of this section that has a federally
enforceable permit that restricts the unit to combusting only natural
gas or fuel oil (as defined in Sec.75.2 of this chapter) during a
control period includes a NOX emission limitation restricting
NOX emissions during a control period to 25 tons or less, and
includes the special provisions in paragraph (b)(4) of this section
shall be exempt from the requirements of the NOX Budget
Trading Program, except for the provisions of this paragraph (b), Sec.
97.2, Sec.97.3, Sec.97.4(a), Sec.97.7, and subparts E, F, and G of
this part. The NOX emission limitation under this paragraph
(b)(1) shall restrict NOX emissions during the control period
by limiting unit operating hours. The restriction on unit operating
hours shall be calculated by dividing 25 tons by the unit's maximum
potential hourly NOX mass emissions, which shall equal the
unit's maximum rated hourly heat input multiplied by the highest default
NOX emission rate otherwise applicable to the unit under
Sec.75.19 of this chapter.
(2) The exemption under paragraph (b)(1) of this section shall
become effective as follows:
(i) The exemption shall become effective on the date on which the
NOX emission limitation and the special provisions in the
permit under paragraph (b)(1) of this section become final; or
(ii) If the NOX emission limitation and the special
provisions in the permit under paragraph (b)(1) of this section become
final during a control period and after the first date on which the unit
operates during such control period, then the exemption shall become
effective on May 1 of such control period, provided that such
NOX emission limitation and the special provisions apply to
the unit as of such first date of operation. If such NOX
emission limitation and special provisions do not apply to the unit as
of such first date of operation, then the exemption under paragraph
(b)(1) of this section shall become effective on October 1 of the year
during which such NOX emission limitation and the special
provisions become final.
(3) The permitting authority that issues a federally enforceable
permit under paragraph (b)(1) of this section for a unit under paragraph
(a)(1) or (a)(2) of this section will provide the Administrator written
notice of the issuance of such permit and, upon request, a copy of the
permit.
(4) Special provisions. (i) A unit exempt under paragraph (b)(1) of
this section shall comply with the restriction on fuel use and unit
operating hours described in paragraph (b)(1) of this section during the
control period in each year.
(ii) The Administrator will allocate NOX allowances to
the unit under Sec. Sec.97.41(a) through (c) and 97.42(a) through (c).
For each control period for which the unit is allocated NOX
allowances under Sec. Sec.97.41(a) through (c) and 97.42(a) through
(c):
(A) The owners and operators of the unit must specify a general
account, in which the Administrator will record the NOX
allowances; and
(B) After the Administrator records a NOX allowance
allocations under Sec. Sec.97.41(a) through (c) and 97.42(a) through
(c), the Administrator will deduct, from the general account under
paragraph (b)(4)(ii)(A) of this section, NOX allowances that
are allocated for
[[Page 185]]
the same or a prior control period as the NOX allowances
allocated to the unit under Sec. Sec.97.41(a) through (c) and 97.42(a)
through (c) and that equal the NOX emission limitation (in
tons of NOX) on which the unit's exemption under paragraph
(b)(1) of this section is based. The NOX authorized account
representative shall ensure that such general account contains the
NOX allowances necessary for completion of such deduction.
(iii) A unit exempt under this paragraph (b) shall report hours of
unit operation during the control period in each year to the permitting
authority by November 1 of that year.
(iv) For a period of 5 years from the date the records are created,
the owners and operators of a unit exempt under paragraph (b)(1) of this
section shall retain, at the source that includes the unit, records
demonstrating that the conditions of the federally enforceable permit
under paragraph (b)(1) of this section were met, including the
restriction on fuel use or unit operating hours. The 5-year period for
keeping records may be extended for cause, at any time prior to the end
of the period, in writing by the permitting authority or the
Administrator. The owners and operators bear the burden of proof that
the unit met the restriction on fuel use or unit operating hours.
(v) The owners and operators and, to the extent applicable, the
NOX authorized account representative of a unit exempt under
paragraph (b)(1) of this section shall comply with the requirements of
the NOX Budget 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.
(vi) On the earlier of the following dates, a unit exempt under
paragraph (b)(1) of this section shall lose its exemption:
(A) The date on which the restriction on fuel use or unit operating
hours described in paragraph (b)(1) of this section is removed from the
unit's federally enforceable permit or otherwise becomes no longer
applicable to any control period starting in 2004; or
(B) The first date on which the unit fails to comply, or with regard
to which the owners and operators fail to meet their burden of proving
that the unit is complying, with the restriction on fuel use or unit
operating hours described in paragraph (b)(1) of this section during any
control period starting in 2004.
(vii) A unit that loses its exemption in accordance with paragraph
(b)(4)(vi) of this section shall be subject to the requirements of this
part. For the purpose of applying permitting requirements under subpart
C of this part, allocating allowances under subpart E of this part, and
applying monitoring requirements under subpart H of this part, the unit
shall be treated as commencing operation and, if the unit is covered by
paragraph (a)(1) of this section, commencing commercial operation on the
date the unit loses its exemption.
(viii) A unit that is exempt under paragraph (b)(1) of this section
is not eligible to be a NOX Budget opt-in unit under subpart
I of this part.
[65 FR 2727, Jan. 18, 2000, as amended at 67 FR 21529, Apr. 30, 2002; 69
FR 21645, Apr. 21, 2004]
Sec.97.5 Retired unit exemption.
(a) This section applies to any NOX Budget unit, other
than a NOX Budget opt-in unit, that is permanently retired.
(b)(1) Any NOX Budget unit, other than a NOX
Budget opt-in unit, that is permanently retired shall be exempt from the
NOX Budget Trading Program, except for the provisions of this
section, Sec.97.2, Sec.97.3, Sec.97.4, Sec.97.7, and subparts E,
F, and G of this part.
(2) The exemption under paragraph (b)(1) of this section shall
become effective the day on which the unit is permanently retired.
Within 30 days of permanent retirement, the NOX authorized
account representative (authorized in accordance with subpart B of this
part) shall submit a statement to the permitting authority otherwise
responsible for administering any NOX Budget permit for the
unit. The NOX authorized account representative shall submit
a copy of the statement to the Administrator. The statement shall state,
in a format prescribed by the permitting authority, that the unit is
permanently retired and will comply with the
[[Page 186]]
requirements of paragraph (c) of this section.
(3) After receipt of the notice under paragraph (b)(2) of this
section, the permitting authority will amend any permit covering the
source at which the unit is located to add the provisions and
requirements of the exemption under paragraphs (b)(1) and (c) of this
section.
(c) Special provisions. (1) A unit exempt under this section shall
not emit any nitrogen oxides, starting on the date that the exemption
takes effect.
(2) The Administrator will allocate NOX allowances under
subpart E of this part to a unit exempt under this section. For each
control period for which the unit is allocated one or more
NOX allowances, the owners and operators of the unit shall
specify a general account, in which the Administrator will record such
NOX allowances.
(3) For a period of 5 years from the date the records are created,
the owners and operators of a unit exempt under 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 prior to the end of the period,
in writing by the permitting authority or the Administrator. The owners
and operators bear the burden of proof that the unit is permanently
retired.
(4) The owners and operators and, to the extent applicable, the
NOX authorized account representative of a unit exempt under
this section shall comply with the requirements of the NOX
Budget 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.
(5)(i) A unit exempt under this section and located at a source that
is required, or but for this exemption would be required, to have a
title V operating permit shall not resume operation unless the
NOX authorized account representative of the source submits a
complete NOX Budget permit application under Sec.97.22 for
the unit not less than 18 months (or such lesser time provided by the
permitting authority) before the later of May 31, 2004 or the date on
which the unit resumes operation.
(ii) A unit exempt under this section and located at a source that
is required, or but for this exemption would be required, to have a non-
title V permit shall not resume operation unless the NOX
authorized account representative of the source submits a complete
NOX Budget permit application under Sec.97.22 for the unit
not less than 18 months (or such lesser time provided by the permitting
authority) before the later of May 31, 2004 or the date on which the
unit is to first resume operation.
(6) On the earlier of the following dates, a unit exempt under
paragraph (b) of this section shall lose its exemption:
(i) The date on which the NOX authorized account
representative submits a NOX Budget permit application under
paragraph (c)(5) of this section;
(ii) The date on which the NOX authorized account
representative is required under paragraph (c)(5) of this section to
submit a NOX Budget permit application; or
(iii) The date on which the unit resumes operation, if the unit is
not required to submit a NOX permit application.
(7) For the purpose of applying monitoring requirements under
subpart H of this part, a unit that loses its exemption under this
section shall be treated as a unit that commences operation or
commercial operation on the first date on which the unit resumes
operation.
(8) A unit that is exempt under this section is not eligible to be a
NOX Budget opt-in unit under subpart I of this part.
[65 FR 2727, Jan. 18, 2000, as amended at 67 FR 21529, Apr. 30, 2002; 69
FR 21646, Apr. 21, 2004]
Sec.97.6 Standard requirements.
(a) Permit requirements. (1) The NOX authorized account
representative of each NOX Budget source required to have a
federally enforceable permit and each NOX Budget unit
required to have a federally enforceable permit at the source shall:
(i) Submit to the permitting authority a complete NOX
Budget permit application under Sec.97.22 in accordance
[[Page 187]]
with the deadlines specified in Sec.97.21(b) and (c);
(ii) Submit in a timely manner any supplemental information that the
permitting authority determines is necessary in order to review a
NOX Budget permit application and issue or deny a
NOX Budget permit.
(2) The owners and operators of each NOX Budget source
required to have a federally enforceable permit and each NOX
Budget unit required to have a federally enforceable permit at the
source shall have a NOX Budget permit issued by the
permitting authority and operate the unit in compliance with such
NOX Budget permit.
(3) The owners and operators of a NOX Budget source that
is not otherwise required to have a federally enforceable permit are not
required to submit a NOX Budget permit application, and to
have a NOX Budget permit, under subpart C of this part for
such NOX Budget source.
(b) Monitoring requirements. (1) The owners and operators and, to
the extent applicable, the NOX authorized account
representative of each NOX Budget source and each
NOX Budget unit at the source shall comply with the
monitoring requirements of subpart H of this part.
(2) The emissions measurements recorded and reported in accordance
with subpart H of this part shall be used to determine compliance by the
unit with the NOX Budget emissions limitation under paragraph
(c) of this section.
(c) Nitrogen oxides requirements. (1) The owners and operators of
each NOX Budget source and each NOX Budget unit at
the source shall hold NOX allowances available for compliance
deductions under Sec.97.54(a), (b), (e), or (f) as of the
NOX allowance transfer deadline, in the unit's compliance
account and the source's overdraft account in an amount not less than
the total NOX emissions for the control period from the unit,
as determined in accordance with subpart H of this part, plus any amount
necessary to account for actual heat input under Sec.97.42(e) for the
control period or to account for excess emissions for a prior control
period under Sec.97.54(d) or to account for withdrawal from the
NOX Budget Trading Program, or a change in regulatory status,
of a NOX Budget opt-in unit under Sec.97.86 or Sec.97.87.
(2) Each ton of nitrogen oxides emitted in excess of the
NOX Budget emissions limitation shall constitute a separate
violation of this part, the Clean Air Act, and applicable State law.
(3) A NOX Budget unit shall be subject to the
requirements under paragraph (c)(1) of this section starting on the
later of May 31, 2004 or the date on which the unit commences operation.
(4) NOX allowances shall be held in, deducted from, or
transferred among NOX Allowance Tracking System accounts in
accordance with subparts E, F, G, and I of this part.
(5) A NOX allowance shall not be deducted, in order to
comply with the requirements under paragraph (c)(1) of this section, for
a control period in a year prior to the year for which the
NOX allowance was allocated.
(6) A NOX allowance allocated by the Administrator under
the NOX Budget Trading Program is a limited authorization to
emit one ton of nitrogen oxides in accordance with the NOX
Budget Trading Program. No provision of the NOX Budget
Trading Program, the NOX Budget permit application, the
NOX Budget permit, or an exemption under Sec.97.4(b) or
Sec.97.5 and no provision of law shall be construed to limit the
authority of the United States to terminate or limit such authorization.
(7) A NOX allowance allocated by the Administrator under
the NOX Budget Trading Program does not constitute a property
right.
(8) Upon recordation by the Administrator under subpart F or G of
this part, every allocation, transfer, or deduction of a NOX
allowance to or from a NOX Budget unit's compliance account
or the overdraft account of the source where the unit is located is
incorporated automatically in any NOX Budget permit of the
NOX Budget unit.
(d) Excess emissions requirements. (1) The owners and operators of a
NOX Budget unit that has excess emissions in any control
period shall:
(i) Surrender the NOX allowances required for deduction
under Sec.97.54(d)(1); and
(ii) Pay any fine, penalty, or assessment or comply with any other
remedy imposed under Sec.97.54(d)(3).
[[Page 188]]
(e) Recordkeeping and reporting requirements. (1) Unless otherwise
provided, the owners and operators of the NOX Budget source
and each NOX Budget unit at the source shall keep on site at
the source each of the following documents for a period of 5 years from
the date the document is created. This period may be extended for cause,
at any time prior to the end of 5 years, in writing by the permitting
authority or the Administrator.
(i) The account certificate of representation under Sec.97.13 for
the NOX authorized account representative for the source and
each NOX Budget unit at the source and all documents that
demonstrate the truth of the statements in the account certificate of
representation; provided that the certificate and documents shall be
retained on site at the source beyond such 5-year period until such
documents are superseded because of the submission of a new account
certificate of representation under Sec.97.13 changing the
NOX authorized account representative.
(ii) All emissions monitoring information, in accordance with
subpart H of this part; provided that to the extent that subpart H of
this part provides for a 3-year period for recordkeeping, the 3-year
period shall apply.
(iii) Copies of all reports, compliance certifications, and other
submissions and all records made or required under the NOX
Budget Trading Program.
(iv) Copies of all documents used to complete a NOX
Budget permit application and any other submission under the
NOX Budget Trading Program or to demonstrate compliance with
the requirements of the NOX Budget Trading Program.
(2) The NOX authorized account representative of a
NOX Budget source and each NOX Budget unit at the
source shall submit the reports and compliance certifications required
under the NOX Budget Trading Program, including those under
subpart D, H, or I of this part.
(f) Liability. (1) Any person who knowingly violates any requirement
or prohibition of the NOX Budget Trading Program, a
NOX Budget permit, or an exemption under Sec.97.4(b) or
Sec.97.5 shall be subject to enforcement pursuant to applicable State
or Federal law.
(2) Any person who knowingly makes a false material statement in any
record, submission, or report under the NOX Budget Trading
Program shall be subject to criminal enforcement pursuant to the
applicable State or Federal law.
(3) No permit revision shall excuse any violation of the
requirements of the NOX Budget Trading Program that occurs
prior to the date that the revision takes effect.
(4) Each NOX Budget source and each NOX Budget
unit shall meet the requirements of the NOX Budget Trading
Program.
(5) Any provision of the NOX Budget Trading Program that
applies to a NOX Budget source or the NOX
authorized account representative of a NOX Budget source
shall also apply to the owners and operators of such source and of the
NOX Budget units at the source.
(6) Any provision of the NOX Budget Trading Program that
applies to a NOX Budget unit or the NOX authorized
account representative of a NOX budget unit shall also apply
to the owners and operators of such unit. Except with regard to the
requirements applicable to units with a common stack under subpart H of
this part, the owners and operators and the NOX authorized
account representative of one NOX Budget unit shall not be
liable for any violation by any other NOX Budget unit of
which they are not owners or operators or the NOX authorized
account representative and that is located at a source of which they are
not owners or operators or the NOX authorized account
representative.
(g) Effect on other authorities. No provision of the NOX
Budget Trading Program, a NOX Budget permit application, a
NOX Budget permit, or an exemption under Sec.97.4(b) or
Sec.97.5 shall be construed as exempting or excluding the owners and
operators and, to the extent applicable, the NOX authorized
account representative of a NOX Budget source or
NOX Budget unit from compliance with any other provision of
the applicable, approved State implementation plan, a federally
enforceable permit, or the Clean Air Act.
[65 FR 2727, Jan. 18, 2000, as amended at 67 FR 21529, Apr. 30, 2002]
[[Page 189]]
Sec.97.7 Computation of time.
(a) Unless otherwise stated, any time period scheduled, under the
NOX Budget 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
NOX Budget 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 NOX Budget Trading Program, falls on a weekend or a
State or Federal holiday, the time period shall be extended to the next
business day.
Subpart B_NOX Authorized Account Representative for NOX Budget Sources
Sec.97.10 Authorization and responsibilities of NOX authorized account representative.
(a) Except as provided under Sec.97.11, each NOX Budget
source, including all NOX Budget units at the source, shall
have one and only one NOX authorized account representative,
with regard to all matters under the NOX Budget Trading
Program concerning the source or any NOX Budget unit at the
source.
(b) The NOX authorized account representative of the
NOX Budget source shall be selected by an agreement binding
on the owners and operators of the source and all NOX Budget
units at the source.
(c) Upon receipt by the Administrator of a complete account
certificate of representation under Sec.97.13, the NOX
authorized account representative of the source shall represent and, by
his or her representations, actions, inactions, or submissions, legally
bind each owner and operator of the NOX Budget source
represented and each NOX Budget unit at the source in all
matters pertaining to the NOX Budget Trading Program, not
withstanding any agreement between the NOX authorized account
representative and such owners and operators. The owners and operators
shall be bound by any decision or order issued to the NOX
authorized account representative by the permitting authority, the
Administrator, or a court regarding the source or unit.
(d) No NOX Budget permit shall be issued, and no
NOX Allowance Tracking System account shall be established
for a NOX Budget unit at a source, until the Administrator
has received a complete account certificate of representation under
Sec.97.13 for a NOX authorized account representative of
the source and the NOX Budget units at the source.
(e) (1) Each submission under the NOX Budget Trading
Program shall be submitted, signed, and certified by the NOX
authorized account representative for each NOX Budget source
on behalf of which the submission is made. Each such submission shall
include the following certification statement by the NOX
authorized account representative: ``I am authorized to make this
submission on behalf of the owners and operators of the NOX
Budget sources or NOX Budget 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.''
(2) The permitting authority and the Administrator will accept or
act on a submission made on behalf of owner or operators of a
NOX Budget source or a NOX Budget unit only if the
submission has been made, signed, and certified in accordance with
paragraph (e)(1) of this section.
Sec.97.11 Alternate NOX authorized account representative.
(a) An account certificate of representation may designate one and
only one alternate NOX authorized account representative who
may act on
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behalf of the NOX authorized account representative. The
agreement by which the alternate NOX authorized account
representative is selected shall include a procedure for authorizing the
alternate NOX authorized account representative to act in
lieu of the NOX authorized account representative.
(b) Upon receipt by the Administrator of a complete account
certificate of representation under Sec.97.13, any representation,
action, inaction, or submission by the alternate NOX
authorized account representative shall be deemed to be a
representation, action, inaction, or submission by the NOX
authorized account representative.
(c) Except in this section and Sec. Sec.97.10(a), 97.12, 97.13,
and 97.51, whenever the term ``NOX authorized account
representative'' is used in this part, the term shall be construed to
include the alternate NOX authorized account representative.
Sec.97.12 Changing NOX authorized account representative and
alternate NOX authorized account representative; changes in owners
and operators.
(a) Changing NOX authorized account representative. The
NOX authorized account representative may be changed at any
time upon receipt by the Administrator of a superseding complete account
certificate of representation under Sec.97.13. Notwithstanding any
such change, all representations, actions, inactions, and submissions by
the previous NOX authorized account representative prior to
the time and date when the Administrator receives the superseding
account certificate of representation shall be binding on the new
NOX authorized account representative and the owners and
operators of the NOX Budget source and the NOX
Budget units at the source.
(b) Changing alternate NOX authorized account
representative. The alternate NOX authorized account
representative may be changed at any time upon receipt by the
Administrator of a superseding complete account certificate of
representation under Sec.97.13. Notwithstanding any such change, all
representations, actions, inactions, and submissions by the previous
alternate NOX authorized account representative prior to the
time and date when the Administrator receives the superseding account
certificate of representation shall be binding on the new alternate
NOX authorized account representative and the owners and
operators of the NOX Budget source and the NOX
Budget units at the source.
(c) Changes in owners and operators. (1) In the event a new owner or
operator of a NOX Budget source or a NOX Budget
unit is not included in the list of owners and operators submitted in
the account certificate of representation under Sec.97.13, such new
owner or operator shall be deemed to be subject to and bound by the
account certificate of representation, the representations, actions,
inactions, and submissions of the NOX authorized account
representative and any alternate NOX authorized account
representative of the source or unit, and the decisions, orders,
actions, and inactions of the permitting authority or the Administrator,
as if the new owner or operator were included in such list.
(2) Within 30 days following any change in the owners and operators
of a NOX Budget source or a NOX Budget unit,
including the addition of a new owner or operator, the NOX
authorized account representative or alternate NOX authorized
account representative shall submit a revision to the account
certificate of representation under Sec.97.13 amending the list of
owners and operators to include the change.
Sec.97.13 Account certificate of representation.
(a) A complete account certificate of representation for a
NOX authorized account representative or an alternate
NOX authorized account representative shall include the
following elements in a format prescribed by the Administrator:
(1) Identification of the NOX Budget source and each
NOX Budget unit at the source for which the account
certificate of representation is submitted.
(2) The name, address, e-mail address (if any), telephone number,
and facsimile transmission number (if any) of the NOX
authorized account representative and any alternate NOX
authorized account representative.
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(3) A list of the owners and operators of the NOX Budget
source and of each NOX Budget unit at the source.
(4) The following certification statement by the NOX
authorized account representative and any alternate NOX
authorized account representative: ``I certify that I was selected as
the NOX authorized account representative or alternate
NOX authorized account representative, as applicable, by an
agreement binding on the owners and operators of the NOX
Budget source and each NOX Budget unit at the source. I
certify that I have all the necessary authority to carry out my duties
and responsibilities under the NOX Budget Trading Program on
behalf of the owners and operators of the NOX Budget source
and of each NOX Budget 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 permitting authority, the Administrator, or a court regarding the
source or unit.''
(5) The signature of the NOX authorized account
representative and any alternate NOX authorized account
representative and the dates signed.
(b) Unless otherwise required by the permitting authority or the
Administrator, documents of agreement referred to in the account
certificate of representation shall not be submitted to the permitting
authority or the Administrator. Neither the permitting authority nor the
Administrator shall be under any obligation to review or evaluate the
sufficiency of such documents, if submitted.
Sec.97.14 Objections concerning NOX authorized account representative.
(a) Once a complete account certificate of representation under
Sec.97.13 has been submitted and received, the permitting authority
and the Administrator will rely on the account certificate of
representation unless and until a superseding complete account
certificate of representation under Sec.97.13 is received by the
Administrator.
(b) Except as provided in Sec.97.12 (a) or (b), no objection or
other communication submitted to the permitting authority or the
Administrator concerning the authorization, or any representation,
action, inaction, or submission of the NO